Final Rule Releases

SECURITIES AND EXCHANGE COMMISSION17 CFR Part 242[Release No. 34-52355; File No. S7-10-04]Regulation NMSAGENCY:Securities and Exchange Commission.ACTION:Final rule; extension of compliance date.SUMMARY:The Commission is extending the ...

SECURITIES AND EXCHANGE COMMISSION17 CFR Part 270[Release No. IC-26985; File No. S7-03-04]RIN 3235-AJ05Investment Company GovernanceAGENCY:Securities and Exchange Commission.ACTION:Commission Response to Remand by Court of Appeals.SUMMARY:The ...

SECURITIES AND EXCHANGE COMMISSION17 CFR Part 232[Release Nos. 33-8573; 34-51710; 35-27970; 39-2436; IC-26872]RIN 3235-AG96Adoption of Updated EDGAR Filer ManualAGENCY:Securities and Exchange Commission.ACTION:Final rule.SUMMARY:The Securities and ...

SECURITIES AND EXCHANGE COMMISSION17 CFR Part 270[Release No. IC-26782; File No. S7-11-04]RIN 3235-AJ17Mutual Fund Redemption FeesAGENCY:Securities and Exchange Commission.ACTION:Final rule; request for additional comment.SUMMARY:The Securities ...

The Securities and Exchange Commission is adopting a rule addressing the application of the Investment Advisers Act of 1940 to broker-dealers offering certain types of ...

SECURITIES AND EXCHANGE COMMISSION17 CFR Part 240[Release No. 34-50758A; File No. S7-24-04]RIN 3235-AJ26ISSUER RESTRICTIONS OR PROHIBITIONS ON OWNERSHIP BY SECURITIES INTERMEDIARIESAGENCY:Securities and Exchange Commission.ACTION: Final ...

SECURITIES AND EXCHANGE COMMISSION 17 CFR Part 201 [Release Nos. 33-8530; 34-51136; IA-2348; IC-26748] Adjustments to Civil Monetary Penalty Amounts AGENCY: Securities and Exchange Commission. ...

SECURITIES AND EXCHANGE COMMISSION17 CFR Part 248[Release Nos. 34-50781, IA-2332, IC-26685; File No. S7-33-04]RIN 3235-AJ24Disposal of Consumer Report InformationAGENCY:Securities and Exchange Commission.ACTION: Final rule.SUMMARY:The Securities ...

The Commission is adopting a new rule and rule amendments under the Investment Advisers Act of 1940. The new rule and amendments require advisers to ...

SECURITIES AND EXCHANGE COMMISSION17 CFR Part 275[Release Nos. 34-50979; IA-2339; File No. S7-25-99] RIN 3235-AH78Certain Broker-Dealers Deemed Not To Be Investment AdvisersAGENCY:Securities and Exchange Commission.ACTION:Adoption ...