Final Rule Releases

SECURITIES AND EXCHANGE COMMISSION17 CFR Parts 232, 240, and 249[Release No. 34-50486; File No. S7-18-04]RIN 3235-AJ20Proposed Rule Changes of Self-Regulatory OrganizationsAGENCY:Securities and Exchange Commission.ACTION: Final ...

SECURITIES AND EXCHANGE COMMISSION17 CFR Part 270[Release No. IC-26591; File No. S7-09-04]RIN 3235-AJ07Prohibition on the Use of Brokerage Commissions to Finance DistributionAGENCY:Securities and Exchange Commission.ACTION:Final ...

SECURITIES AND EXCHANGE COMMISSION17 CFR Parts 200 and 240[Release No. 34-50295; File No. S7-34-02]RIN 3235-AI61Rule 15c3-3 Reserve Requirements for Margin Related to Security Futures ProductsAGENCY:Securities ...

SECURITIES AND EXCHANGE COMMISSION17 CFR PARTS 240, 241 and 242[Release No. 34-50103; File No. S7-23-03] RIN 3235-AJ00SHORT SALESAGENCY:Securities and Exchange Commission.ACTION:Final rule; Interpretation.SUMMARY:The Securities and ...

SECURITIES AND EXCHANGE COMMISSION 17 CFR Part 270 [Release No. IC-26520; File No. S7-03-04] RIN 3235-AJ05 Investment Company Governance AGENCY: Securities and Exchange Commission. ACTION: ...

The Securities and Exchange Commission is adopting a new rule and related rule amendments under the Investment Advisers Act of 1940 that require registered advisers ...

SECURITIES AND EXCHANGE COMMISSION 17 CFR Part 232 [Release Nos. 33-8454; 34-50160; 35-27881; 39-2424; IC-26525] RIN 3235-AG96 Adoption of Updated EDGAR Filer Manual AGENCY: Securities ...

SECURITIES AND EXCHANGE COMMISSION 17 CFR Part 230 [Release No. 33-8442; File No. S7-17-04] RIN 3235-AJ03 COVERED SECURITIES PURSUANT TO SECTION 18 OF THE SECURITIES ...

SECURITIES AND EXCHANGE COMMISSION17 CFR Parts 200, 240, and 249RIN 3235-AJ02[Release No. 34-49928; File No. S7-05-04]Collection Practices under Section 31 of the Exchange ActAGENCY:Securities and ...

Final Rule: Disclosure of Breakpoint Discounts by Mutual Funds SECURITIES AND EXCHANGE COMMISSION 17 CFR Parts 239 and 274 [Release Nos. 33-8427; 34-49817; IC-26464; File ...