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Final Rule Releases
This SEC final rule makes amendments to require a registered management investment company to provide disclosure in its reports to shareholders regarding the material factors ...
SECURITIES AND EXCHANGE COMMISSION 17 CFR Parts 239 and 274 [Release Nos. 33-8408; IC-26418; File No. S7-26-03] RIN 3235-AI99 Disclosure Regarding Market Timing and Selective ...
SECURITIES AND EXCHANGE COMMISSION17 CFR PART 200[Release No. 34-49562]Revision of Rule Concerning Holding Period and Disclosure Requirements for Members' and Employees' Investment Company TransactionsAGENCY:Securities and ...
SHAREHOLDER REPORTS AND QUARTERLY PORTFOLIO DISCLOSURE OF REGISTERED MANAGEMENT INVESTMENT COMPANIES
SECURITIES AND EXCHANGE COMMISSION17 CFR Parts 210, 239, 249, 270, and 274[Release Nos. 33-8393; 34-49333; IC-26372; File No. S7-51-02]RIN 3235-AG64SHAREHOLDER REPORTS AND QUARTERLY PORTFOLIO DISCLOSURE ...
Securities and Exchange Commission 17 CFR Part 232 [Release Nos. 33-8409; 34-49580; 35-27836; 39-2419; IC-26420] RIN 3235-AG96 Adoption of Updated EDGAR Filer Manual Agency: Securities ...
Webmaster’s Note: See also Rel. No. 33-8410A Securities and Exchange Commission 17 CFR Parts 232, 239, 249, 259, 269 and 274 [Release Nos. 33-8410, 34-49585, ...
SECURITIES AND EXCHANGE COMMISSION17 CFR Part 200[Release No. 34-49259]Delegation of Authority to the Director of the Division of Market RegulationAGENCY:Securities and Exchange CommissionACTION: Final rule.SUMMARY:The ...
This is the final SEC rule commonly known as "the compliance rule." It establishes compliance obligations for investment advisers and investment companies. It came out ...
SECURITIES AND EXCHANGE COMMISSION17 CFR Part 240 [Release No. 34-48949; File No. S7-13-03]RIN 3235-AI87Recordkeeping Requirements for Registered Transfer AgentsAGENCY:Securities and Exchange Commission ("Commission").ACTION: Final rule.SUMMARY:The ...
Securities and Exchange Commission 17 CFR Parts 228, 229, 240, 249, 270 and 274 [Release Nos. 33-8340; 34-48825; IC-26262; File No. S7-14-03] RIN 3235-AI90 Disclosure ...