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Final Rule Releases
Webmaster Note: Correction to Final Regulations is now available. SECURITIES AND EXCHANGE COMMISSION 17 CFR PARTS 210, 240, 249 and 274 [RELEASE NO. 33-8183; ...
SECURITIES AND EXCHANGE COMMISSION17 CFR PART 240 [Release No. 34-44992A; File No. S7-26-98] RIN 3235-AH04 Books and Records Requirements for Brokers and Dealers Under the ...
SECURITIES AND EXCHANGE COMMISSION17 CFR PARTs 240 and 242 [Release No. 34-44992 ; File No. S7-26-98] RIN 3235-AH04Books and Records Requirements for Brokers and Dealers ...
SECURITIES AND EXCHANGE COMMISSION17 CFR Parts 200 and 240[Release No. 34-47480; File No. S7-20-02]RIN 3235-AI51Customer Protection — Reserves and Custody of Securities Delegation of Authority ...
Securities and Exchange Commission 17 CFR PART 242 [Release Nos. 33-8193; 34-47384; File No. S7-30-02] RIN 3235-AI60 Regulation Analyst Certification Agency: Securities and Exchange Commission. ...
Final Rule: Disclosure of Proxy Voting Policies and Proxy Voting Records by Registered Management Investment Companies Securities and Exchange Commission 17 CFR Parts 239, 249, ...
Final Rule: Disclosure in Management’s Discussion and Analysis about Off-Balance Sheet Arrangements and Aggregate Contractual Obligations Securities And Exchange Commission 17 CFR Parts 228, 229 ...
SECURITIES AND EXCHANGE COMMISSION 17 CFR PART 249 [RELEASE NO. 33-8183A; 34-47265A; 35-27642A; IC-25915A; IA-2103A, FR-68, File No. S7-49-02] RIN 3235-AI73 STRENGTHENING THE COMMISSION’S REQUIREMENTS ...
Securities and Exchange CommissionRIN 3235-AH16 [Release No. IC-25934; File No. S7-22-01]RIN 3235-AG71Custody of Investment Company Assets with a Securities DepositoryAgencySecurities and Exchange Commission ("Commission").Action:Final rule..SUMMARY:The ...
Final Rule: Conditions for Use of Non-GAAP Financial Measures Securities and Exchange Commission 17 CFR PARTS 228, 229, 244 and 249 [Release No. 33-8176; 34-47226; ...