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SECURITIES AND EXCHANGE COMMISSION17 CFR Parts 240 and 249Release No. 34-41356; File No. S7-17-96RIN 3235-AG69Broker-Dealer Registration and ReportingAGENCY:Securities and Exchange Commission.ACTION: Final rule.SUMMARY:The Securities and ...
SECURITIES AND EXCHANGE COMMISSION17 CFR Part 240 [Release No. 34-41453, International Series Release No. 1198, File No. S7-4-99]RIN 3235-AH68Exemption of the Securities of the Kingdom ...
The Securities and Exchange Commission ("Commission") is adopting a new rule and form amendments under the Investment Advisers Act of 1940 for investment advisers that ...
SECURITIES AND EXCHANGE COMMISSION17 CFR Parts 202, 240, 242 and 249 RIN 3235-AH41 Correction to Final Rule: Regulation of Exchanges and Alternative Trading Systems Release ...
SECURITIES AND EXCHANGE COMMISSION17 CFR Parts 202, 240, 242 and 249[Release No. 34-41297; File No. S7-12-98]RIN 3235-AH41Regulation of Alternative Trading Systems; Technical AmendmentAGENCY:Securities and Exchange ...
Final Rule: Rule 701 – Exempt Offerings Pursuant to Compensatory Arrangements SECURITIES AND EXCHANGE COMMISSION 17 CFR Part 230 [Release No. 33-7645; File No. S7-5-98] ...
SECURITIES AND EXCHANGE COMMISSION17 CFR Part 240Release No. 34-41116, International Series Release No. 1186, File No. S7-15-98 RIN 3235-AH46 Exemption of the Securities of the ...