Final Rule Releases

SECURITIES AND EXCHANGE COMMISSION17 CFR PARTS 232, 240, and 249 (Release Nos. 34-40934; IC-23640. File No. S7-18-97) RIN 3235-AG97 Rulemaking for EDGAR System AGENCY:Securities and ...

SECURITIES AND EXCHANGE COMMISSION(Release No. 34-40761; File No. S7-13-98) RIN 3235-AH39 Amendment To Rule Filing Requirements For Self-Regulatory Organizations Regarding New Derivative Securities Products. AGENCY:Securities ...

The Commission is making technical corrections to rules 204-1 and 202(a)(1)-1 under the Investment Advisers Act of 1940 ("Advisers Act"). Rule 204-1 was published Thursday, ...

SECURITIES AND EXCHANGE COMMISSION17 CFR Part 279(Release No. IA-1733A; File No. S7-28-97)RIN 3235-AH22Final Rule; Technical changes to a Form.AGENCY:Securities and Exchange Commission.ACTION: Final rule.SUMMARY:The Commission ...

SECURITIES AND EXCHANGE COMMISSION 17 CFR Parts 200, 240, 249 [Release No. 34-40594A; File No. S7-30-97] RIN 3235-AH16 OTC Derivatives Dealers; Correction AGENCY:Securities and Exchange ...

SECURITIES AND EXCHANGE COMMISSION17 CFR Parts 200, 240, 249 (Release No. 34-40594; File No. S7-30-97)RIN 3235-AH16 OTC Derivatives DealersAGENCY:Securities and Exchange Commission.ACTION:Final rule.SUMMARY:The Securities and ...

SECURITIES AND EXCHANGE COMMISSION17 CFR Part 240 (Release No. 34-40608; FR-53; File No. S7-7-98) RIN 3235-AH36 Reports to be Made by Certain Brokers and Dealers ...

SECURITIES AND EXCHANGE COMMISSION17 CFR Part 201[Release No. 34-40636; File No. S7-23-98]Rules of PracticeAGENCY:Securities and Exchange Commission.ACTION: Final rules.SUMMARY:The Securities and Exchange Commission is adopting ...

SECURITIES AND EXCHANGE COMMISSION17 CFR Part 240 (Release No. 34-40587; FR-52; File No. S7-8-98) RIN 3235-AH42 Year 2000 Readiness Reports to be Made by Certain ...