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Final Rule Releases
Final Rule: Registration Form Used by Open-End Management Investment Companies SECURITIES AND EXCHANGE COMMISSION 17 CFR Parts 230, 232, 239, 240, 270, and 274 Release ...
Final Rule: Amendment to Rule 102(e) of the Commission’s Rules of Practice SECURITIES AND EXCHANGE COMMISSION 17 CFR Part 201 (Release Nos. 33-7593; 34-40567; 35-26929; ...
The Commission is adopting a new rule and form under the Investment Advisers Act of 1940 that requires most registered investment advisers to file with ...
Final Rule: Update of Registration Form to Reflect Fee Rate Change for Registration of Certain Investment SECURITIES AND EXCHANGE COMMISSION 17 CFR Part 274 (Release ...
The Commission is adopting amendments to the rule under the Investment Advisers Act of 1940 that permits investment advisers to charge certain clients performance or ...
SECURITIES AND EXCHANGE COMMISSION17 CFR Part 240 (Release No. 34-40163A; File No. S7-8-98) RIN 3235-AH42 Year 2000 Readiness Reports to be made by certain transfer ...
SECURITIES AND EXCHANGE COMMISSION17 CFR Part 240 (Release No. 34-40163; File No. S7-8-98)RIN 3235-AH42Year 2000 Readiness Reports To Be Made by Certain Transfer AgentsAGENCY:Securities and ...
SECURITIES AND EXCHANGE COMMISSION17 CFR Part 240(Release No. 34-40162; File No. S7-7-98)RIN 3235-AH36Reports To Be Made by Certain Brokers and DealersAGENCY:Securities and Exchange Commission.ACTION:Final rule. ...