Final Rule Releases Archives | Page 63 of 69 | Regulatory Compliance Watch

Definition of ‘prepared by or on behalf of the issuer’ for purposes of determining...

PF Rules & Regulatory Actions

RCW Staff -

May 6 1997

Revision of Holding Period Requirements in Rules 144 and 145

PF Rules & Regulatory Actions

RCW Staff -

April 21 1997

IMPLEMENTATION OF SECTION 10A OF THE SECURITIES EXCHANGE ACT OF 1934

BD Rules & Regulatory Actions

RCW Staff -

April 11 1997

SECURITIES AND EXCHANGE COMMISSION17 CFR Parts 210 and 240[Release No. 34-38387; IC-22553; FR-49; File No. S7-20-96].RIN 3235-AG7IMPLEMENTATION OF SECTION 10A OF THE SECURITIES EXCHANGE ACT ...

Order Execution Obligations

BD Rules & Regulatory Actions

RCW Staff -

April 10 1997

SECURITIES AND EXCHANGE COMMISSION17 CFR Part 240 Release No. 34-38139; File No. S7-30-95RIN 3235-AG66Order Execution ObligationsAGENCY:Securities and Exchange Commission.ACTION:Final Rule; Revised Effective Date; Revised Compliance ...

REPORTING REQUIREMENTS FOR BROKERS OR DEALERS UNDER THE SECURITIES EXCHANGE ACT OF 1934

BD Rules & Regulatory Actions

RCW Staff -

April 5 1997

SECURITIES AND EXCHANGE COMMISSION17 CFR Part 240 [Release No. 34-38245; File No. S7-21-93]RIN 3235-AF91REPORTING REQUIREMENTS FOR BROKERS OR DEALERS UNDER THE SECURITIES EXCHANGE ACT OF ...

Informal Guidance Program for Small Entities

PF Rules & Regulatory Actions

RCW Staff -

March 29 1997

Penalty-Reduction Policy for Small Entities

PF Rules & Regulatory Actions

RCW Staff -

March 29 1997

Status of Investment Advisory Programs under the Investment Company Act of 1940

PF Rules & Regulatory Actions

RCW Staff -

March 24 1997

SECURITIES AND EXCHANGE COMMISSION17 CFR Parts 270 and 274Release No. IC-22579; IA-1623; S7-24-95RIN 3235-AG07Status of Investment Advisory Programs under the Investment Company Act of 1940AGENCY:Securities ...