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Final Rule Releases

Delegation of Authority to the General Counsel

BD Rules & Regulatory Actions
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SECURITIES AND EXCHANGE COMMISSION17 CFR Part 200(Release No. 34-37893)Delegation of Authority to the General CounselAGENCY:Securities and Exchange Commission.ACTION: Final rule.SUMMARY:The Securities and Exchange Commission is ...

PERIODIC REPORTING OF UNREGISTERED EQUITY SALES

BD Rules & Regulatory Actions
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SECURITIES AND EXCHANGE COMMISSION17 CFR PARTS 228, 229 AND 249RELEASE NO. 34-37801; INTERNATIONAL SERIES NO. 1020 FILE NO. S7-19-95RIN 3235-AG47PERIODIC REPORTING OF UNREGISTERED EQUITY SALESAGENCY:Securities ...

Technical Amendments to Rule Relating to Payments for the Distribution of Shares by a...

CPO/CTA Rules & Regulatory Actions
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SECURITIES AND EXCHANGE COMMISSION17 CFR Parts 200, 239 and 270Release No. IC-22201; File No. S7-2-96RIN 3235-AG59Technical Amendments to Rule Relating to Payments for the Distribution ...

Exemption for Certain Open-End Management Investment Companies to Impose Deferred Sales Loads

CPO/CTA Rules & Regulatory Actions
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SECURITIES AND EXCHANGE COMMISSION17 CFR Parts 239, 270, and 274Release Nos. 33-7328; IC-22202; File No. S7-8-95RIN 3235-AD18Exemption for Certain Open-End Management Investment Companies to Impose ...

Form BD Amendments

BD Rules & Regulatory Actions
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SECURITIES AND EXCHANGE COMMISSION17 CFR Part 249Release No. 34-37632; File No. S7-2-95RIN 3235-AG25Form BD AmendmentsAGENCY:Securities and Exchange Commission.ACTION:Final Rule: Suspension of Compliance Date for Form ...

Ownership Reports and Trading by Officers, Directors and Principal Security Holders

BD Rules & Regulatory Actions
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SECURITIES AND EXCHANGE COMMISSION17 CFR Parts 228, 229, 240 and 249[Release Nos. 34-37260; 35-26524; IC-21997; File No. S7-21-94]RIN 3235-AH94 RIN 3235-AF66Ownership Reports and Trading by ...
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