Proposed Rules

SECURITIES AND EXCHANGE COMMISSION17 CFR Parts 232, 240, and 249[Release No. 34-49505; File No. S7-18-04]RIN 3235-AJ20Proposed Rule Changes of Self-Regulatory OrganizationsAGENCY:Securities and Exchange Commission.ACTION:Proposed rule.SUMMARY:The ...

SECURITIES AND EXCHANGE COMMISSION17 CFR Parts 200, 230, 240, 242, and 249 [Release No. 34-49325; File No. S7-10-04]RIN 3235-AJ18Regulation NMSAGENCY:Securities and Exchange Commission.ACTION:Proposed rules and ...

SECURITIES AND EXCHANGE COMMISSION17 CFR Parts 239 and 274 [Release Nos. 33-8347; 34-48939; IC-26298; File No. S7-28-03] RIN 3235-AI95 DISCLOSURE OF BREAKPOINT DISCOUNTS BY MUTUAL ...

SECURITIES AND EXCHANGE COMMISSION17 CFR Parts 240 and 249 [Release No. 34-49104; File No. S7-05-04] Collection Practices under Section 31 of the Exchange ActAGENCY:Securities and ...

SECURITIES AND EXCHANGE COMMISSION17 CFR Part 270 [Release No. IC-26288; File No. S7-27-03] RIN 3235-AJ01 Amendments to Rules Governing Pricing of Mutual Fund SharesAGENCY:Securities and ...

SECURITIES AND EXCHANGE COMMISSION17 CFR PARTS 240 and 242[Release No. 34-48709; File No. S7-23-03] RIN 3235-AJ00Short SalesAGENCY:Securities and Exchange Commission.ACTION:Proposed rule.SUMMARY:The Securities and Exchange Commission ...

SECURITIES AND EXCHANGE COMMISSION17 CFR Part 240[Release No. 34-48694; File No. S7-22-03]RIN 3235-AI97Supervised Investment Bank Holding CompaniesAGENCY:Securities and Exchange Commission (the "Commission").ACTION:Proposed rule.SUMMARY:The Commission is ...

SECURITIES AND EXCHANGE COMMISSION 17 CFR Part 240 [Release No. 34-48690; File No. S7-21-03] RIN 3235-AI96 Alternative Net Capital Requirements for Broker-Dealers That Are Part ...

SECURITIES AND EXCHANGE COMMISSION17 CFR Part 240[Release No. 34-48036; File No. S7-13-03]RIN 3235-AI87Recordkeeping Requirements for Registered Transfer AgentsAGENCY:Securities and Exchange Commission.ACTION:Proposed rule.SUMMARY:The U.S. Securities and ...

This is the proposed rule that details the compliance obligations of investment advisers and investment companies. This came out in 2003.