SEC: Rulemaking

The SEC is adopting amendments to the rule under the Investment Company Act of 1940 that permits mergers and other business combinations between certain affiliated ...

SECURITIES AND EXCHANGE COMMISSION17 CFR PART 248 Release Nos. 34-42974, IC-24543, IA-1883; File No. S7-6-00RIN 3235-AH90 Privacy of Consumer Financial Information (Regulation S-P)AGENCY:Securities and Exchange ...

This is the 1994 SEC proposal regarding suitability requirements for RIAs. This proposal, known as IA-1406, was never finalized.