Securities and Exchange Commission

4,841 documents, newest first — showing 4,401–4,600.

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• 1997-08-27Equity Index Insurance Products
• 1997-08-15SEC Division of Investment Management staff letter: Bradley A. Veld
• 1997-08-08CFR Correction to 17 CFR 240.17a-5(g)(1) Audit Objectives for Brokers and Dealers
• 1997-08-08SEC Division of Investment Management staff letter: LNC Equity Sales Corporation
• 1997-08-07Exemption for the Acquisition of Securities During the Existence of An Underwriting or Selling Syndicate
• 1997-08-05SEC Division of Investment Management staff letter: INVESCO Funds Group, Inc.
• 1997-08-04Adoption of Updated EDGAR Filer Manual
• 1997-07-30Order Execution Obligations
• 1997-07-28Regulation of Exchanges: Extension of Comment Period
• 1997-07-25SEC Division of Investment Management staff letter: The Eaton Vance Group of Investment Companies
• 1997-07-24Phase Two Recommendations of Task Force on Disclosure Simplification
• 1997-07-23SEC Division of Investment Management staff letter: Franklin Templeton Group of Funds
• 1997-07-21SEC Division of Investment Management staff letter: MLC Limited
• 1997-07-18Registration Under the Securities Act of 1933 of Certain Investment Company Securities
• 1997-07-18SEC Division of Investment Management staff letter: American International Group, Inc.
• 1997-07-08Rulemaking for EDGAR System
• 1997-07-08SEC Division of Investment Management staff letter: Federated Investors
• 1997-07-08SEC Division of Investment Management staff letter: AmSouth Mutual Funds
• 1997-07-08Rulemaking for the EDGAR System
• 1997-07-07SEC Division of Investment Management staff letter: Charles Schwab & Co., Inc.
• 1997-07-01Amendments to Forms and Schedules to Remove Voluntary Provision of Social Security Numbers
• 1997-07-01SEC Division of Investment Management staff letter: ABN AMRO Bank N.V.
• 1997-06-18Rules Implementing Amendments to the Investment Advisers Act of 1940
• 1997-06-17Covered Securities Pursuant to Section 18 of the Securities Act of 1933
• 1997-06-10SEC Division of Investment Management staff letter: PNC Bank N.A.
• 1997-06-05SEC Division of Investment Management staff letter: First Financial Fund, Inc., et al.
• 1997-06-04Regulation of Exchanges: Concept Release and Request for Comments
• 1997-05-20SEC Division of Investment Management staff letter: Russia Growth Fund, Inc.
• 1997-05-16Custody of Investment Company Assets Outside the United States
• 1997-05-14Expansion of Short-Form Registration To Include Companies With Non-Voting Common Equity
• 1997-05-06Definition of Prepared By or On Behalf of the Issuer for Purposes of Determining if an Offering Document is Subject to State Regulation
• 1997-04-29SEC Division of Investment Management staff letter: Puerto Rico Balanced Fund, Inc.
• 1997-04-28SEC Division of Investment Management staff letter: Merrill Lynch Asset Management
• 1997-04-25SEC Division of Investment Management staff letter: Alliance Funds
• 1997-04-24SEC Division of Investment Management staff letter: Davis, Polk & Wardwell
• 1997-04-18SEC Division of Investment Management staff letter: Dean Witter, Discover & Co.; Morgan Stanley Group Inc.
• 1997-04-16Order Execution Obligations: Revised Compliance Dates and Exemptive Order
• 1997-04-09Privately Offered Investment Companies
• 1997-04-09SEC Division of Trading and Markets no-action letter: Cleary, Gottlieb, Steen and Hamilton
• 1997-04-04Penalty-Reduction Policy for Small Entities
• 1997-04-03SEC Division of Investment Management staff letter: Dessauer Global Equity Fund
• 1997-04-02Informal Guidance Program for Small Entities
• 1997-03-24Adoption of Updated EDGAR Filer Manual; Correction and Delay of Implementation
• 1997-03-18Implementation of Section 10A of the Securities Exchange Act of 1934
• 1997-03-14Definitions of Small Business or Small Organization Under the Investment Company Act of 1940, the Investment Advisers Act of 1940, the Securities Exchange Act of 1934, and the Securities Act of 1933
• 1997-03-12Anti-Manipulation Rules Concerning Securities Offerings; Corrections
• 1997-03-12SEC Division of Investment Management staff letter: Eaton Vance South Asia Portfolio
• 1997-03-10Registration Form Used by Open-End Management Investment Companies
• 1997-03-10Investment Company Names
• 1997-03-10Proposed New Disclosure Option for Open-End Management Investment Companies
• 1997-03-07Rules of the Securities Investor Protection Corporation
• 1997-02-28Delayed Pricing for Certain Registrants
• 1997-02-28SEC Division of Investment Management staff letter: Goodwin, Procter & Hoar
• 1997-02-28Revision of Rule 144, Rule 145 and Form 144
• 1997-02-28Offshore Offers and Sales
• 1997-02-28Revision of Holding Period Requirements in Rules 144 and 145
• 1997-02-27Adoption of Updated EDGAR Filer Manual
• 1997-02-26SEC Division of Investment Management staff letter: I.C.H. Corporation
• 1997-02-25SEC Division of Investment Management staff letter: National Securities Depository Ltd
• 1997-02-21SEC Division of Investment Management staff letter: KDSM, Inc. and Sinclair Capital
• 1997-02-20Exemption of Acquisition by Registered Public-Utility Holding Companies of Securities of Nonutility Companies Engaged in Certain Energy-Related and Gas-Related Activities
• 1997-02-18Definition of Prepared by or on Behalf of the Issuer for Purposes of Determining if an Offering Document is Subject to State Regulation
• 1997-02-14SEC Division of Investment Management staff letter: Indosuez Asset Management Asia Limited
• 1997-02-12Order Execution Obligations
• 1997-02-12Reporting Requirements for Brokers or Dealers Under the Securities Exchange Act of 1934
• 1997-02-12Net Capital Rule
• 1997-02-10Disclosure of Accounting Policies for Derivative Financial Instruments and Disclosure of Quantitative and Qualitative Information About Market Risk Inherent in Derivative Financial Instruments, Other Financial Instruments, and Derivative Commodity Instruments
• 1997-02-07SEC Division of Investment Management staff letter: Nicholas-Applegate Mutual Funds
• 1997-02-07SEC Division of Investment Management staff letter: ITT Hartford Mutual Funds
• 1997-02-07SEC Division of Investment Management staff letter: GE Funds
• 1997-02-03SEC Division of Investment Management staff letter: Dr. William Greene, Stern School of Business
• 1997-01-28Definitions of Small Business or Small Organization Under the Investment Company Act of 1940, the Investment Advisers Act of 1940, the Securities Exchange Act of 1934, and the Securities Act of 1933
• 1997-01-28Designation of Small Business Compliance Guides
• 1997-01-21Plain English Disclosure Proposed Rules
• 1997-01-17Books and Records Requirements for Brokers and Dealers Under the Securities Exchange Act of 1934
• 1997-01-10Order Execution Obligations
• 1997-01-10SEC Division of Investment Management staff letter: Lazard Freres Asset Management
• 1997-01-10Delegation of Authority to Director of Division of Market Regulation
• 1997-01-09Order Execution Obligations
• 1997-01-09List of Rules To Be Reviewed Pursuant to the Regulatory Flexibility Act
• 1997-01-03Anti-manipulation Rules Concerning Securities Offerings
• 1996-12-30Odd-Lot Tender Offers by Issuers
• 1996-12-30Securities Transactions Exempt From Transaction Fees
• 1996-12-27Suspension of Form ADV-S
• 1996-12-27Rules Implementing Amendments to the Investment Advisers Act of 1940
• 1996-12-26Private Investment Companies
• 1996-12-20Revisions to Forms SB-1, SB-2, Regulation A and Regulation S-T With Regard to the Appropriate Place for Filing for Registrants in the Regions Covered by the Northeast, Southeast, Midwest, Central and Pacific Regional Offices
• 1996-12-18SEC Division of Investment Management staff letter: Association for Investment Management and Research
• 1996-12-18SEC Division of Investment Management staff letter: Equitable Life Assurance Society
• 1996-12-18Technical Revisions to the Rules and Forms Regulating Money Market Funds
• 1996-12-17Custody of Investment Company Assets With Futures Commission Merchants and Commodity Clearing Organizations
• 1996-12-12Proposed Rulemaking for the EDGAR System
• 1996-12-11SEC Division of Investment Management staff letter: Eaton Vance Master Portfolio
• 1996-12-11Regulatory Flexibility Agenda; Correction
• 1996-12-03SEC Division of Investment Management staff letter: Plymouth Commercial Mortgage Fund
• 1996-12-02Order Execution Obligations
• 1996-11-27SEC Division of Trading and Markets no-action letter: Charles Schwab & Co., Inc.
• 1996-11-20Extension of Comment Period for Proposed Rules on Lost Securityholders
• 1996-11-08Adjustments to Civil Monetary Penalty Amounts
• 1996-11-05Delegation of Authority to the General Counsel
• 1996-11-01Rules of the Securities Investor Protection Corporation
• 1996-10-28Books and Records Requirements for Brokers and Dealers Under the Securities Exchange Act of 1934
• 1996-10-23SEC Division of Investment Management staff letter: Australian Securities Commission
• 1996-10-18Streamlining Disclosure Requirements Relating to Significant Business Acquisitions
• 1996-10-18Periodic Reporting of Unregistered Equity Sales
• 1996-10-18Offshore Press Conferences, Meetings With Company Representatives Conducted Offshore and Press Related Materials Released Offshore
• 1996-10-08SEC Division of Investment Management staff letter: Pilgrim America, Inc.
• 1996-10-07Adoption of Updated EDGAR Filer Manual
• 1996-10-07SEC Division of Investment Management staff letter: American Odyssey Funds, Inc.
• 1996-09-24Changes Selected Rules In Order To Eliminate Fees Previously Adopted by the Commission Pursuant to the Independent Offices Appropriations Act of 1952
• 1996-09-20SEC Division of Investment Management staff letter: John W. Henry Co. Inc.
• 1996-09-17Exemption for Certain Open-End Management Investment Companies to Impose Deferred Sales Loads
• 1996-09-17SEC Division of Investment Management staff letter: Dean Witter World Wide Investment Trust
• 1996-09-17Technical Amendments to Rule Relating to Payments for the Distribution of Shares by a Registered Open-End Management Investment Company
• 1996-09-17Rule Amendments Relating to Multiple Class and Series Investment Companies
• 1996-09-13SEC Division of Investment Management staff letter: Horizon Asset Management, LLC
• 1996-09-12Order Execution Obligations
• 1996-09-12Proposed Quote Rule Amendment
• 1996-09-10Expansion of Short-Form Registration To Include Companies With Non-voting Common Equity
• 1996-09-09Form BD Amendments: Suspension of Compliance Date
• 1996-09-06SEC Division of Investment Management staff letter: Templeton Vietnam Opportunities Fund, Inc.
• 1996-08-29Implementation of Section 10A of the Securities Exchange Act of 1934
• 1996-08-28Lost Securityholders Proposed Rulemaking
• 1996-08-13SEC Division of Investment Management staff letter: ASX Settlement & Transfer Corporation
• 1996-08-09SEC Division of Investment Management staff letter: Sacha Stawski
• 1996-08-07SEC Division of Investment Management staff letter: Bramwell Growth Fund
• 1996-08-06Staff Accounting Bulletin No. 97
• 1996-08-06SEC Division of Investment Management staff letter: Nicholas-Applegate Mutual Funds
• 1996-08-05SEC Division of Investment Management staff letter: PerfectData Corporation
• 1996-08-05SEC Division of Investment Management staff letter: Interbolsa
• 1996-08-01SEC Division of Investment Management staff letter: State Street Bank & Trust
• 1996-07-29SEC Division of Investment Management staff letter: Investment Company Institute
• 1996-07-19Broker-Dealer Registration and Reporting
• 1996-07-11Amendments to Beneficial Ownership Reporting Requirements
• 1996-07-11SEC Division of Investment Management staff letter: Managed Futures Association
• 1996-07-03SEC Division of Investment Management staff letter: Mr. Frank Mason
• 1996-06-25SEC Division of Investment Management staff letter: John Hancock Fund, Inc.
• 1996-06-24SEC staff letter: Real Goods Trading Corporation
• 1996-06-17SEC Division of Trading and Markets no-action letter: Société de Compensation des Marchés Conditionnels
• 1996-06-14Ownership Reports and Trading by Officers, Directors and Principal Security Holders
• 1996-06-14Phase Two Recommendations of Task Force on Disclosure Simplification
• 1996-06-14SEC Division of Investment Management staff letter: Dreyfus Asset Allocation Fund, Inc.
• 1996-06-14Phase One Recommendations of Task Force on Disclosure Simplification
• 1996-06-14Employee Benefit Plan Exemptive Rules Under Section 16 of the Securities Exchange Act of 1934
• 1996-06-11SEC Division of Investment Management staff letter: Wilkie Farr & Gallagher
• 1996-06-10SEC Division of Investment Management staff letter: American Mutual Life Insurance
• 1996-05-28SEC Division of Investment Management staff letter: World Financial Network National Bank
• 1996-05-24SEC Division of Investment Management staff letter: National Securities Clearing Corp.
• 1996-05-22Proposal To Eliminate Fees Previously Adopted by the Commission Pursuant to the Independent Offices Appropriations Act of 1952
• 1996-05-22SEC Division of Investment Management staff letter: Bancafe/Juan Vico
• 1996-05-17SEC Division of Investment Management staff letter: Metropolitan Life Insurance Company, New England Mutual Life Insurance Company, and New England Variable Life Insurance Company
• 1996-05-17SEC Division of Investment Management staff letter: Munder Capital Management
• 1996-05-15Use of Electronic Media by Broker-Dealers, Transfer Agents, and Investment Advisers for Delivery of Information; Additional Examples Under the Securities Act of 1933, Securities Exchange Act of 1934, and Investment Company Act of 1940
• 1996-05-15Use of Electronic Media for Delivery Purposes
• 1996-05-09Exemption for Certain California Limited Issues
• 1996-05-09SEC Division of Investment Management staff letter: Investment Company Institute
• 1996-05-09Relief From Reporting by Small Issuers
• 1996-05-07SEC Division of Investment Management staff letter: J.P. Morgan Investment Management, Inc.
• 1996-05-07SEC Division of Investment Management staff letter: Blanchard Global Growth Fund
• 1996-04-25Odd-lot Tender Offers by Issuers
• 1996-04-18Trading Practices Rules Concerning Securities Offerings
• 1996-04-16Extension of Comment Period for Proposed Amendments on Derivative Financial Instruments and Market Risk Disclosures
• 1996-04-12SEC Division of Investment Management staff letter: Rowe Price-Fleming International Inc.
• 1996-04-09Safe Harbor for Disclosure of Qualitative and Quantitative Information About Market Risk Inherent in Derivative Financial Instruments, Other Financial Instruments, and Derivative Commodity Instruments
• 1996-04-05SEC Division of Investment Management staff letter: Ramius Capital Management, LLC
• 1996-04-04SEC Division of Investment Management staff letter: Kavilco, Inc.
• 1996-03-28Revisions to Rules Regulating Money Market Funds
• 1996-03-28Rules of Practice
• 1996-03-27Exemption for the Acquisition of Securities During the Existence of an Underwriting Syndicate
• 1996-03-25Staff Accounting Bulletin No. 96
• 1996-03-25SEC Division of Investment Management staff letter: RDM Infodustries, Inc.
• 1996-03-21SEC Division of Investment Management staff letter: DFA Investment Trust
• 1996-03-13Exemption of Securities of Brazil, Argentina, and Venezuela Under the Securities Exchange Act of 1934 for Trading Futures
• 1996-03-11Phase-One Recommendations of Task Force on Disclosure Simplification
• 1996-03-06SEC Division of Trading and Markets no-action letter: London International Financial Futures and Options Exchange (LIFFE)
• 1996-02-26SEC Division of Investment Management staff letter: Cornish & Carey Commercial Inc.
• 1996-02-22SEC Division of Investment Management staff letter: U.S. Department of Labor
• 1996-02-15SEC Division of Investment Management staff letter: Massachusetts Mutual Life
• 1996-02-15SEC Division of Investment Management staff letter: Investment Company Registrant General Letter
• 1996-02-06SEC Division of Investment Management staff letter: Investment Funds Institute of Canada
• 1996-02-02SEC Division of Investment Management staff letter: Lazard Freres Asset Management
• 1996-02-02SEC Division of Investment Management staff letter: G.T. Global Growth Series et al.
• 1996-01-26SEC Division of Investment Management staff letter: Total
• 1996-01-22Order Execution Obligations: Extension of Comment Period
• 1996-01-19Calculation of Yield by Certain Unit Investment Trusts
• 1996-01-19Proposed Rule Amendment to Rule 12b-1 Regarding Shareholder Approval of Plans Adopted Prior to Initial Public Offerings
• 1996-01-08Proposed Amendments to Require Disclosure of Accounting Policies for Derivative Financial Instruments and Derivative Commodity Instruments and Disclosure of Qualitative and Quantitative Information About Market Risk Inherent in Derivative Financial Instruments, Other Financial Instruments, and Derivative Commodity Instruments
• 1995-12-27SEC Division of Investment Management staff letter: The Standish Ayer & Wood Inc. Stable Value Group Trust
• 1995-12-22SEC Division of Investment Management staff letter: The Equitable Life Assurance Society of the United States
• 1995-12-21Staff Accounting Bulletin No. 95
• 1995-12-20Proposed Amendment to Rule 3a12-8 Designating Securities of Brazil, Argentina, and Venezuela as Exempted for Futures Trading
• 1995-12-18List of Rules To Be Reviewed Pursuant to the Regulatory Flexibility Act
• 1995-12-14SEC Division of Investment Management staff letter: The Ayco Company L.P.
• 1995-12-06Exemption of the Securities of the United Mexican States Under the Securities Exchange Act of 1934 for Purposes of Trading Futures Contracts on Those Securities
• 1995-12-06SEC Division of Investment Management staff letter: Principle Preservation Portfolios, Inc.
• 1995-12-06SEC Division of Investment Management staff letter: Maxine Harry
• 1995-12-05SEC Division of Investment Management staff letter: Department of Labor
• 1995-12-01SEC Division of Investment Management staff letter: Pretzel & Stouffer
• 1995-11-29Calculation of Yield by Certain Unit Investment Trusts
• 1995-11-17SEC Division of Investment Management staff letter: Morgan Guaranty Trust Company of New York