| 3235-0548 |
Rule 35d-1 Investment Company Names |
2026-08-06 |
| 3235-0134 |
Rule 15c1-7, 17 CFR 240.15c1-7 (Discretionary Accounts) |
2026-08-06 |
| 3235-0063 |
Exchange Act Form 10-K |
2026-07-31 |
| 3235-0600 |
Order Protection Rule - Rule 611 of Regulation NMS |
2026-07-23 |
| 3235-0571 |
Rule 206(4)-6 Under the Investment Advisers Act of 1940 (17 CFR 275.206(4)-6) |
2026-07-23 |
| 3235-0619 |
Rule 163 |
2026-07-22 |
| 3235-0617 |
Rule 433 |
2026-07-22 |
| 3235-0073 |
Form S-3 - Registration Statement |
2026-07-22 |
| 3235-0067 |
Form S-11 - Registration Statement |
2026-07-22 |
| 3235-0065 |
Form S-1 Registration Statement |
2026-07-22 |
| 3235-0018 |
Rule 15b6-1 and Form BDW |
2026-07-17 |
| 3235-0757 |
Rule 147A(f)(1)(iii) Written Representation as to Purchaser Residency |
2026-07-02 |
| 3235-0756 |
Rule 147(f)(1)(iii) Written Representation as to Purchaser Residency |
2026-07-02 |
| 3235-0679 |
Form PF and Rule 204(b)-1 |
2026-07-02 |
| 3235-0799 |
Rule 17Ad-27 |
2026-06-26 |
| 3235-0582 |
Form N-PX under the Investment Company Act of 1940, Annual Report of Proxy Voting Record |
2026-06-26 |
| 3235-0578 |
Form N-Q--Quarterly Schedule of Portfolio Holdings of Registered Management Investment Company |
2026-06-26 |
| 3235-0025 |
Rule 30e-1 under the Investment Company Act of 1940, Reports to Stockholders of Management Companies |
2026-06-26 |
| 3235-0655 |
Regulation 14N and Schedule 14N |
2026-06-22 |
| 3235-0574 |
Rule 3a-8 under the Investment Company Act; Certain Research and Development Companies |
2026-06-22 |
| 3235-0515 |
Schedule TO |
2026-06-22 |
| 3235-0362 |
Form 5 - Annual Statement of Beneficial Ownership |
2026-06-22 |
| 3235-0328 |
Form ID - Application for EDGAR Access |
2026-06-22 |
| 3235-0287 |
Form 4 - Statement of Changes in Beneficial Ownership of Securities |
2026-06-22 |
| 3235-0104 |
Form 3 - Initial Statement of Beneficial Ownership of Securities |
2026-06-22 |
| 3235-0101 |
Form 144 - Notice of Proposed Sale of Securities Pursuant to Rule 144 under the Securities Act of 1933 |
2026-06-22 |
| 3235-0059 |
Regulation 14A (Commission Rules 14a-1 through 14a-21 and Schedule 14A) |
2026-06-17 |
| 3235-0057 |
Regulation 14C (Commission Rules 14c-1 through 14c-7 and Schedule 14C) |
2026-06-17 |
| 3235-0547 |
Investor Form |
2026-06-08 |
| 3235-0514 |
Rule 8c-1, Hypothecation of customer's securities |
2026-06-04 |
| 3235-0466 |
Rule 103, 17 CFR 242.103 (Nasdaq Passive Market Making) |
2026-06-04 |
| 3235-0313 |
Rule 203-2 and Form ADV-W under the Investment Advisers Act of 1940 |
2026-06-04 |
| 3235-0202 |
Rule 15c2-11, 17 CRF 240.15c2-11 (Publication or submission of quotations without current information) |
2026-06-04 |
| 3235-0200 |
Rule 15c3-1; Net Capital Requirements for Brokers and Dealers |
2026-06-04 |
| 3235-0467 |
Rule 102, 17 CFR 242.102 (Activities by Issuers or Selling Securityholders During a Distribution) |
2026-06-01 |
| 3235-0214 |
Investment Company Act rule 17a-7, 17 C.F.R. Section 270.17a-7 Exemption of Certain Purchase or Sale Transactions Between an Investment Company and Certain Affiliated Persons Thereof. |
2026-06-01 |
| 3235-0565 |
Rule 482 under the Securities Act of 1933 Advertising by an Investment Company as Satisfying Requirements of Section 10 |
2026-05-29 |
| 3235-0026 |
Form N-2 under the Investment Company Act of 1940 and Securities Act of 1933, Registration Statement of Closed-End Management Investment Companies |
2026-05-29 |
| 3235-0196 |
Rule 17a-22, Supplemental Material of Registered Clearing Agencies |
2026-05-28 |
| 3235-0762 |
Rule 15l-1 (Regulation BI- Best Interest) |
2026-05-11 |
| 3235-0465 |
Rule 104, 17 CFR 242.104 (Stabilizing and other activities in connection with an offering) |
2026-05-08 |
| 3235-0357 |
Regulation S - Rules Governing Offers and Sales Made Outside the United States Without Registration Under the Securities Act of 1933 |
2026-04-27 |
| 3235-0731 |
Generic Clearance for the Collection of Qualitative Feedback on Agency Service Delivery |
2026-04-17 |
| 3235-0689 |
Exemption for Certain Multi-State Investment Advisers (Rule 203A-2(d)) |
2026-04-13 |
| 3235-0632 |
Rule 12h-1(f) |
2026-04-13 |
| 3235-0550 |
Securities Act Rule 477 |
2026-04-13 |
| 3235-0538 |
Form ADV-H under the Investment Advisers Act of 1940 |
2026-04-13 |
| 3235-0435 |
Customer Account Statements (17 CFR 242.607) |
2026-04-13 |
| 3235-0310 |
Rule 22d-1 under the Investment Company Act of 1940 - Exemption from section 22(d) to permit sales of redeemable securities at prices which reflect sales loads set pursuant to a schedule. |
2026-04-13 |
| 3235-0269 |
Rule 17f-5 (17 CFR 270.17f-5) under the Investment Company Act of 1940, Custody of Investment Company Assets Outside the United States |
2026-04-13 |
| 3235-0737 |
Rule 22e-4 (17 CFR 270.22e-4) under the Investment Company Act 0f 1940, Investment Company Liquidity Risk Management Programs |
2026-04-10 |
| 3235-0375 |
Schedule 13E-4F |
2026-04-06 |
| 3235-0748 |
Ombudsman Matter Management System (OMMS) Submission Form |
2026-03-30 |
| 3235-0670 |
Rules 201 and 200(g) |
2026-03-30 |
| 3235-0316 |
Form N-3 under the Securities Act of 1933 and under the Investment Company Act of 1940, registration of separate accounts organized as management investment companies. |
2026-03-26 |
| 3235-0336 |
Form N-14, for the registration of securities under the Securities Act of 1933 issued in business combination transaction by investment companies and business development companies. |
2026-03-24 |
| 3235-0198 |
Rule 15c2-5 (17 CFR 240.15c2-5); Disclosure and Other Requirements when Extending or Arranging Credit in Certain Transactions |
2026-03-23 |
| 3235-0562 |
Rule 17d-1 Applications regarding joint enterprises or arrangements and certain profit-sharing plans |
2026-03-20 |
| 3235-0452 |
Notice of Exempt Preliminary Roll-Up Communication |
2026-03-20 |
| 3235-0380 |
Form F-10 - Registration Statement |
2026-03-20 |
| 3235-0376 |
Schedule 14D-1F-Tender Offer Statement |
2026-03-20 |
| 3235-0325 |
Form F-4 - Registration Statement |
2026-03-20 |
| 3235-0258 |
Form F-1 - Registration Statement |
2026-03-20 |
| 3235-0045 |
Rule 19b-4 Filings with Respect to Securities-Based Swap Submissions, Advance Notices and Proposed Rule Changes by Self-Regulatory Organizations and the Security-Based Swap Stay of Clearing Requiremen |
2026-03-13 |
| 3235-0007 |
Rule 13e-3 (Schedule 13E-3) |
2026-03-13 |
| 3235-0730 |
Rule 30b1-9 and Form N-PORT |
2026-03-11 |
| 3235-0718 |
Regulation SBSR (Rules 900 - 912) Reporting and Dissemination of Security-Based Swap Information |
2026-03-06 |
| 3235-0305 |
Rule 13e-1 |
2026-03-06 |
| 3235-0290 |
Rule 17f-1(g), 17 CFR 240.17f-1(g): Recordkeeping Requirements for the Lost & Stolen Securities Program |
2026-03-06 |
| 3235-0354 |
Rule 19b-1 (17 CFR 270.19b-1) under the Investment Company Act of 1940 - Frequency of Distribution of Capital Gains |
2026-03-05 |
| 3235-0324 |
Form S-4 - Registration Statement |
2026-03-05 |
| 3235-0717 |
Rule 3a71-3 Cross Border Security-Based Swap Dealing Activity |
2026-03-04 |
| 3235-0713 |
Rule 15Fi-2 Trade Acknowledgment and Verification of Security-Based Swap Transactions |
2026-03-04 |
| 3235-0554 |
Rule 6a-4 under the Securities Exchange Act of 1934 and Form 1-N under the Securities Exchange Act of 1934 |
2026-03-04 |
| 3235-0510 |
Rule 302 (17 CFR 242.302) Recordkeeping Requirements for Alternative Trading Systems |
2026-03-04 |
| 3235-0507 |
Rule 19b-5 and Form PILOT |
2026-03-04 |
| 3235-0461 |
Dissemination of Quotations -- Rule 602 of Regulation NMS |
2026-03-04 |
| 3235-0278 |
Rule 204-2 under the Investment Advisers Act of 1940 |
2026-03-04 |
| 3235-0256 |
Form F-3 Registration Statement |
2026-03-04 |
| 3235-0247 |
Form N-8B-4 under the Investment Company Act of 1940 - Registration Statement of Face-Amount Certificate Companies |
2026-03-04 |
| 3235-0529 |
Rule 17f-7 (17 CFR 270.17f-7) under the Investment Company Act of 1940, Custody of Investment Company Assets with A Foreign Securities Depository |
2026-03-03 |
| 3235-0801 |
Rule 10b5-1 |
2026-02-12 |
| 3235-0556 |
Rule 15b11-1 and Form BD-N: Application for Registration as a Notice Registered Broker-Dealer |
2026-02-12 |
| 3235-0530 |
Rule 32a-4 (17 CFR Sec. 270.32a-4) under the Investment Company Act of 1940, "Independent Audit Committees" |
2026-02-12 |
| 3235-0132 |
Trust Indenture Act Rules 7a-15 through 7a-37 |
2026-02-12 |
| 3235-0381 |
Form 40-F |
2026-02-10 |
| 3235-0288 |
Form 20-F |
2026-02-10 |
| 3235-0771 |
Rule 3a71-3(d) - Conditional Exception from De Minimis Counting Requirement in Connection with Certain Transactions Arranged, Negotiated or Executed in the United States |
2026-02-06 |
| 3235-0738 |
13n-4 - Access to Data Obtained by Security-Based Swap Data Repositories and Exemption from Indemnification Requirement |
2026-02-06 |
| 3235-0734 |
Rule 22c-1 (17 CFR 270.22c-1) under the Investment Company Act of 1940, Pricing of redeemable securities for distribution, redemption and repurchase |
2026-02-06 |
| 3235-0273 |
Rule 17Ad-10: Accurate Creation and Maintenance of Securityholder Files (17 CFR 240.17Ad-10) |
2026-02-06 |
| 3235-0766 |
Rule 17a-14 and Form CRS under the Exchange Act |
2026-01-30 |
| 3235-0609 |
Regulation S-AM: Limitations on Affilate Marketing |
2026-01-30 |
| 3235-0444 |
Rule 10b-10 Confirmation of Securities Transactions (17 C.F.R. 240.10b-10) |
2026-01-30 |
| 3235-0728 |
Rule 17Ab2-2 - Determinations Affecting Covered Clearing Agencies |
2026-01-28 |
| 3235-0229 |
Form N-17D-1 Report Filed by Small Business Investment Company (SBIC) Registered Under the Investment Company Act of 1940 and an Affiliated Bank, with Respect to Investments by the SBIC and the Bank |
2026-01-28 |
| 3235-0819 |
Voluntary Survey: Cost of AML/CFR Compliance |
2026-01-23 |
| 3235-0012 |
Rule 15b1-1 (Application for Registration of Brokers or Dealers) and Form BD (Uniform Application for Broker-Dealer Registration) |
2026-01-23 |
| 3235-0211 |
Investment Company Act Rule 18f-1, Exemption from certain requirements of Section 18(f)(1) for registered open-end investment companies that have the right to redeem in kind |
2025-12-15 |
| 3235-0767 |
Rule 204-5 under the Investment Advisers Act of 1940 |
2025-12-05 |
| 3235-0279 |
Rule 17a-4; Records to be Preserved by Certain Exchange Members, Brokers and Dealers |
2025-12-04 |
| 3235-0758 |
Rule 30e-3 (17 CFR 270.30e-3) under the Investment Company Act of 1940, "Internet availability of reports to shareholders" |
2025-12-03 |
| 3235-0282 |
Rule 23c-2, Call and Redemption of Securities Issued by Registered Closed-End Companies |
2025-11-28 |
| 3235-0066 |
Form S-8-Securities Act Registration Statement |
2025-11-28 |
| 3235-0764 |
6c-11 under the Investment Company Act of 1940 (17 CFR 270.6c-11), Exchange-Traded Funds |
2025-11-25 |
| 3235-0410 |
Rule 17h-1T (17 CFR 240.17h-1T); Risk assessment record-keeping requirements for associated persons of brokers and dealers Rule 17h-2T (17 CFR 240.17h-2T); Risk assessment reporting requirement |
2025-11-24 |
| 3235-0564 |
Rule 17a-6, Exemption for Transactions with Portfolio Affiliates |
2025-11-18 |
| 3235-0383 |
Form F-7 - Registration Statement |
2025-11-18 |
| 3235-0219 |
Rule 30a-1 (17 CFR 270.30a-1) under the Investment Company Act |
2025-11-18 |
| 3235-0208 |
Rule 17a-1, Recordkeeping Rule for National Securities Exchanges, National Securities Associations, Registered Clearing Agencies, and the Municipal Securities Rulemaking Board |
2025-11-18 |
| 3235-0035 |
Rule 17a-13, Quarterly Security Counts to be made by Certain Exchange Members, Brokers, and Dealers |
2025-11-18 |
| 3235-0033 |
Rule 17a-3; Records to be Made by Certain Exchange Members, Brokers and Dealers |
2025-11-18 |
| 3235-0064 |
Exchange Act Form 10 |
2025-11-13 |
| 3235-0700 |
Rule 18a-4, Segregation requirements for security-based swap dealers and major security-based swap participants |
2025-09-25 |
| 3235-0504 |
Rule 19b-4(e) under the Securities Exchange Act of 1934 |
2025-09-25 |
| 3235-0120 |
Form 18-K - Annual Report |
2025-09-25 |
| 3235-0109 |
Rule 12d1-3 |
2025-09-25 |
| 3235-0733 |
Rule of Practice 194 |
2025-09-19 |
| 3235-0701 |
Rule 18a-1, Net Capital Requirements For Security-Based Swap Dealers For Which There Is Not a Prudential Regulator |
2025-09-19 |
| 3235-0699 |
Rule 18a-2, Capital requirements for major security-based swap participants for which there is not a prudential regulator. |
2025-09-19 |
| 3235-0462 |
Display of Customer Limit Orders |
2025-09-19 |
| 3235-0006 |
Form 13F, Report of Institutional Investment Managers |
2025-09-19 |
| 3235-0673 |
Rule 15c3-5, Risk Management Controls for Brokers or Dealers with Market Access |
2025-09-16 |
| 3235-0382 |
Schedule 14D-9F - Canadian Securities |
2025-09-12 |
| 3235-0378 |
Form F-8 - Registration Statement |
2025-09-12 |
| 3235-0047 |
Rule 204-3, Delivery of brochures and brochure supplements |
2025-09-12 |
| 3235-0469 |
Rule 17Ad-17, Transfer Agents' Obligation to Search for Lost Securityholders |
2025-09-08 |
| 3235-0089 |
Rule 15Ba2-4, Registration of successor to registered municipal securities dealer |
2025-09-08 |
| 3235-0088 |
Rule 15Ba2-5, Registration of fiduciaries |
2025-09-08 |
| 3235-0087 |
Rule 15Bc3-1, Form MSDW - Withdrawal from Registration of Municipal Securities Dealers |
2025-09-08 |
| 3235-0083 |
Registration of Municipal Securities Dealers (Form MSD, Form MSDW, and Rule 15Ba2-5 Statements) |
2025-09-08 |
| 3235-0540 |
Rule 17a-25, Electronic Submission of Securities Trading Data by Exchange Members, Brokers, and Dealers |
2025-09-05 |
| 3235-0522 |
Rule 701-Exemption for offers and sales of securities pursuant to certain compensatory benefit plans and contracts relating to compensation |
2025-09-05 |
| 3235-0108 |
Rule 14f-1 - Change in Majority of Directors |
2025-09-05 |
| 3235-0721 |
Form 1-SA |
2025-09-03 |
| 3235-0563 |
Rule 17a-10, Exemption for transactions with certain subadvisory affiliates |
2025-09-02 |
| 3235-0131 |
Rule 17a-7, Records of non-resident brokers or dealers |
2025-08-28 |
| 3235-0311 |
Rule 7d-1, Specification of conditions and arrangements for Canadian management investment companies requesting order permitting registration |
2025-08-13 |
| 3235-0769 |
Rule 139b, Disclosure of Standardized Performance |
2025-08-11 |
| 3235-0747 |
Rule 607 under Regulation E, Sales Material to Be Filed |
2025-08-11 |
| 3235-0107 |
Form T-4 - Application For Exemption |
2025-08-08 |
| 3235-0732 |
Business Conduct Standards for Security-Based Swap Dealers and Major Security-Based Swap Participants |
2025-08-07 |
| 3235-0597 |
Form R31: Monthly Transaction Reporting for Self-Regulatory Organizations' Rule 31 Fees |
2025-08-07 |
| 3235-0206 |
Rule 19d-1, SRO disciplinary actions, denial, bar, prohibition, or limitation of membership, summarily suspending a member and delisting a security |
2025-08-07 |
| 3235-0204 |
Rule 19d-3, Application for Review of Final Disciplinary Sanctions Denials of Membership Participation or Limitations of Access to Services Imposed by Self-Regulatory Organizations |
2025-08-07 |
| 3235-0070 |
Exchange Act Form 10-Q |
2025-08-07 |
| 3235-0692 |
Regulation S-ID, Identity Theft Red Flags Rules |
2025-08-01 |
| 3235-0527 |
Rule 7d-2, Definition of "public offering" as used in section 7(d) of the Act with respect to certain Canadian tax-deferred retirement savings accounts |
2025-08-01 |
| 3235-0413 |
Rule 17Ad-16, Notice of assumption or termination of transfer agent services |
2025-08-01 |
| 3235-0241 |
Rule 206(4)-2, Custody of Funds or Securities of Clients by Investment Advisers |
2025-08-01 |
| 3235-0116 |
Form 6-K - Exchange Act Rules 13a-16 and 15d-16 |
2025-08-01 |
| 3235-0060 |
Exchange Act Form 8-K |
2025-08-01 |
| 3235-0729 |
Form N-CEN |
2025-07-29 |
| 3235-0702 |
Rule 18a-3, Security-Based Swap Margin Requirements for Non-Prudentially Regulated Entities |
2025-07-29 |
| 3235-0561 |
Rule 12d3-1, Exemption of acquisitions of securities issued by persons engaged in securities related businesses |
2025-07-15 |
| 3235-0691 |
Form Custody |
2025-07-08 |
| 3235-0802 |
Odd-Lot Information Acceleration |
2025-07-07 |
| 3235-0528 |
Rule 237, Exemption for offers and sales to certain Canadian tax-deferred retirement savings accounts |
2025-06-27 |
| 3235-0645 |
Interactive Data |
2025-06-24 |
| 3235-0404 |
Form F-80, Canadian Securities |
2025-06-24 |
| 3235-0391 |
Form T-6 |
2025-06-24 |
| 3235-0121 |
Form 18, Registration Form |
2025-06-24 |
| 3235-0111 |
Form T-2, Statement of Eligibility under the Trust Indenture Act of 1939 of an Individual Designated to Act as a Trustee |
2025-06-24 |
| 3235-0110 |
Form T-1, Statement of eligibility and qualification under the Trust Indenture Act of 1939 of a Corporation designated to act as a Trustee |
2025-06-24 |
| 3235-0105 |
Form T-3, Application for Qualification of an Indenture under the Trust Indenture Act of 1939 |
2025-06-24 |
| 3235-0056 |
Form 8-A |
2025-06-24 |
| 3235-0123 |
Rule 17a-5, Form X-17A-5 (FOCUS REPORT) |
2025-06-18 |
| 3235-0498 |
Rule 17a-12, Reporting Requirements for OTC Derivatives Dealers |
2025-06-12 |
| 3235-0749 |
Rule 18a-7 – Reports to be Made by Certain Security-Based Swap Dealers and Major Security-Based Swap Participants |
2025-06-11 |
| 3235-0726 |
Crowdfunding Rules 300-304 (Intermediaries) |
2025-06-11 |
| 3235-0633 |
Rule 0-4, General Requirements of Papers and Applications |
2025-05-29 |
| 3235-0555 |
Rule 6h-1 Under the Securities Exchange Act of 1934 |
2025-05-21 |
| 3235-0224 |
Rule 17j-1 (17 CFR 270.17j-1) under the Investment Company Act of 1940, Personal Investment Activities of Investment Company Personnel |
2025-05-15 |
| 3235-0259 |
Rule 19h-1 - Notices by SROs of Proposed Admission to or Continuance in Membership or Participation or Association with a Member of any Person Suject to a Statutory Disqualification |
2025-05-12 |
| 3235-0727 |
Crowdfunding - Rules 400-404 (Funding Portals) |
2025-05-09 |
| 3235-0787 |
OASB Generic Clearance |
2025-04-11 |
| 3235-0496 |
Rule 15c3-1f (Appendix F to Rule 15c3-1), Optional Market and Credit Risk Requirements for OTC Derivatives Dealers |
2025-04-10 |
| 3235-0596 |
Rule 204A-1 |
2025-04-08 |
| 3235-0536 |
Regulation FD - Other Disclosure Materials |
2025-04-08 |
| 3235-0240 |
Rule 0-2 and Form ADV-NR under the Investment Advisers Act of 1940 |
2025-04-08 |
| 3235-0212 |
Rule 12b-1 [17 CFR 270.12b-1] under the Investment Company Act of 1940: Distribution of Shares by Registered Open-end Management Investment Company |
2025-04-08 |
| 3235-0082 |
Form 11-K |
2025-03-20 |
| 3235-0058 |
Form 12b-25 - Notification of Late Filing |
2025-03-18 |
| 3235-0672 |
Electronic Data Collection System-Tips, Complaints, Referrals (TCR) and Form TCR |
2025-03-10 |
| 3235-0468 |
Rule 10A-1 under the Securities Exchange Act of 1934 |
2025-03-07 |
| 3235-0425 |
Form TH (Notification Of Reliance On Temporary Hardship Exemption) |
2025-03-07 |
| 3235-0327 |
Form SE - EDGAR Exhibits |
2025-03-07 |
| 3235-0687 |
Rule 239 |
2025-03-04 |
| 3235-0658 |
Rule 22e-3 (17 CFR 270.22e-3) under the Investment Company Act of 1940. Exemption for liquidation of money market funds |
2025-03-03 |
| 3235-0739 |
CONDITIONAL EXEMPTION UNDER THE SECURITIES EXCHANGE ACT OF 1934 FROM THE CONFIRMATION REQUIREMENTS OF EXCHANGE ACT RULE 10b-10(a) FOR CERTAIN TRANSACTIONS IN MONEY MARKET FUNDS |
2025-02-28 |
| 3235-0371 |
Rule 15a-6; Foreign Broker-Dealer Exemption |
2025-02-28 |
| 3235-0274 |
Reports regarding aged record differences, buy-ins and failure to post certificate detail to master securityholder and subsidiary files (17 CFR 240.17Ad-11) |
2025-02-28 |
| 3235-0235 |
Rule 17a-8 of the Investment Company Act of 1940; Mergers of affiliated companies |
2025-02-28 |
| 3235-0225 |
Rule 17f-4 (17 CFR 270.17f-4) under the Investment Company Act of 1940, "Custody of Investment Company Assets with a Securities Depository" |
2025-02-28 |
| 3235-0021 |
Rule 6a-3 Supplemental Material to be Filed by Exchanges |
2025-02-28 |
| 3235-0572 |
Reports of Evidence of Material Violations |
2025-02-27 |
| 3235-0017 |
Form 1, Rules 6a-1 and 6a-2 Form of Application and Amendments |
2025-02-27 |
| 3235-0627 |
Rule 17g-4 Prevention of misuse of material nonpublic information |
2025-02-26 |
| 3235-0175 |
Form N-8A under the Investment Company Act of 1940: Notification of Registration of Investment Companies |
2025-02-26 |
| 3235-0763 |
Regulation ATS Rule 304 and Form ATS-N |
2025-02-25 |
| 3235-0372 |
Municipal Securities Disclosure (17 CFR 240.15c2-12) |
2025-02-06 |
| 3235-0505 |
Rule 303 (17 CFR 242.303) Record Preservation Requirements for Alternative Trading Systems |
2025-01-30 |
| 3235-0078 |
Rule 15c3-3; Customer Protection - Reserves and Custody of Securities (17 CFR 240.15c3-3) |
2025-01-24 |
| 3235-0541 |
Rule 606 of Regulation NMS (f/k/a Rule 11Ac1-6) |
2025-01-15 |
| 3235-0494 |
Rule 30e-2 (17 CFR 270.30e-2) pursuant to Section 30(e) of the Investment Company Act of 1940 (15 U.S.C. 80a-29(e)), Reports to Shareholders of Unit Investment Trusts |
2025-01-10 |
| 3235-0459 |
Rule 3a-4 (17 CFR 270.3a-4) under the Investment Company Act of 1940, "Status of Investment Advisory Programs." |
2025-01-10 |
| 3235-0337 |
Transfer Agent's Annual Report 17 CFR 240.17Ac2-2, Form TA-2 |
2025-01-10 |
| 3235-0703 |
Regulation SCI and Form SCI |
2024-12-30 |
| 3235-0579 |
Regulation BTR |
2024-12-30 |
| 3235-0576 |
Regulation G |
2024-12-30 |
| 3235-0130 |
Turnaround, Processing and Forwarding of Items, C.F.R. 240.17Ad-2 (c), (d), (h) |
2024-12-30 |
| 3235-0813 |
EDGAR Filer Management Dashboard |
2024-12-27 |
| 3235-0647 |
Rule 204 |
2024-12-26 |
| 3235-0379 |
Form F-X |
2024-12-26 |
| 3235-0785 |
Rule 18a-10 - Alternative compliance mechanism for security-based swap dealers that are registered as swap dealers and have limited security-based swap activities |
2024-12-20 |
| 3235-0497 |
Rule 15c3-4; Internal Risk Management Control Systems. |
2024-12-20 |
| 3235-0811 |
Rule 17Ad-26 - Proposed Rule: Covered Clearing Agency Recovery and Orderly Wind-Down Plans |
2024-12-18 |
| 3235-0695 |
Rule 17Ad-22 Clearing Agency Standards for Operation and Governance |
2024-12-18 |
| 3235-0696 |
Registration Requirements for Security-based Swap Dealers and Major Security-based Swap Participants |
2024-12-13 |
| 3235-0361 |
Form ADV-E, cover sheet for each certificate of accounting of client securities and funds in the custody of an investment adviser |
2024-12-13 |
| 3235-0158 |
Rule 20a-1 under the Investment Company Act of 1940, Solicitation of Proxies, Consents and Authorizations |
2024-12-13 |
| 3235-0723 |
Form 1-Z |
2024-12-11 |
| 3235-0722 |
Form 1-U |
2024-12-11 |
| 3235-0720 |
Form 1-K |
2024-12-11 |
| 3235-0675 |
Rule 15Ga-2 and Form ABS-15G |
2024-12-11 |
| 3235-0495 |
Rule 154 under the Securities Act of 1933, “Delivery of Prospectuses to Investors at the Same Address.” 17 CFR 230.154. |
2024-12-06 |
| 3235-0157 |
Form N-8F Application for Deregistration of Certain Registered Investment Companies |
2024-12-03 |
| 3235-0481 |
Rule 15c2-8, 17 CFR 240.15c2-8 Delivery of Prospectus |
2024-12-02 |
| 3235-0232 |
Form 1-E-Notification Under Regulation E; Rule 604-Filing or Notification on Form 1-E; Rule 605-Filing and Use of the Offering Circular |
2024-12-02 |
| 3235-0037 |
Reporting of missing, lost, stolen or counterfeit securities (17 CFR Section 240.17f-1(c); Form X-17F-1A (17 CFR Section 249.100) |
2024-12-02 |
| 3235-0032 |
Exchange Act Rule 17f-1(b) - Requirements for reporting and inquiry with respect to missing, lost, stolen, or counterfeit securities (17 CFR 240.17f-1(b)) |
2024-12-02 |
| 3235-0243 |
Rule 206(3)-2 under the Investment Advisers Act of 1940 -- Agency Cross Transactions for Advisory Clients |
2024-11-29 |
| 3235-0217 |
Investment Company Act rule 17e-1, CFR Sec. 270.17e-1, Brokerage Transactions on a Securities Exchange |
2024-11-29 |
| 3235-0685 |
Rule 3a68-2 (Interpretation of Swaps, Security-Based Swaps, and Mixed Swaps) and Rule 3a68-4(c) (Process for Determining Regulatory Treatment for Mixed Swaps) |
2024-11-27 |
| 3235-0509 |
Regulation ATS Rule 301 Amendments |
2024-11-20 |
| 3235-0447 |
Rule 17f-6 [17 CFR 270.17f-6], "Custody of Investment Company Assets with Futures Commission Merchants and Commodity Clearing Organizations." |
2024-11-20 |
| 3235-0128 |
Exchange Act Rule 12f-1 Application to Reinstate Unlisted Trading Privileges (17 CFR 240.12f-1) |
2024-11-20 |
| 3235-0575 |
Regulation AC |
2024-11-08 |
| 3235-0199 |
Rule 17a-5(c); Customer Financial Statements for Brokers and Dealers. |
2024-11-08 |
| 3235-0081 |
Exchange Act Rule 12d2-1 (17 CFR 240.12d2-1): Suspension of Trading |
2024-11-08 |
| 3235-0034 |
Rule 17f-2(a): Fingerprinting Requirements for Securities Professionals |
2024-11-08 |
| 3235-0341 |
Rule 17Ad-4(b)&(c): Notices Regarding Exempt Transfer Agent Status |
2024-11-05 |
| 3235-0260 |
Rule 23c-1 Repurchase of Securities of Closed-End Companies |
2024-10-29 |
| 3235-0794 |
Market Data Infrastructure -- Rule 614(d)(9) |
2024-10-25 |
| 3235-0604 |
Exchange Act Form 10-D |
2024-10-24 |
| 3235-0725 |
OMWI Contract Standard for Contractor Workforce Inclusion |
2024-10-21 |
| 3235-0585 |
Investment Advisers Act rule 206(4)-7, 17 C.F.R. Sec. 275.206(4)- 7, Compliance procedures and practices. |
2024-10-08 |
| 3235-0275 |
Exchange Act Rules 17Ad-13; Annual Study and evaluation of internal accounting control |
2024-10-08 |
| 3235-0028 |
Retention of Fingerprint Cards (17 CFR 240.17f-2(d)) |
2024-10-08 |
| 3235-0624 |
Regulation R-Rule Rule 701. Exemption from the definition of "broker" for certain institutional referrals. |
2024-10-01 |
| 3235-0409 |
Notices regarding acceptance or rejection of securities transfer guarantees. 17 CFR 240.17Ad-15 |
2024-09-26 |
| 3235-0286 |
Regulation A (Form 1-A): Small Issuer exemption from registration under the Securities Act and its attendant form |
2024-09-20 |
| 3235-0169 |
Form N-5, registration statement of small business investment companies under the Securities Act of 1933 and the Investment Company Act of 1940 |
2024-09-20 |
| 3235-0719 |
Rules 13n-1 to 13n-11 and Form SDR |
2024-09-13 |
| 3235-0422 |
Repurchase Offers by Closed-End Companies, Rule 23c-3 and Form N-23c-3 |
2024-09-13 |
| 3235-0777 |
Rules 15Fi-3 through 15Fi-5 – Risk Mitigation Techniques for Uncleared Security-Based Swaps |
2024-09-06 |
| 3235-0537 |
Regulation S-P; Privacy of consumer financial information (17 CFR Part 248) |
2024-09-06 |
| 3235-0784 |
Rule 206(4)-1 Under the Investment Advisers Act of 1940 |
2024-09-05 |
| 3235-0620 |
Investment Company Act rule 22c-2, 17 CFR 270.22c-2 Mutual Fund Redemption Fees |
2024-09-05 |
| 3235-0584 |
Rule 12d1-1 Exemptions for Investments in Money Market Funds |
2024-09-05 |
| 3235-0276 |
Rule 6c-7 [17 CFR 270.6c-7] under the Investment Company Act of l940: Exemption from Certain Provisions of Section 22(e) and 27 for Registered Separate Accounts Offering Variable Annuity Contracts to |
2024-09-05 |
| 3235-0226 |
Rule 10f-3 (17 CFR 270.10f-3) under the Investment Company Act of 1940, Exemption for the Acquisition of Securities During the Existence of an Underwriting or Selling Syndicate |
2024-09-03 |
| 3235-0223 |
Rule 17f-2 (17 CFR 270.17f-2) under the Investment Company Act of 1940, Custody of Investments by Registered Management Investment Company. |
2024-09-03 |
| 3235-0489 |
Securities Exchange Act of 1934 Rule 17a-6 (17 CFR 240.17a-6); Right of National Securities Exchange, National Securitise Association, Registered clearing Agency or the Municipal Securities ... |
2024-08-29 |
| 3235-0395 |
Rule 15g-6; Account Statements for Penny Stock Customers |
2024-08-27 |
| 3235-0394 |
Rule 15g-5; Disclosure of Compensation of Associated Persons in Connection with Penny Stock Transactions |
2024-08-19 |
| 3235-0693 |
Rule 17g-8 Policies and procedures and Rule 17g-9 Standards of training, experience, and competence for credit analysts |
2024-08-15 |
| 3235-0656 |
Rule 17g-7 : Reports to be made public by nationally recognized statistical rating organizations (NRSROs) |
2024-08-14 |
| 3235-0649 |
Rule 17g-5 Conflicts of Interest |
2024-08-14 |
| 3235-0393 |
Rule 15g-4; Disclosure of compensation to brokers or dealers |
2024-08-09 |
| 3235-0029 |
Fingerprinting Plans of Self-Regulatory Organizations. (17 CFR 240.17f-2(c)) |
2024-08-09 |
| 3235-0715 |
Rule 3a71-6 Substituted Compliance for Foreign Security-Based Swap Entities |
2024-07-30 |
| 3235-0622 |
Interagency Statement on Sound Practices Concerning Complex Structured Finance Activities |
2024-07-30 |
| 3235-0194 |
Exchange Act Rule 24b-1 - Documents to be kept public by exchanges (17 CFR 240.24b-1). |
2024-07-30 |
| 3235-0765 |
Rule 498A Summary Prospectus for Variable Annuity and Variable Life Insurance Contracts |
2024-07-29 |
| 3235-0642 |
Investment Company Interactive Data |
2024-07-29 |
| 3235-0456 |
Form 24F-2 (17 CFR 274.24) -- Annual Notice of Securities Sold Pursuant to Rule 24f-2 |
2024-07-29 |
| 3235-0392 |
Rule 15g-3; Broker-Dealer Disclosure of Quotations and other Information Relating to the Penny Stock Market |
2024-07-29 |
| 3235-0318 |
Form N-4 (17 CFR 239.17b) under the Securities Act of 1933 and (17 CFR 274.11c) under the Investment Company Act of 1940, registration statement of separate accounts organized as unit investment trust |
2024-07-29 |
| 3235-0503 |
Form N-6 (17 CFR 239.17c) under the Securities Act of 1933 and (17 CFR 274.11d) under the Investment Company Act of 1940, Registration Statement of Separate Accounts Organized as Unit Investment Trust |
2024-07-16 |
| 3235-0706 |
Form ABS-EE |
2024-07-15 |
| 3235-0586 |
Investment Company Act Rule 38a-1, 17 C.F.R 270.38a-1, Compliance procedures and practices of registered investment companies. |
2024-07-15 |
| 3235-0697 |
Form SD |
2024-07-10 |
| 3235-0712 |
Credit Risk Retention - Regulation RR |
2024-06-30 |
| 3235-0694 |
Rule 17g-10 Certification of providers of third-party due diligence services in connection with asset-backed securities & Form ABS Due Diligence-15E |
2024-06-28 |
| 3235-0292 |
Form F-6-Registration Statement |
2024-06-28 |
| 3235-0167 |
Form 15 |
2024-06-28 |
| 3235-0119 |
Securities Exchange Act 1934 - Rule 12g3-2 |
2024-06-28 |
| 3235-0084 |
Rule 17Ac2-1, 17 CFR 240.17Ac2-1 and Form TA-1 (Transfer Agent Registration) |
2024-06-26 |
| 3235-0752 |
Rule 18a-9 – Quarterly Security Counts to be Made by Certain Security-Based Swap Dealers |
2024-06-17 |
| 3235-0610 |
Rule 248.30; 17 C.F.R Sec. 248.30, Procedures to safegard customer records and information; disposal of consumer report information. |
2024-06-17 |
| 3235-0751 |
Rule 18a-6 – Records to be preserved by certain security-based swap dealers and major security-based swap participants |
2024-05-24 |
| 3235-0559 |
Exemption for Certain Investment Advisers Operating Through the Internet (Rule 203A-2(e)) |
2024-05-22 |
| 3235-0307 |
Form N-1A under the Securities Act of 1933 and under the Investment Company Act of 1940, registration statement of open- end management investment companies |
2024-05-22 |
| 3235-0049 |
Form ADV |
2024-05-22 |
| 3235-0686 |
Implementing The Whistleblower Provisions of Section 21F of the Securities Exchange Act of 1934 Form WB-APP and Form TCR |
2024-05-20 |
| 3235-0076 |
Regulation D (Form D) |
2024-05-18 |
| 3235-0750 |
Rule 18a-8 – Notification Provisions for Security-Based Swap Dealers and Major Security-Based Swap Participants |
2024-05-10 |
| 3235-0291 |
Rules 17Ad-6, 17 CFR 240.17Ad-6 and 17Ad-7, 17 CFR 240.17Ad-7: Recordkeeping Requirements for Registered Transfer Agents |
2024-05-10 |
| 3235-0478 |
Exchange Act Rule 11a1-1(T) (17 CFR 240.11a1-1(T)); Transactions yielding priority, parity, and precedence |
2024-05-06 |
| 3235-0716 |
Form C |
2024-05-04 |
| 3235-0095 |
Rule 236 - Exemption of Shares Offered in Connection with Certain Transactions |
2024-05-02 |
| 3235-0249 |
Exchange Act Rule 12f-3 - Termination or Suspension of Unlisted Trading Privileges (17 CFR 240.12f-3) |
2024-04-23 |
| 3235-0080 |
Rule 12d2-2 (17 CFR 240.12d2-2) and Form 25 (17 CFR 249.25) - Removal from Listing and Registration |
2024-04-19 |
| 3235-0778 |
Market Data Infrastructure |
2024-04-18 |
| 3235-0626 |
Rule 17g-3 Annual financial and other reports to be filed or furnished by nationally recognized statistical rating organizations |
2024-04-17 |
| 3235-0542 |
Rule 605 of Regulation NMS (f/k/a Rule 11Ac1-5) |
2024-04-16 |
| 3235-0480 |
Exchange Act Rule 9b-1 (17 CFR 240.9b-1): Options Disclosure Document |
2024-04-12 |
| 3235-0358 |
Rule 11a-3 under the Investment Company Act of 1940 - Offers of Exchange by Open-End Investment Companies Other Than Separate Accounts. |
2024-04-11 |
| 3235-0724 |
Office of Minority and Women Inclusion (OMWI) Supplier Management System |
2024-04-05 |
| 3235-0776 |
Rule 18f-4 under the Investment Company Act of 1940, Use of Derivatives by Registered Investment Companies and Business Development Companies |
2024-03-28 |
| 3235-0682 |
Rule 13h-1 Large Trader Reporting System |
2024-03-28 |
| 3235-0346 |
Rule 34b-1 (17 CFR 270.34b-1) under the Investment Company Act of 1940, Sales Literature Deemed to be Misleading. |
2024-03-28 |
| 3235-0745 |
Exchange Act Rule 18a-5 |
2024-03-21 |
| 3235-0195 |
Rule 17Ab2-1 Registration of Clearing Agencies (17 CFR 24017Ab2- 1a) and Form CA-1 (17 CFR 249b.200 |
2024-03-06 |
| 3235-0176 |
Family of rules under section 8(b) of the Investment Company Act of 1940. 17 CFR 270.8b-1 to 270.8b-33. |
2024-02-16 |
| 3235-0780 |
Rule 0-5 under the Investment Company Act of 1940, Procedure with Respect to Applications and Other Matters |
2024-02-13 |
| 3235-0220 |
Rule 30b2-1 under the Investment Company Act of 1940, Filing of Reports to Stockholders |
2024-02-06 |
| 3235-0648 |
Rule 498 under the Securities Act of 1933, Summary Prospectuses for Open-End Management Investment Companies |
2024-01-25 |
| 3235-0441 |
Rule 18f-3 (17 CFR 270.18f-3) under the Investment Company Act of 1940, Multiple class companies |
2024-01-25 |
| 3235-0639 |
Rule 12d1-4 Under the Investment Company Act of 1940, Fund of Funds Arrangements. |
2024-01-22 |
| 3235-0272 |
Rule 11a-2 (CFR 270.11a-2) under the Investment Company Act of 1940:Offersof Exchange by Certain Registered Separate Accounts or Others the Terms of Which Do Not Require Commission Approval |
2024-01-22 |
| 3235-0238 |
Form N-6F under the Investment Company Act of 1940, notice of intent to elect to be subject to Section 55 through 65 of the Investment Company Act of 1940 |
2024-01-22 |
| 3235-0237 |
Form N-54A under the Investment Company Act of 1940; Notification of Election to be Subject to Sections 55 through 65 of the Investment Company Act of 1940 filed pursuant to Section 54(a) of the Act |
2024-01-22 |
| 3235-0222 |
Investment Company Act Rule 17f-1, "Custody of Securities with Members of National Securities Exchanges" |
2024-01-22 |
| 3235-0145 |
Regulation 13D and Regulation 13G; Schedule 13D and Schedule 13G |
2024-01-19 |
| 3235-0817 |
Rule 211(h)(2)-1 under the Investment Advisers Act of 1940 |
2024-01-04 |
| 3235-0479 |
Rule 15c2-7, Identification of Quotations (17 CFR 240.15c2-7) |
2023-12-29 |
| 3235-0816 |
Rule 15l-2 Conflicts of Interest |
2023-12-21 |
| 3235-0485 |
Rule 15c2-1; Hypothecation of Customer Securities |
2023-12-21 |
| 3235-0411 |
Rule 489 (17 CFR 230.489) under the Securities Act of 1933 and Form F-N |
2023-12-21 |
| 3235-0233 |
Form 2-E under the Securities Act of 1933, Report of Sales pursuant to Rule 609 of Regulation E. Rule 609 under the Securities Act of 1933, Report of Sales. |
2023-12-21 |
| 3235-0216 |
Investment Company Act Rule 19a-1, 17 CFR 270.19a-1, Written Statement to Accompany Dividend Payments by Management Companies |
2023-12-21 |
| 3235-0213 |
Rule 17g-1 (17 CFR 270.17g-1) under the Investment Company Act of 1940: Bonding of Officers and Employees of Registered Management Investment Companies |
2023-12-21 |
| 3235-0779 |
Rule 2a-5 under the Investment Company Act of 1940, Fair Value |
2023-12-20 |
| 3235-0518 |
Form CB, Tender Offer/Rights Offering Notification Form |
2023-12-20 |
| 3235-0102 |
Tender Offer--Regulation 14D and Regulation 14E, Schedule 14D-9 |
2023-12-20 |
| 3235-0793 |
Rules Relating to Security-Based Swap Execution and Registration and Regulation of Security-Based Swap Execution Facilities |
2023-12-19 |
| 3235-0618 |
Rule 173 |
2023-12-19 |
| 3235-0521 |
Rule 425 |
2023-12-18 |
| 3235-0531 |
Rule 0-1 (17 C.F.R 270.0-1) under the Investment Company Act of 1940, Definition of terms used in this part |
2023-12-15 |
| 3235-0359 |
Investment Company Act Form N-17f-1, Certificate of Accounting of Securities and similar Investments of a Management Investment Company in the Custody of Members of National Securities Exchanges |
2023-12-15 |
| 3235-0177 |
Rule 270.6e-2 under the Investment Company Act of 1940, exemption for certain variable separate accounts, including Form N-6EI-1, notification of claim of exemption from registration |
2023-12-15 |
| 3235-0807 |
Securities Act Rule 192 |
2023-12-12 |
| 3235-0815 |
Rule 211(h)(2)-4 (17 C.F.R. 275.211(h)(2)-4) under the Investment Advisers Act of 1940 |
2023-12-06 |
| 3235-0754 |
Rule 30b1-10 (17 CFR 270.30b1-10) under the Investment Company Act of 1940, "Current report for open-end management investment companies" and Form N-LIQUID, "Current report, open-end investment compan |
2023-12-01 |
| 3235-0814 |
Rule 6b-1 |
2023-11-25 |
| 3235-0434 |
Rule 15-g2 (17 CFR 240.15g-2) Risk disclosure document relating to the Penny Stock Rules |
2023-11-17 |
| 3235-0385 |
Rule 15g-9, Sales Practice Requirements for Certain Low-Priced Securities |
2023-11-16 |
| 3235-0151 |
Rule 17Ac3-1(a) (17 CFR 240.17Ac3-1(a)) and Form TA-W- Withdrawal from Registration with the Commission as a Transfer Agent. (17 CFR 240.17Ac3-1(a)) |
2023-11-16 |
| 3235-0812 |
Regulation Best Execution |
2023-11-14 |
| 3235-0636 |
Rule 0-2 under the Investment Company Act of 1940, General Requirements of Papers and Applications |
2023-11-13 |
| 3235-0360 |
Form N-17f-2 (17 CFR 274.220), "Certificate of Accounting of Securities and Similar Investments in the Custody of Management Investment Companies," filed pursuant to Investment Company Act Rule 17f-2 |
2023-11-13 |
| 3235-0236 |
Form N-54C under the Investment Company Act, Notification of Withdrawal of Election to be Subject to Sections 55 through 65 of the Investment Company Act of 1940 |
2023-11-13 |
| 3235-0178 |
Rule 31a-1 under the Investment Company Act of 1940 (17 CFR 270.31a-1) |
2023-11-13 |
| 3235-0788 |
Reporting of Securities Loans |
2023-11-06 |
| 3235-0804 |
Short Position and Short Activity Reporting by Institutional Investment Managers |
2023-11-02 |
| 3235-0628 |
Rule 17g-2 Records to be made and retained by nationally recognized statistical rating organizations |
2023-10-31 |
| 3235-0553 |
Rule 19b-7 and Form 19b-7 |
2023-10-31 |
| 3235-0186 |
Form N-8B-2, Registration Statement of Unit Investment Trusts Which Are Currently Issuing Securities |
2023-10-31 |
| 3235-0184 |
Form S-6 [17 CFR 239.19], for registration under the Securities Act of 1933 of Unit Investment Trusts registered on Form N-8B-2 |
2023-10-31 |
| 3235-0122 |
Report on Income and Expense, Rule 17a-10 and Form X-17A-5 |
2023-10-31 |
| 3235-0621 |
Form 15F |
2023-10-28 |
| 3235-0783 |
Rule 31a-4 under the Investment Company Act of 1940, Records of Fair Value Determinations |
2023-10-25 |
| 3235-0625 |
Rule 17g-1 and Form NRSRO -Application for registration as a nationally recognized statistical rating organization |
2023-10-25 |
| 3235-0268 |
Rule 2a-7 (17 CFR 270.2a-7) under the Investment Company Act of 1940, Money market funds |
2023-10-23 |
| 3235-0476 |
Rule 10b-17, Untimely announcement of record dates (17 CFR 240. 10b-17) |
2023-10-16 |
| 3235-0085 |
Rule 17a-11 (17 CFR 240.17a-11) Notification provisions for brokers and dealers |
2023-10-16 |
| 3235-0657 |
Rule 30b1-7 (17 CFR 270.30b1-7) under the Investment Company Act of 1940, "Monthly report for money market funds" and Form N-MFP, "Monthly schedule of portfolio holdings of money market funds." |
2023-10-10 |
| 3235-0473 |
Rule 17Ad-3(b)(17 CFR 240.17Ad-3); Notice to Issuers of Non- Compliance with Transfer Agent Turnaround Standards. |
2023-10-05 |
| 3235-0133 |
Rule 17a-19 (17 CFR 240.17a-19) and Form X-17A-19. Report by National Securities Exchanges and Registered National Securities Associations of Changes in Membership Status of Any of Their Members |
2023-10-05 |
| 3235-0500 |
Rule 608 - Filing and Amendment of National Market System Plans (17 CFR 242.608) |
2023-09-29 |
| 3235-0472 |
Rule 15c1-6 (17 CFR 240.15c1-6) Disclosure of Interest in Distribution. |
2023-09-29 |
| 3235-0471 |
Rule 15c1-5 (17 CFR 240.15c1-5) Disclosure of Control |
2023-09-29 |
| 3235-0810 |
Rule 15c6-2 |
2023-09-28 |
| 3235-0705 |
Rule 30b1-8 (17 CFR 270.30b1-8) under the Investment Company Act of 1940, "Current report for money market funds" and Form N-CR, "Current report, money market fund material events." |
2023-09-25 |
| 3235-0179 |
Rule 31a-2: Records to be preserved by registered investment companies, certain majority-owned subsidiaries thereof, and other persons having transactions with registered investment companies. |
2023-09-25 |
| 3235-0031 |
Notice pursuant to Rule 17f-2(e)(17 CFR 240.17f-2(e)) |
2023-09-22 |
| 3235-0743 |
Rule 15b9-1 – Exemption for Certain Exchange Members |
2023-09-07 |
| 3235-0806 |
Proposed Rule 17a-4(b)(17) |
2023-08-24 |
| 3235-0707 |
Form SF-1 |
2023-08-24 |
| 3235-0690 |
Form SF-3 |
2023-08-24 |
| 3235-0464 |
Rule 101, 17 CFR 242.101 (Activities by Distribution Participants) |
2023-08-24 |
| 3235-0809 |
Form F-SR |
2023-08-01 |
| 3235-0681 |
Rules 15Ba1-1 to 15Ba1-8 - Registration of Municipal Advisors and Forms MA, MA-I, MA-W, and MA-NR |
2023-08-01 |
| 3235-0671 |
Consolidated Audit Trail NMS Plan (NMS Plan Required to be Filed under Commission Rule 613) |
2023-07-25 |
| 3235-0740 |
Joint Standards for Assessing the Diversity Policies and Practices of Entities Regulated by the Agencies |
2023-07-20 |
| 3235-0774 |
Amendments to the National Market System Plan Governing the Consolidated Audit Trail |
2023-07-19 |
| 3235-0570 |
Form N-CSR under the Securities Exchange Act of 1934 and under the Investment Company Act of 1940, Certified Shareholder Report of Registered Management Investment Companies |
2023-07-14 |
| 3235-0201 |
Rule 17a-2, 17 CFR 240.17a-2 (Recordkeeping Requirements Relating to Stabilizing Activities) |
2023-04-22 |
| 3235-0030 |
Rules 15aa-1 and 15aa-2 and Form 15A |
2023-04-19 |
| 3235-0808 |
Rule 10 and Form SCIR |
2023-04-12 |
| 3235-0805 |
Order Competition Rule |
2023-02-14 |
| 3235-0549 |
Securities Act Rule 155 |
2023-01-25 |
| 3235-0803 |
Prohibition Against Fraud, Manipulation, or Deception in Connection with Security-Based Swaps; Prohibition against Undue Influence over Chief Compliance Officers; Position Reporting of Large SBS Posit |
2022-12-12 |
| 3235-0800 |
Rule 17Ad-25 - Clearing Agency Governance and Conflicts of Interest |
2022-10-28 |
| 3235-0069 |
Industry Guides |
2022-10-27 |
| 3235-0798 |
Rule 211(h)(2)-3 under the Investment Advisers Act of 1940 |
2022-10-17 |
| 3235-0797 |
Rule 211(h)(2)-2 under the Investment Advisers Act of 1940 |
2022-10-17 |
| 3235-0796 |
Rule 211(h)(1)-2 under the Investment Advisers Act of 1940 |
2022-10-17 |
| 3235-0795 |
Investment Advisers Act rule 206(4)-10, 17 C.F.R. 275.206(4)-10, Private fund adviser audits. |
2022-10-17 |
| 3235-0792 |
Rule 3a-10 under the Investment Company Act |
2022-05-23 |
| 3235-0791 |
Rule 206(4)-9 (17 C.F.R. 275.206(4)-9) under the Investment Advisers Act of 1940 |
2022-05-23 |
| 3235-0790 |
Form ADV-C (17 CFR 279.7) under the Investment Advisers Act |
2022-05-23 |
| 3235-0789 |
Rule 204-6 (17 C.F.R. 275.204-6) under the Investment Advisers Act of 1940 |
2022-05-23 |
| 3235-0786 |
Rule 38a-2 (17 C.F.R 270.38a-2) under the Investment Company Act of 1940 |
2022-03-24 |
| 3235-0242 |
Rule 206(4)-3 under the Investment Advisers Act of 1940 (17 CFR 275.206(4)-3) |
2022-01-20 |
| 3235-0782 |
Rule 498B under the Securities Act of 1933; Delivery of prospectuses to existing shareholders of open-end management investment companies |
2020-11-17 |
| 3235-0704 |
Regulation D Rule 506(e) Felons and Other Bad Actors Disclosure Statement |
2020-10-28 |
| 3235-0781 |
Amendments to the National Market System Plan Governing the Consolidated Audit Trail to Enhance Data Security |
2020-10-19 |
| 3235-0746 |
Regulation D Rule 504(b)(3)-Felons and Other Bad Actors Disclosure Statement |
2020-03-20 |
| 3235-0775 |
Rule 15l-2 under the Securities Exchange Act of 1934 |
2020-02-13 |
| 3235-0770 |
Rule 211h-1 under the Investment Advisers Act of 1940 |
2020-02-13 |
| 3235-0773 |
Rule 15l-3 under the Securities Exchange Act |
2019-08-07 |
| 3235-0772 |
Rule 12d1-4 Under the Investment Company Act of 1940, Fund of Funds Arrangements |
2019-08-07 |
| 3235-0698 |
Order Granting Conditional Exemptions Under the Securities Exchange Act of 1934 in Connection With Portfolio Margining of Swaps and Security-Based Swaps |
2019-06-06 |
| 3235-0009 |
Regulation S-X, Form and Content of and Requirements for Financial Statements, Securities Act of 1933, Securities Exchange Act of 1934, Public Utility Holding Company Act of 1935, Investment Company A |
2019-06-03 |
| 3235-0768 |
Rule 12d1-4 Under the Investment Company Act of 1940, Fund of Funds Arrangements |
2019-04-09 |
| 3235-0071 |
Regulation S-K-Standard Instructions for filing Forms under Securities Act 1933 and Exchange Act 1934 |
2019-04-08 |
| 3235-0424 |
Regulation S-T-General Rules and Regulations for Electronic Filings |
2019-04-02 |
| 3235-0074 |
Regulation C |
2019-04-02 |
| 3235-0062 |
Regulation 12B-Registration and Reporting |
2019-04-02 |
| 3235-0761 |
Transaction Fee Pilot for NMS Stocks |
2019-02-21 |
| 3235-0577 |
Rule 30b1-5 under the Investment Company Act of 1940, "Quarterly Report" Originally submitted and approved as Proposed Rule 30b1-4 under the Investment Company Act of 1940, "Quarterly Report" |
2017-09-28 |
| 3235-0755 |
Rule 206(4)-4 (17 CFR 275.206(4)-4) under the Investment Advisers Act of 1940, Adviser Business Continuity and Transition Plans |
2017-06-05 |
| 3235-0330 |
Form N-SAR under the Investment Company Act of 1940, Semi-Annual Report for Registered Investment Companies |
2016-09-23 |
| 3235-0753 |
Incentive-Based Compensation Arrangements: Proposed Rules 303.1 to 303.13 |
2016-08-01 |
| 3235-0744 |
Form N-CEN (Derivatives Section) |
2016-03-11 |
| 3235-0742 |
Rule 30b1-9 and Form N-PORT (Derivatives Section) |
2016-02-22 |
| 3235-0741 |
Rule 18f-4 (17 CFR 270.18f-4) under the Investment Company Act of 1940, Use of Derivatives by Registered Investment Companies and Business Development Companies |
2016-02-22 |
| 3235-0611 |
Voluntary XBRL-Related Documents |
2015-12-15 |
| 3235-0736 |
Form N-CEN (Liquidity Section) |
2015-12-01 |
| 3235-0735 |
Rule 30b1-9 and Form N-PORT (Liquidity Section) |
2015-12-01 |
| 3235-0205 |
Rule 19d-2. Applications for Stays of Disciplinary Sanctions or Summary Suspensions by a Self Regulatory Organization |
2015-03-18 |
| 3235-0680 |
Rule 3Cg-1-End-User Exception to Mandatory Clearing of Security-Based Swaps |
2014-07-15 |
| 3235-0678 |
Regulation SB SEF - Registration and Regulation of Security-Based Swap Execution Facilities |
2014-07-15 |
| 3235-0630 |
Temporary rule for principal trades with certain advisory clients, rule 206(3)-3T. |
2014-05-22 |
| 3235-0688 |
Rule 203A-5 |
2014-04-29 |
| 3235-0659 |
Rule 15Ba2-6T and Form MA-T-Temporary Registration of Municipal Advisors |
2014-03-06 |
| 3235-0714 |
Rule 15Fi-1 Trade Acknowledgment and Verification of Security-Based Swap Transactions |
2014-03-05 |
| 3235-0711 |
Rule 506(c) General Solicitation Materials |
2013-10-30 |
| 3235-0710 |
Waterfall Computer Program |
2013-09-30 |
| 3235-0709 |
Privately-Issued Structured Finance Product Disclosure |
2013-09-30 |
| 3235-0708 |
Form 144A-SF |
2013-09-30 |
| 3235-0634 |
Rule 607 under Regulation E, Sales Material to Be Filed |
2013-07-12 |
| 3235-0010 |
Rule 15a-4 (17 CFR 240.15-4); Forty-five Day Exemption from Registration for Certain Members of National Securities Exchanges. |
2013-04-08 |
| 3235-0377 |
Form F-9 |
2012-06-21 |
| 3235-0654 |
Proposed Rule 22e-3 (17 CFR 270.22e-3) under the Investment Company Act of 1940. Exemptions for liquidation of money market funds |
2012-03-26 |
| 3235-0653 |
Proposed Rule 30b1-6 (17 CFR 270.30b1-6) under the Investment Company Act of 1940. "Monthly report for money market funds" and propsoed Form N-MFP."Monthly schedule of portfilio holdings of MM Funds" |
2012-03-26 |
| 3235-0043 |
Rule 609 and Form SIP |
2011-06-23 |
| 3235-0684 |
Credit Risk Retention - Regulation RR |
2011-05-16 |
| 3235-0683 |
Incentive-Based Compensation Arrangements |
2011-05-11 |
| 3235-0566 |
Rule 27d-2 (17 CFR 270.27d-2) under the Investment Company Act of 1940, "Insurance Company Undertaking in Lieu of Segregated Trust Account." |
2011-03-11 |
| 3235-0560 |
Rule 27d-1 (17 CFR 270.27d-1) under the Investment Company Act of 1940 "Reserve Requirements for Principal Underwriters and Depositors to Carry Out the Obligations to Refund Charges and Form N-27d-1 |
2011-03-10 |
| 3235-0677 |
Rule 3a67-4 - Definition of "Hedging or Mitigating Commercial Risk" |
2011-02-28 |
| 3235-0506 |
Rule 17a-4(b)(11); Records to be preserved by certain exchange members, brokers and dealers. |
2011-01-31 |
| 3235-0676 |
Rule 15Fi-1 Trade Acknowledgment and Verification of Security-Based Swap Transactions |
2011-01-28 |
| 3235-0674 |
Temporary Conditional Exemptive Order in Connection with the Request of CME Re: Central Clearing of CDSs |
2010-12-06 |
| 3235-0667 |
ICE Trust CDS CCP Temporary Conditional Exemptive Order |
2010-12-03 |
| 3235-0760 |
Rule 702 of Regulation MC |
2010-10-27 |
| 3235-0508 |
Rule 17a-3(a)(16); Records to be made by certain exchange members, brokers and dealers. |
2010-10-22 |
| 3235-0668 |
Rule 13Aa-2T: Reporting of Security-Based Swap Transaction Data |
2010-10-21 |
| 3235-0669 |
Rule 12b-2 [17 CFR 270.12b-2] under the Investment Company Act of 1940: Investment Company Distribution Fees |
2010-08-05 |
| 3235-0666 |
Form SF-3 |
2010-06-29 |
| 3235-0665 |
Form SF-1 |
2010-06-29 |
| 3235-0664 |
Asset Data File |
2010-06-29 |
| 3235-0663 |
Waterfall Computer Program |
2010-06-29 |
| 3235-0661 |
Form 144A-SF |
2010-06-29 |
| 3235-0660 |
Privately-Issued Structured Finance Product Disclosure |
2010-06-29 |
| 3235-0662 |
Eurex Exemptive Order |
2010-05-26 |
| 3235-0651 |
Proposed Rules 201 and 200(g) |
2010-03-11 |
| 3235-0759 |
CTA Plan and the Nasdaq UTP Plan; Post-Trade Transparency for ATSs |
2010-02-23 |
| 3235-0594 |
Rule 17i-4 (17 CFR 240.17i-4): Internal Risk Management Control System Requirements for Supervised Investment Bank Holding Companies. |
2010-01-13 |
| 3235-0592 |
Rule 17i-2 (17 CFR 240.17i-2); Notice of Intention to be Supervised by the Commission as a Supervised Investment Bank Holding Company. |
2010-01-13 |
| 3235-0588 |
Rule 17i-6 (17 CFR 240.17i-6): Reporting Requirements for Supervised Investment Bank Holding Companies. |
2010-01-13 |
| 3235-0591 |
Rule 17i-8 (17 CFR 240.17i-8) Notification Requirements for Supervised Invesment Bank Holding Companies |
2010-01-12 |
| 3235-0590 |
Rule 17i-5 (17 CFR 240.17i-5): Record Creation, Maintenance, and Access Requirements for Supervised Investment Bank Holding Companies. |
2010-01-12 |
| 3235-0593 |
Rule 17i-3 (17 CFR 240.17i-3): Withdrawal from Supervision as an Supervised Investment Bank Holding Company |
2010-01-08 |
| 3235-0652 |
Rule 30b1-6T (17 CFR 270.30b1-6) under the Investment Company Act of 1940, Weekly Portfolio Report for Certain Money Market Funds |
2009-12-17 |
| 3235-0546 |
Rule 27f-1 (17 C.F.R. 270.27f-1),"Notice of Right of Withdrawal to be Mailed to Periodic Payment Plan Certificate Holders and Exemption from Section 27(f) for Certain Periodic Payment Plan... |
2009-10-14 |
| 3235-0545 |
Rule 27e-1 [17 CFR Sec. 270.27e-1] and Form N-27E-1 [17 CFR 274.127e-1] |
2009-06-08 |
| 3235-0646 |
Form SH |
2009-04-08 |
| 3235-0641 |
Study on the Impact of Companies' Compliance with the Requirements Implementing Section 404 of the Sarbanes-Oxley Act of 2002 |
2009-04-02 |
| 3235-0650 |
Request for a Letter of No Objection |
2009-03-16 |
| 3235-0079 |
Exchange Act Rule 12a-5 (17 CFR 240.12a-5) (Temporary exemption of substituted or additional securities) and Form 26 (17 CFR 249.26) |
2008-12-19 |
| 3235-0488 |
Rule 498 under the Securities Act of 1933, Profiles for Certain Open-End Management Investment Companies |
2008-12-08 |
| 3235-0644 |
Rule 17g-7, Credit rating reports to be furnished by nationally recognized statistical rating organizations |
2008-06-30 |
| 3235-0643 |
Rule 17g-5, Conflicts of Interest |
2008-06-30 |
| 3235-0463 |
"Tell Us How We're Doing" |
2008-06-24 |
| 3235-0640 |
Proposed Rule 6c-11 (17 CFR 270.6c-11) under the Investment Company Act of 1940. Exchange-Traded Funds. |
2008-03-26 |
| 3235-0631 |
XBRL Voluntary Program Questionnaire |
2008-03-02 |
| 3235-0345 |
Rule 206(4)-4 under the Investment Adviser Act of 1940 (17 CFR 275.206(4)-4) |
2008-02-01 |
| 3235-0638 |
Individual Investor Plain English Survey Project |
2008-01-24 |
| 3235-0635 |
Notice Of Application Of The National Association Of Realtors For Exemptive Relief Under Sections 15 And 36 Of The Exchange Act And Request For Comment |
2007-12-17 |
| 3235-0637 |
Rule 498 under the Securities Act of 1933, Summary Prospectuses for Open-End Management Investment Companies |
2007-12-03 |
| 3235-0599 |
Rule 15c2-3 Point-of-sale disclosure for purchase transactions in open-end management investment company shares, unit investment trust interests, and municipal fund securities used for education |
2007-08-21 |
| 3235-0598 |
Rule 15c2-2 Confirmation of transactions in open-end management investment company shares, unit investment trust interests and municipal fund securities used for education savings. |
2007-08-21 |
| 3235-0418 |
Form SB-2 - Registration Statement for Small Business Issuers |
2007-08-03 |
| 3235-0629 |
Rule 17g-6 Prohibited Acts and Practices |
2007-04-23 |
| 3235-0416 |
Form 10-QSB |
2007-03-19 |
| 3235-0420 |
Exchange Act Form 10-KSB |
2007-01-29 |
| 3235-0623 |
Study of Marketing and Delivery of Financial Products to Individual Investors |
2007-01-12 |
| 3235-0589 |
Regulation SHO, Rule 201 |
2007-01-03 |
| 3235-0532 |
Rule 202(a)(11)-1 under the Investment Advisers Act of 1940- Certain Broker-Dealers Deemed Not To Be Investment Advisers |
2006-11-09 |
| 3235-0587 |
Investment Company Act rule 15a-5, 17 C.F.R. Sec. 270.15a-5, Exemption from shareholder approval for certain subadvisory contracts. |
2006-11-06 |
| 3235-0419 |
Exchange Act Form 10-SB |
2006-09-20 |
| 3235-0423 |
Form SB-1-Securities Act Registration Statement |
2006-09-18 |
| 3235-0092 |
Rule 17a-8; Financial Recordkeeping and Reporting of Currency and Foreign Transactions |
2006-06-29 |
| 3235-0417 |
Regulation S-B-Integrated Disclosure System for Small Business Issuers |
2006-03-09 |
| 3235-0044 |
Amendments and Supplements to Registration Statements of Securities Associations - Rule Aj-1 (17 CFR 240.15Aj-1) |
2006-02-07 |
| 3235-0257 |
Form F-2 Registration Statement |
2005-01-28 |
| 3235-0072 |
Form S-2-Registration Statement |
2004-12-09 |
| 3235-0427 |
Rule 54, Effect of Exempt Wholesale Generators on Other Transactions |
2004-12-06 |
| 3235-0616 |
Rule 17a-27: Ownership of a National Securities Exchange, Registered Securities Association, or Facility of a National Securities Exchange or Registered Securities Association |
2004-11-24 |
| 3235-0615 |
Regulation AL |
2004-11-24 |
| 3235-0614 |
Form 2 and Rules 15Aa-1 and 15Aa-2: Form of Application and Amendments |
2004-11-24 |
| 3235-0613 |
Rule 6a-5 and 15Aa-3: Fair Administration and Goverance of National Securities Exchange and Registered Securities Associations |
2004-11-24 |
| 3235-0612 |
Rule 17a-26: Regulatory Reports of National Securities Exchanges and Registered Securities Associations. |
2004-11-24 |
| 3235-0369 |
Rule 52 - Exemption of Issue and Sale of Certain Securities Under the Public Utility Holding Act of 1935 |
2004-11-04 |
| 3235-0306 |
Part 257 [17 CFR 257] Preservation and Destruction of Records of Registered Public Utility Holding Companies and of Mutual and Subsidiary Service Companies. |
2004-11-04 |
| 3235-0457 |
Rule 58 - Exemption of Investments in certain Nonutility Companies; Form U9C-3 Certificate of Notification |
2004-10-29 |
| 3235-0173 |
Rule 71 [17 CFR 250] Statements to be Filed Pursuant to Section 12(i). Form U-12(1)-A, Form U-12(1)-B |
2004-10-29 |
| 3235-0154 |
Rule 45 (17 CFR 250.45) under the Public Utility Holding Company Act of 1935, Loans, extensions of credit, donations and capital contributions to associate companies |
2004-10-29 |
| 3235-0429 |
Title Rule 57(b) Reporting Requirement for Associate Public- Utility Companies. Form U-33-S. |
2004-10-06 |
| 3235-0426 |
Rule 53, certain registered holding company financings in connection with the acquisition of one or more exempt wholesale generators or foreign utility companies. |
2004-10-06 |
| 3235-0608 |
Rule 770 of Regulation B - Exemption from Definition of "Broker" for Banks that Effect Transactions in Securities in Certain Employee Benefit Plans |
2004-07-01 |
| 3235-0607 |
Rule 722 of Regulation B - Exemption for Banks From Determining Whether They are "Chiefly Compensated" on an Account-by-Account Basis |
2004-07-01 |
| 3235-0606 |
Rule 776 of Regulation B - Exemption for Banks Effecting Transactions for Certain Investors in Money Market Funds |
2004-07-01 |
| 3235-0605 |
Informal Interviews Regarding Use of Tagged Reporting Data in Securities and Exchange Commission filings |
2004-06-15 |
| 3235-0603 |
Rule 202(a)(11)-2 |
2004-05-05 |
| 3235-0602 |
Informal Interviews Regarding Securities Held of Record |
2004-04-22 |
| 3235-0163 |
Form U-6B-2, Prescribed by 17 CFR 250.20(d), 17 CFR 250.52(c) and 17 CFR 250.47 |
2004-04-16 |
| 3235-0126 |
Rule 24, 17 CFR 250.24, Reports of Consummation of Transactions |
2004-03-29 |
| 3235-0552 |
Rule 87, 17 CFR 250.87, Subsidiaries authorized to perform services or construction or to sell goods. |
2004-03-16 |
| 3235-0430 |
Rule 55, Exemption for certain acquisitions of one or more foreign utility companies |
2004-03-16 |
| 3235-0125 |
Form U-1 (17 CFR 259.101), Application or Declaration under Public Utility Holding Company Act of 1935 |
2004-03-16 |
| 3235-0428 |
Rule 57(a) and Form U-57, Notification of Foreign Utility Company Status and Notification of Acquisition of an Interest in a Foreign Utility Company |
2004-03-15 |
| 3235-0164 |
Rule 1(c) and Form U5S there under, annual report |
2004-03-15 |
| 3235-0149 |
Rule 29 - Filings of Reports to State Commissions |
2004-03-15 |
| 3235-0182 |
Form U-13-1, for applications for approval of mutual service companies under Rule 88 (250.88 of this chapter). |
2004-02-12 |
| 3235-0181 |
Rule 83--Exemption in the Case of Transactions with Foreign Associates |
2004-02-12 |
| 3235-0170 |
Family of Registration Filings-Rules 1(a) and (b); Form U5A SEC 1843 and U5B SEC 1844. |
2004-02-12 |
| 3235-0162 |
Rule 95-Reports Required from Affiliate Service Companies Principally Engaged in Performing Services. Form U-13E-1-Report to be Filed by an Affiliate Service Company or a Company |
2004-02-12 |
| 3235-0160 |
Rule 3-Exemption of Certain Banks Form U-3A3-1-Statement by Bank Claiming Exemption |
2004-02-12 |
| 3235-0595 |
Investment Company Act rule 22c-1, 17 C.F.R. Sec. 270.22c-1, Pricing of redeemable securities for distribution, redemption and repurchase. |
2003-12-12 |
| 3235-0482 |
Form DF |
2003-10-30 |
| 3235-0183 |
Rule 26-Financial Statement and recordkeeping requirements for registered holding companies and subsidiaries (17 C.F.R. 250.26) |
2003-10-16 |
| 3235-0165 |
Form U-7D-Certificate - Public Utility Holding Company Act of 1935 |
2003-10-16 |
| 3235-0152 |
Solicitation of Securities; 17 CFR 250.62 and Form U-R-1 |
2003-10-16 |
| 3235-0147 |
Rule 44-Sales of securities and assets. (17 C.F.R. 250.44) |
2003-10-02 |
| 3235-0230 |
Form N-23C-1 Statement By Registered Closed-End Investment Company With Respect To Purchases Of Its Own Securities Pursuant To Rule 23c-1 During The Last Calendar Month |
2003-04-15 |
| 3235-0161 |
Form U-3A-2, Statement of Holding Company Claiming Exemption, Rule 2 |
2003-04-15 |
| 3235-0153 |
Form U-13-60, Rules 93 and 94 |
2003-04-15 |
| 3235-0573 |
Record Retention under Regulation S-X |
2002-11-27 |
| 3235-0475 |
Rule 10a-1; 17 CFR 240.10a-1 (Short Sales). |
2002-08-09 |
| 3235-0569 |
Written Statements of Senior Officers |
2002-07-01 |
| 3235-0568 |
Framework for a Public Accountability Board-Accountants and Audit Clients |
2002-06-28 |
| 3235-0567 |
Framework for a Public Accountability Board-PAB |
2002-06-28 |
| 3235-0558 |
Waiver of Auditor Consent and Reissued Accountants' Report |
2002-03-19 |
| 3235-0557 |
Temporary Relief For Certain Entities Audited by Arthur Andersen LLP |
2002-03-15 |
| 3235-0474 |
Rule 10b-18 (17 CFR Sec. 240.10b-18); Purchases of Certain Equity Securities by the Issuer and Others |
2001-11-28 |
| 3235-0329 |
Form ET-EDGAR Electronic File |
2001-11-28 |
| 3235-0136 |
Record Retention Requirements for Registered Transfer Agents |
2001-09-06 |
| 3235-0499 |
Net Capital Requirements for Brokers or Dealers; Definitions; NRSRO Rule 15c3-1(c)(13)(17 CFR 240.15c3-1(c)(13)) |
2001-01-30 |
| 3235-0332 |
Rule 2a19-1 under the Investment Company Act of 1940--Certain Investment Company Directors Not Considered Interested Persons |
2000-09-25 |
| 3235-0544 |
Online Investor Behavior Survey |
2000-08-24 |
| 3235-0543 |
Proposed 17 CFR 240.11Ac1-7 Trade-Through Disclosure Rule |
2000-08-08 |
| 3235-0203 |
Tender Offers -- Schedule 13E-4 |
2000-06-08 |
| 3235-0539 |
Securities and Exchange Commission Survey on Reciprocal Subpoena Enforcement |
2000-04-13 |
| 3235-0535 |
Year 2000 Information and Readiness Disclosure Act; Information To Be Submitted by Certain Brokers and Dealers |
1999-12-30 |
| 3235-0534 |
Year 2000 Information and Readiness Disclosure Act; Information To Be Submitted by Exchanges and Utilities |
1999-12-30 |
| 3235-0533 |
Millennium Transition Questionnaire for Mutual Fund Industry |
1999-12-30 |
| 3235-0525 |
Operational Capability in a Year 2000 Environment-Rule 17Ad- 21T(g) |
1999-08-23 |
| 3235-0526 |
Operational Capability in a Year 2000 Environment -- Rule |
1999-08-18 |
| 3235-0523 |
Operational Capability in a Year 2000 Environment -- Rule |
1999-08-18 |
| 3235-0524 |
Records To Be Made and Retained by Certain Exchange Members, Brokers, and Dealers -- Rule 17a-9T |
1999-08-05 |
| 3235-0490 |
Schedule I to Form ADV under the Investment Advisers Act of 1940 -- 17 CFR 275.203-1, 17 CFR 275.204-1, 17 CFR 279.1 |
1999-02-17 |
| 3235-0520 |
Securities Registration -- Form B |
1998-12-23 |
| 3235-0519 |
Securities Registration -- Form C |
1998-12-23 |
| 3235-0517 |
Small Business Issuers Securities Registration -- Form SB-3 |
1998-12-23 |
| 3235-0516 |
Issuers Registering Offerings of Securities That Are Not Eligible To Use Other Forms -- Form A |
1998-12-23 |
| 3235-0460 |
Solicitation of Interest Document for Use Prior to an Initial Public Offering -- Rule 135(d) |
1998-10-19 |
| 3235-0512 |
Reports To Be Made by Certain Non-Bank Transfer Agents, Year 2000 Problem -- Rule 17Ad-18(f), 17 CFR 240.17Ad-18(f) |
1998-10-07 |
| 3235-0511 |
Reports To Be Made by Certain Brokers and Dealerrs, Year 2000 Problem -- Rule 17a-5(e)(5), 17 CFR 240.17a-5(e)(5) |
1998-10-07 |
| 3235-0513 |
Year 2000 Compliance, Investment Advisers Report -- Rule 204-5 under the Investment Advisers Act of 1940, 17 CFR 275 |
1998-07-01 |
| 3235-0442 |
Recordkeeping and Reporting Requirements Relating to Broker- Dealer Trading Systems (17 CFR 240.17a-23) |
1997-12-19 |
| 3235-0046 |
Form ADV-S Annual Supplement for investment advisers registered |
1997-11-24 |
| 3235-0493 |
Mutual Fund Fee Survey |
1997-10-03 |
| 3235-0159 |
Registration of an Indefinite Number of Certain Investment Rule 24f-2 under the Investment Company Act of 1940 |
1997-07-14 |
| 3235-0124 |
Sales of Securities -- Form SR |
1997-06-26 |
| 3235-0492 |
Uniformity of State Registration Requirements for Securities and Securities Transactions |
1997-06-20 |
| 3235-0491 |
Mutual Fund Fee Survey |
1997-05-23 |
| 3235-0022 |
Periodic Amendments to Registration Statements or Exemption Statements of Exchanges -- Rule 6A-2 and Form 1-A |
1997-05-07 |
| 3235-0396 |
Requirements Applicable to Penny Stock Market Makers (Rule Not Yet Adopted) -- Rule 15g-7(a) |
1997-03-27 |
| 3235-0487 |
The U.S. Securities and Exchange Commission Requests Comments from Registered Broker-Dealers on State Licensing Requirements for Registered Persons |
1997-03-17 |
| 3235-0408 |
Large Trader Reporting System -- Rule 13h-1 and Form 13-H |
1997-03-03 |
| 3235-0486 |
Improving the Shareholder Proposal Process |
1997-02-05 |
| 3235-0483 |
"Transition Rules" -- Rule 203A-5 under the Investment Advisers Act of 1940, 17 CFR 275.203A-5; Form ADV-T under the Investment Advisers Act of 1940, 17 CFR 279.3 |
1996-12-26 |
| 3235-0048 |
"Amendments to Application for Registration" -- Rule 204-1 under the Investment Advisers Act of 1940, 17 CFR 275.204-1 |
1996-12-26 |
| 3235-0248 |
Notification of Changes in Securities Admitted to Unlisted Trading Privileges -- Rule 12f-2 and Form 27 |
1996-12-23 |
| 3235-0470 |
Reports of Lost Securityholders -- Proposed Rule 17a-24 |
1996-09-10 |
| 3235-0451 |
Mutual Fund Mail Survey |
1996-08-22 |
| 3235-0450 |
Mutual Fund Telephone Survey |
1996-08-22 |
| 3235-0448 |
Mall Intercept Survey |
1996-08-22 |
| 3235-0445 |
CONFIRMATION OF MUNICIPAL SECURITIES TRANSACTIONS -- 240.15C2-13 |
1996-07-16 |
| 3235-0191 |
REPORTS ON FORM 10-C BY ISSUERS OF SECURITIES QUOTED ON THE 13A-17, 17 CFR 249.310C, 17 CFR 240.13A-17, 17 CFR 240.15D-17 |
1996-07-16 |
| 3235-0094 |
REGULATION F UNDER THE 1933 ACT - EXEMPTION FOR ASSESSMENTS ON REALIZE AMOUNT OF ASSESSMENT THEREON, FORM 1-F.... |
1996-07-16 |
| 3235-0093 |
Exemption from Securities Registration -- Regulation B and Forms |
1996-07-16 |
| 3235-0432 |
Procedure with Respect to Applications and Other Matters -- Rule 0-5 under the Investment Company Act of 1940 |
1995-09-14 |
| 3235-0245 |
Exemption for Certain Registered Separate Accounts and Other Persons -- Rule 6c-6 under the Investment Company Act of 1940 |
1995-09-14 |
| 3235-0458 |
Rule 30b3-1: Quarterly Report for Money Market Funds |
1995-07-26 |
| 3235-0440 |
MUTUAL FUND FOCUS GROUP RESEARCH SURVEY |
1995-04-17 |
| 3235-0155 |
Retroactive Registration under the Securities Act of 1933 Rule 24f-1 under the Investment Company Act of 1940 |
1995-03-27 |
| 3235-0455 |
ANNUAL REPORT ON INVESTMENT ADVISER'S BROKERAGE DIRECTION PRACTICES -- FORM ADV-B |
1995-03-23 |
| 3235-0454 |
ANNUAL REPORT ON BROKERAGE PRACTICES -- RULE 204-4 |
1995-03-23 |
| 3235-0453 |
QUESTIONNAIRE TO STATE UTILITY COMMISSIONERS |
1995-01-19 |
| 3235-0406 |
INFORMATION REQUEST FOR QUALIFIED INSTITUTIONAL BUYERS -- RULE 144A |
1994-12-28 |
| 3235-0166 |
REGISTRATION STATEMENT OF UNINCORPORATED MANAGEMENT INVESTMENT COMPANIES CURRENTLY ISSUING PERIODIC PLAN CERTIFICATES, FORM N-8B-3 |
1994-11-28 |
| 3235-0449 |
MUTUAL FUNDS PROSPECTUSES TELEPHONE SURVEY |
1994-09-13 |
| 3235-0068 |
SUCCESSOR ISSUERS |
1994-07-26 |
| 3235-0407 |
INFORMATION REQUEST FOR INTERMEDIARIES -- RULE 144A |
1994-06-06 |
| 3235-0446 |
TIMELINESS OF REGISTRANT MAILINGS OF PROXY MATERIAL LETTER |
1994-05-12 |
| 3235-0402 |
SECURITIES ACT OF 1933, FORM F-12 |
1994-03-25 |
| 3235-0401 |
REGULATION 14D AND 14E |
1994-03-25 |
| 3235-0400 |
REGULATION 13E-4 |
1994-03-25 |
| 3235-0398 |
FILING FEES ACCOUNT ID FORM |
1994-03-11 |
| 3235-0399 |
SECURITIES ACT OF 1933 -- FORM F-11 |
1994-03-04 |
| 3235-0397 |
NOTICE REQUIREMENTS FOR EXEMPTIONS FROM RULES 10B-6, 10B-7, AND 10B-8 -- 17 CFR 240 |
1993-12-21 |
| 3235-0437 |
INFORMAL INTERVIEWS CONCERNING MUNICIPAL SECURITIES |
1993-11-15 |
| 3235-0436 |
MUTUAL FUND SURVEY |
1993-11-04 |
| 3235-0086 |
ADOPTION OF APPLICATION FILED BY PREDECESSOR -- RULE 15BA2-6, 17 CFR 240.15BA2-6 |
1993-10-14 |
| 3235-0433 |
INTERVIEWS REGARDING ASSET-BACKED SECURITIES DISCLOSURE, REGISTRATION AND REPORTING PROCEDURES |
1993-04-08 |
| 3235-0355 |
APPLICATION OF COOLING-OFF PERIODS UNDER RULE 10B-6 TO DISTRIBUTIONS OF FOREIGN SECURITIES -- RUL 10B-6, 17 CFR 240.10B-6 |
1993-03-29 |
| 3235-0431 |
FILING OF OFF-THE-PAGE PROSPECTUS FOR PRE-PUBLICATION REVIEW AND NOTICE OF USE OR PUBLICATION OF OFF-THE-PAGE PROSPECTUS -- FORM 482(G) |
1993-03-26 |
| 3235-0333 |
RULE 26A-3 |
1993-02-24 |
| 3235-0340 |
ATTORNEY SUPPLEMENT TO STANDARD FORM 171 |
1993-02-11 |
| 3235-0338 |
REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 AND THE INVESTMENT COMPANY ACT FO 1940 FOR UNIT INVESTMENT TRUSTS OTHER THAN INSURANCE SEPARATE ACCOUNTS -- FORM N-7 |
1993-02-11 |
| 3235-0348 |
REGISTRATION OF AN INDEFINITE NUMBER OF SECURITIES BY UNIT INVESTMENT TRUSTS FOR PURPOSES OF THE SECONDARY MARKET -- RULE 24F-3 |
1993-02-02 |
| 3235-0141 |
FORM 8 |
1993-01-04 |
| 3235-0414 |
EXCLUSION FROM THE DEFINITION OF INVESTMENT COMPANY FOR CERTAIN STRUCTURED FINANCINGS -- RULE 3A-7 UNDER THE INVESTMENT COMPANY ACT |
1992-12-23 |
| 3235-0347 |
EXEMPTION FROM THE REGISTRATION REQUIREMENTS OF THE SECURITIES ACT OF 1933 FOR OFFERS AND SALES OF SECURITIES PURSUANT TO THE TERMS -- RULES 710, 702, 703, AND FORM701 |
1992-12-23 |
| 3235-0421 |
REDEMPTIONS BY OPEN-END MANAGEMENT INVESTMENT COMPANIES AND REGISTERED SEPARATE ACCOUNTS AT PERIODIC INTERVALS OR WITH EXTENDED PAYMENT -- RULE 22E-3 |
1992-08-19 |
| 3235-0373 |
RULE 15C2-10, TRADING AND INFORMATION FACILITIES |
1992-07-23 |
| 3235-0020 |
RULE 15B1-2 UNDER SECURITIES EXCHANGE ACT OF 1934. STATEMENT OF FINANCIAL CONDITION FOR APPLICATION FOR REGISTRATION AS A BROKER OR DEALER. |
1992-07-23 |
| 3235-0016 |
REGISTRATION OF FIDUCIARIES AS BROKER-DEALERS RULE 15B1-4 |
1992-07-23 |
| 3235-0415 |
INTERVIEWS REGARDING SECURITIES REGISTRATION PROCEDURES |
1992-06-08 |
| 3235-0412 |
INFORMAL INTERVIEWS CONCERNING CAPITAL RAISING BY SMALL BUSINESSES |
1991-12-17 |
| 3235-0390 |
INFORMAL INTERVIEWS CONCERNING PROXY RULES |
1991-08-19 |
| 3235-0171 |
ACQUISITION, RETIREMENT AND REDEMPTION OF SECURITIES BY ISSUER (17 CFR 250.42) |
1991-08-01 |
| 3235-0405 |
INFORMATION REQUEST FOR ISSUERS RULE 144A |
1991-07-18 |
| 3235-0344 |
RULE 6C-9, EXEMPTION FOR OFFER OR SALE OF DEBT SECURITIES & NON-VOTING PREFERRED STOCK IN THE U.S. BY FOREIGN BANKS & SUBSIDIARIES ORGANIZED TO FINANCE THE OPERATIONS OF .... |
1991-06-17 |
| 3235-0098 |
SECURITIES ACT OF 1933 REGISTRATION STATEMENT (FORM S-18) |
1991-04-25 |
| 3235-0011 |
REGISTRATION OF SUCCESSOR TO REGISTERED BROKER-DEALER RULE 15B1-3 (17 CFR 240.15B1-3) |
1991-03-15 |
| 3235-0090 |
APPLICATION FOR REGISTRATION OF NON-BANKING MUNICIPAL SECURITIES DEALERS WHOSE BUSINESS IS EXCLUSIVELY INTRASTATE (17 CFR 240.15BA2-2) |
1991-01-23 |
| 3235-0384 |
TRUST INDENTURE ACT OF 1939 - FORM T-5 |
1990-10-29 |
| 3235-0013 |
AMENDMENTS TO BD APPLICATIONS (17 CFR 240.15B3-1)A RULE 15B3-1 |
1990-10-09 |
| 3235-0389 |
RULE 144A REQUEST FOR INFORMATION |
1990-07-31 |
| 3235-0312 |
RULE 19B-1 UNDER THE INVEST. CO. ACT OF 1940 -- ALLOWANCE OF AN ADDITIONAL DISTRIBUTION OF LONG-TERM CAPITAL GAINS BY A REGISTERED INVESTMENT COMPANY DURING ANY ONE TAX YEAR |
1990-05-18 |
| 3235-0388 |
EDGAR QUESTIONNAIRE |
1990-05-04 |
| 3235-0351 |
RULE 15CA1-1 NOTICE OF GOVERNMENT SECURITIES BROKER-DEALER ACTIVITIES |
1990-03-21 |
| 3235-0386 |
RULE 15C2-6 QUESTIONNAIRE |
1989-11-03 |
| 3235-0370 |
SURVEY OF INVESTOR COMPLAINANTS |
1989-05-19 |
| 3235-0315 |
PROCUREMENT |
1989-05-05 |
| 3235-0367 |
LEVERAGED BUYOUT EMPLOYMENT EFFECTS QUESTIONNAIRE |
1989-04-18 |
| 3235-0027 |
FORM N-1, REGISTRATION STATEMENT UNDER THE SECURITIES AND INVESTMENT COMPANY ACTS FOR OPEN END MANAGEMENT INVESTMENT COMPANIES |
1989-04-11 |
| 3235-0356 |
MARKET RESTRUCTURING STUDY |
1989-01-12 |
| 3235-0168 |
RULE 7D-1(B)(8)(I), (III) AND (VIII) UNDER THE INVESTMENT COMPANY ACT OF 1940 -- SPECIFICATION OF CONDITIONS AND ARRANGEMENTS FOR MANAGEMENT INVESTMENT COMPANIES REQUESTING |
1987-03-30 |
| 3235-0352 |
RULE 15CA2-2 - STATEMENT OF FINANCIAL CONDITION TO BE FILED WITH APPLICATION FOR REGISTRATION AS A GOVERNMENT SECURITIES BROKER OR DEALER |
1987-03-02 |
| 3235-0343 |
ONE-TIME SURVEY OF FOREIGN BANK BROKER-DEALER SUBSIDIARIES AND AFFILIATES |
1986-05-19 |
| 3235-0342 |
ONE-TIME MUTUAL FUND ORGANIZATION SURVEY |
1986-05-16 |
| 3235-0053 |
FORM S-15, SECURITIES ACT REGISTRATION FORM FOR REGISTRATION OF SECURITIES TO BE OFFERED IN CERTAIN BUSINESS COMBINATION TRANSACTIONS |
1985-11-06 |
| 3235-0218 |
RULE 30B1-2, QUARTERLY REPORT FOR TOTALLY HELD REGISTERED INVESTMENT COMPANY SUBSIDIARY OF REGISTERED INVESTMENT COMPANY |
1985-02-08 |
| 3235-0335 |
ATTORNEY SUPPLEMENT TO STANDARD FORM 171 |
1985-01-31 |
| 3235-0052 |
FORM S-14, SECURITIES ACT REGISTRATION FORM FOR REGISTRATION OF SECURITIES IN CERTAIN TRANSACTIONS UNDER RULE 145 |
1985-01-15 |
| 3235-0246 |
NORM N-1Q FAMILY OF 1940 ACT CALENDAR QUARTERLY REPORTS |
1985-01-08 |
| 3235-0234 |
RULE 270.22D-4 - SALE OF REDEEMABLE SECURITIES PURSUANT TO CERTAIN MERGERS WITH PRIVATE INVESTMENT COMPANIES |
1984-12-07 |
| 3235-0051 |
FORM N-30 A-2 AND N-30 A-3 (FAMILY OF 1940 ACT ANNUAL REPORTS |
1984-10-18 |
| 3235-0331 |
1984 RESEARCH FORUM QUESTIONNAIRE |
1984-10-01 |
| 3235-0014 |
ADOPTION OF BROKER-DEALER APPLICATION FILED BY PREDECESSOR (17 CFR 240.15B2-1) |
1984-07-16 |
| 3235-0323 |
A STUDY ON THE MARKETABILITY AND BENEFITS OF INFORMATION PRODUCTS DERIVED FROM THE COMMISSION'S PROPOSED EDGAR SYSTEM (RESPONSES ARE VOLUNTARY) |
1984-05-10 |
| 3235-0321 |
ONE-TIME SURVEY OF FUTURES AND OPTIONS MARKETS |
1984-04-27 |
| 3235-0320 |
SEC 1984 MAJOR ISSUES CONFERENCE EVALUATION QUESTIONNAIRE |
1984-04-23 |
| 3235-0319 |
ELECTRONIC DATA GATHERING AND RETRIEVAL (EDGAR) QUESTIONNAIRE |
1984-03-09 |
| 3235-0227 |
AMENDMENT TO INVESTMENT COMPANY ANNUAL REPORTING FORM N-1R |
1984-01-23 |
| 3235-0263 |
PROPOSED REVISIONS TO RULE 144 AND RESCISSION OF RULE 237 AND FORM 237 |
1983-09-27 |
| 3235-0297 |
RECORDKEEPING (BY SEC ONLY FIRMS) 17 CFR 240.15B10-6 |
1983-08-16 |
| 3235-0139 |
EXEMPTION FOR FOREIGN SECO BROKER-DEALERS FROM ASSOCIATED PERSON ASSESSMENT (17 CFR 240.15B9-1(C), FORM SECO-2F (17 CFR 249.502A) |
1983-08-16 |
| 3235-0135 |
QUALIFICATIONS AND FEES RELATING TO BROKER-DEALERS NOT MEMBERS OF A NATIONAL SECURITIES ASSOCIATION (17 CFR 240.15B8-1) |
1983-08-16 |
| 3235-0002 |
ANNUAL ASSET LETTER AND ATTACHED REPORTING FORM |
1983-08-16 |
| 3235-0019 |
RULE 6A-3 - SUPPLEMENTAL MATERIAL TO REGISTRATION OR EXEMPTION STATEMENTS OF EXCHANGES |
1983-05-31 |
| 3235-0298 |
RULE 23C-1, REPURCHASE OF SECURITIES BY CLOSED-END COMPANIES |
1982-12-01 |
| 3235-0001 |
R-31 MANDATORY MONTHLY REPORT OF MARKET VALUE AND VOLUME ON EXCHANGE |
1982-11-29 |
| 3235-0284 |
RULE 13E-1 UNDER THE EXCHANGE ACT |
1982-11-19 |
| 3235-0283 |
PART 257 (17 CFR) APPENDIX-REGULATION TO GOVERN THE PRESERVATION AND THE DESTRUCTION OF BOOKS OF ACCOUNTS AND OTHER RECORDS OF CO.'S WHICH ARE SUBJ. TO SEC. 250.26 |
1982-11-19 |
| 3235-0138 |
NOTICES REGARDING "EXEMPT TRANSFER AGENT" STATUS (17 CFR S.240.17AD-4(B) AND (C)) |
1982-10-22 |
| 3235-0271 |
RESEARCH FORUM VOLUNTARY QUESTIONNAIRE |
1982-09-27 |
| 3235-0255 |
FORM N-27E-1, NOTICE OF 18-MONTH SURRENDER RIGHTS WITH RESPECT TO PERIODIC PAYMENT PLAN CERTIFICATES |
1982-07-27 |
| 3235-0253 |
FORM N-27F-1, NOTICE OF PERIODIC PAYMENT PLAN CERTIFICATE HOLDERS OF 45-DAY WITHDRAWAL RIGHTS WITH RESPECT TO PERIODIC PAYMENT PLAN CERTIFICATES |
1982-07-27 |
| 3235-0267 |
FORM U-5 |
1982-05-11 |
| 3235-0266 |
INTERVIEW SECTION OF THE BROKER-DEALER EXAMINATION CHECKLIST |
1982-03-10 |
| 3235-0039 |
REPORTING REQUIREMENTS FOR BLOCK POSITIONERS RECEIVING EXEMPT CREDIT, RULE 17A-17, FORM X-17A-17 |
1982-01-19 |
| 3235-0036 |
RECORDKEEPING REQUIREMENT OF THE LOST AND STOLEN SECURITIES 17 CFR 240.17F-1(G) |
1982-01-19 |
| 3235-0262 |
RULE 13E-1 UNDER THE EXCHANGE ACT |
1981-12-31 |
| 3235-0261 |
PART 257 (17 C.F.R.) APPENDIX-REGULATION TO GOVERN THE PRESERVATION AND DESTRUCTION OF BOOKS OF ACCOUNTS AND OTHER RECORDS OF COMPANIES WHICH ARE SUBJECT TO SECTION 250.26 |
1981-12-21 |
| 3235-0254 |
FORM N-27D-1, ACCOUNTING OF SEGREGATED TRUST ACCOUNT |
1981-11-20 |
| 3235-0251 |
N-27D-2, QUARTERLY REPORT OF REGISTERED INVESTMENT COMPANIES THAT ARE ISSUERS OF PERIODIC PAYMENT PLAN CERTIFICATES |
1981-11-20 |
| 3235-0231 |
INVESTMENT COMPANY INSPECTION OUTLINE INSPECTIONS AUTHORIZED BY SECTION 31(B) OF THE INVESTMENT COMPANY ACT OF 1940 AND INVESTMENT ADVISER INSPECTION OUTLINE |
1981-11-06 |
| 3235-0244 |
RULE 204-2 BOOKS AND RECORDS TO BE MAINTAINED BY INVESTMENT ADVISERS |
1981-11-03 |
| 3235-0215 |
FORM 2-MD, ANNUAL REPORT FOR INVESTMENT TRUSTS HAVING SECURITIES REGISTERED ON FORMS N-1, N-2, OR S-6 |
1981-11-03 |
| 3235-0210 |
FORM N-5R, ANNUAL REPORT FORM OF SMALL BUSINESS INVESTMENT COMPANIES |
1981-11-03 |
| 3235-0209 |
RULE 30A-3, ANNUAL REPORT FOR TOTALLY HELD REGISTERED INVESTMENT COMPANY SUBSIDIARY OF REGISTERED INVESTMENT COMPANY |
1981-11-03 |
| 3235-0207 |
MONITORING EFFECT OF COMPETITIVE COMMISSION RATES (17 CFR 240.17A-20) |
1981-11-02 |
| 3235-0197 |
RECORDS TO BE PRESERVED BY BROKER-DEALERS, RULE 17A-4 (17 CFR 240.17A-4) |
1981-10-27 |
| 3235-0193 |
REPORTING REQUIREMENT FOR MARKET-MAKERS IN OTC MARGIN SECURITIES, RULE 17A-12, 17 CFR 240.17A-12, FORM 17 CFR 249.620 |
1981-10-27 |
| 3235-0192 |
REPORTING REQUIREMENT FOR MARKET-MAKERS IN MARGIN SECURITIES, RULE 17A-12, 17 CFR 240-17A-12, FORM X-17A-2(1), 17 CFR 249.619 |
1981-10-27 |
| 3235-0190 |
FIDELITY BONDS 17 CFRCFR 240.15B10-11 |
1981-10-27 |
| 3235-0189 |
STANDARDS FOR PUBLIC OFFERINGS OF THE SECURITIES OF NON-MEMBER BROKER-DEALERS 17 CFR 240.15B10-8 |
1981-10-27 |
| 3235-0188 |
RECORDKEEPING (BY SEC ONLY FIRMS) 17 CFR 240.15B10-6 |
1981-10-27 |
| 3235-0156 |
LOANS TO EMPLOYEES (17 CFR 250.48(B) AND FORM U5S, ITEM 9(B) |
1981-10-19 |
| 3235-0146 |
ANNUAL ASSESSMENTS FOR SECO BROKERS AND DEALERS, (17 CFR 240.15B9-2), FORM SECO-4-81 (17 CFR 249.5040) |
1981-10-08 |
| 3235-0144 |
VOLUNTARY SURVEY OF PRIVATELY PLACED SECURITIES (MONTHLY) (FAMILY) |
1981-10-06 |
| 3235-0143 |
FORM 20-F, CONSOLIDATED REGISTRATION AND ANNUAL REPORT FORM FOR FOREIGN PRIVATE ISSUERS |
1981-10-02 |
| 3235-0140 |
RULE 6C-6(T) TEMPORARY EXEMPTIVE RULE FOR REGISTERED SEPARATE ACCOUNTS AND OTHER PERSONS |
1981-10-01 |
| 3235-0137 |
RECORD MAKING REQUIREMENTS FOR REGISTERED TRANSFER AGENTS (17 CFR S.240.17AD-6) |
1981-09-30 |
| 3235-0129 |
INITIAL FEES FOR SECO BROKER-DEALERS AND ASSOCIATED PERSONS (17 CFR 240.15B9-1 (A) AND (B), AND FORM SECO-5 (17 CFR 249.505) |
1981-09-29 |
| 3235-0003 |
VOLUNTARY SURVEY OF PRIVATE NONINSURED PENSION PLANS |
1981-09-29 |
| 3235-0118 |
FORM 19-K, ANNUAL REPORT FORM FOR AMERICAN DEPOSITORY RECEIPTS AND UNDERLYING FOREIGN SECURITIES LISTED ON A U.S. EXCHANGE |
1981-09-21 |
| 3235-0115 |
FORM 19, REGISTRATION FORM FOR AMERICAN DEPOSITARY RECEIPTS AND THE UNDERLYING FOREIGN SECURITIES LISTED ON A U.S. SECURITIES EXCHANGE |
1981-09-21 |
| 3235-0112 |
FORM C-3 AND S-12, REGISTRATION STATEMENT FOR AMERICAN DEPOSITARY RECEIPTS UNDER THE SECURITIES ACT OF 1933 |
1981-09-21 |
| 3235-0103 |
FORM 4 - STATEMENT OF CHANGES IN BENEFICIAL OWERSHIP OF SECURITIES |
1981-09-14 |
| 3235-0100 |
NOTICE OF SALES ON FROM 240 RELATING TO THE PRIVATE OFFER AND SALE OF SECURITIES MADE PURSUANT TO RULE 240 |
1981-09-09 |
| 3235-0099 |
RULE 242 AND NOTICE OF SALES ON FORM 242 RELATING TO THE PRIVATE OFFER AND SALE OF SECURITIES MADE PURSUANT TO THAT RULE |
1981-09-09 |
| 3235-0097 |
NOTICE OF SALES ON FORM 4(6) RELATING TO THE PRIVATE OFFER AND SALE OF SECURITIES MADE PURSUANT TO SECTION 4(6) |
1981-09-09 |
| 3235-0096 |
REGULATION A SMALL OFFERING EXEMPTION FROM REGISTRATION PROVISIONS OF THE SECURITIES ACT AND ITS ATTENDANT FORMS |
1981-09-09 |
| 3235-0091 |
SELF-UNDERWRITING BY SECO BROKER-DEALERS RULE 15B10-9 |
1981-08-28 |
| 3235-0077 |
SECURITIES ACT OF 1933 REGISTRATION FORM S-16 (EXISTING) |
1981-08-13 |
| 3235-0075 |
SECURITIES ACT OF 1933 REGISTRATION FORM S-2 (EXISTING) |
1981-08-12 |
| 3235-0055 |
SECURITIES ACT OF 1933 REGISTRATION STATEMENT FORM S-7 (EXISTING) |
1981-08-11 |
| 3235-0042 |
FORM ADV-W (17 CFR 279.2) AND RULE 203-2 UNDER THE INVESTMENT ADVISERS ACT OF 1940 (17 CFR 275.203-2) |
1981-07-22 |
| 3235-0040 |
QUARTERLY REPORTING REQUIREMENT FOR THIRD MARKET MAKER RECEIVING EXEMPT CREDIT, RULE 17A-16, FORM X-17A-16(2) |
1981-07-22 |
| 3235-0038 |
REPORTING REQUIREMENT FOR THIRD MARKET MAKERS RECEIVING EXEMPT CREDIT, RULE 17A-16, AND FORM X-17A-16(1) |
1981-07-22 |
| 3235-0023 |
VOLUNTARY SURVEY TO GATHER DATA FOR A STUDY OF THE USE OF RULE 146 |
1981-07-08 |
| 3235-0005 |
REPORT OF OFFERING MADE IN RELIANCE UPON RULE 146 |
1981-06-12 |
| 3235-0008 |
PROPOSED AMENDMENTS TO INSTRCTION 5 TO ITEM 5 OF REG TION S-K REGARDING DISCLOSURE OF CERTAIN ENVIRONMENTAL PROCEEDINGS (AND INSTRUCTION 5 TO ITEM 8 OF FORM S-18). |
1981-05-07 |
| 3235-0004 |
PROPERTY AND LIABILITY INSURANCE COMPANIES |
1981-04-01 |
SEC Edgar - Securities and Exchange Commission filing tracker