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Regulatory Release

Confirmation Requirements and Point of Sale Disclosure Requirements for Transactions in Certain Mutual Funds and Other Securities, and Other Confirmation Requirement Amendments, and Amendments to the Registration Form for Mutual Funds

Details

Rule Type

Proposed

Release Number

33-8358

33-8544

SEC Issue Date

Jan. 29, 2004 | 1:23 pm ET

Federal Register Publish Date

Feb. 10, 2004 | 6:13 pm ET

Document Citation

69 FR 6437

RIN

3235-AJ11, 3235-AJ12, 3235-AJ13, 3235-AJ14

Resources

Federal Register Version

Last Reviewed or Updated: May 25, 2023

Rules & Regulations

Enforcement & Litigation

Compliance

Confirmation Requirements and Point of Sale Disclosure Requirements for Transactions in Certain Mutual Funds and Other Securities, and Other Confirmation Requirement Amendments, and Amendments to the Registration Form for Mutual Funds

Details

Resources

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Confirmation Requirements and Point of Sale Disclosure Requirements for Transactions in Certain Mutual Funds and Other Securities, and Other Confirmation Requirement Amendments, and Amendments to the Registration Form for Mutual Funds

Details

Resources