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Release Number:34-89074
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SEC Issue Date:
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File Number:
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Details: Order Granting a Temporary Conditional Exemption From the Broker Registration Requirements of Section 15(a) of the Securities Exchange Act of 1934 for Certain Activities of Registered Municipal Advisors
Federal Register version (85 FR 37133)
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Release Number:34-89051
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SEC Issue Date:
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File Number:
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Details: Order Granting Conditional Exemptive Relief, Pursuant to Section 36 of the Securities Exchange Act of 1934 ("Exchange Act") and Rule 608(e) of Regulation NMS Under the Exchange Act, From Sections 6.4(d)(ii)(A)(2) and (B) of the National Market System Plan Governing the Consolidated Audit Trail
Federal Register version (85 FR 36631)
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Release Number:SIPA-181
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SEC Issue Date:
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File Number:SIPC-2019-01
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Details: Securities Investor Protection Corporation; Order Approving Proposed Bylaw Change, as Revised by Amendment No. 1, Relating to SIPC Board Compensation
Federal Register version (85 FR 35970)
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Release Number:SIPA-182
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SEC Issue Date:
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File Number:SIPC-2019-02
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Details: Securities Investor Protection Corporation; Order Approving Proposed Bylaw Change Relating to SIPC Member Assessments
Federal Register version (85 FR 35960)
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Release Number:34-89002
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SEC Issue Date:
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File Number:2020-20
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Details: Order Determining Whistleblower Award Claim
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Release Number:34-89003
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SEC Issue Date:
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File Number:8-66603
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Details: Brewer Financial Services, LLC (Order Cancelling Registration Under Section 15(b) of the Securities Exchange Act of 1934)
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Release Number:34-88973
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SEC Issue Date:
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File Number:2020-19
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Details: Order Determining Whistleblower Award Claim
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Release Number:34-88960
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SEC Issue Date:
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File Number:
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Details: Order Under Section 17A and Section 36 of the Securities Exchange Act of 1934 Extending Temporary Exemptions From Specified Provisions of the Exchange Act and Certain Rules Thereunder
Federal Register version (85 FR 33234)
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Release Number:IA-5506
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SEC Issue Date:
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File Number:
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Details: Notice of Intention To Cancel Registration Pursuant to Section 203(H) of the Investment Advisers Act of 1940
Federal Register version (85 FR 31559)
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Release Number:IA-5504
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SEC Issue Date:
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File Number:
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Details: Intention To Cancel Registration Pursuant to Section 203(H) of the Investment Advisers Act of 1940
Federal Register version (85 FR 31245)
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Release Number:34-88884
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SEC Issue Date:
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File Number:
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Details: Order Granting a Conditional Exemption From Exchange Act Section 11(d)(1) for Certain Asset Backed Securities and Other Collateral
See Also -
Incoming Letter
Federal Register version (85 FR 31019)
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Release Number:34-88866
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SEC Issue Date:
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File Number:
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Details: Order Designating Financial Industry Regulatory Authority, Inc., To Receive Form X-17A-5 (FOCUS Report) From Certain Security-Based Swap Dealers and Major Security-Based Swap Participants
Federal Register version (85 FR 29993)
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Release Number:33-10784
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SEC Issue Date:
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File Number:
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Details: Morgan Stanley; and Morgan Stanley Finance LLC (Order Under Rule 405 of the Securities Act of 1933, Granting Waivers From Being Ineligible Issuers)
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Release Number:34-88842
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SEC Issue Date:
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File Number:265-30
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Details: Fixed Income Market Structure Advisory Committee
View Received Comments
Federal Register version (85 FR 28686)
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Release Number:34-88807
|
SEC Issue Date:
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File Number:265-33
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Details: Asset Management Advisory Committee; Meeting
View Received Comments
Federal Register version (85 FR 27469)
|
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Release Number:34-88803
|
SEC Issue Date:
|
File Number:2020-18
|
Details: Order Determining Whistleblower Award Claim
|
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Release Number:34-88806
|
SEC Issue Date:
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File Number:10-237
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Details: In the Matter of the Application of MEMX LLC for Registration as a National Securities Exchange Findings, Opinion, and Order of the Commission
See Also -
Form 1 Application and Exhibits
Federal Register version (85 FR 27451)
|
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Release Number:IA-5493
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SEC Issue Date:
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File Number:
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Details: Notice of Intention To Cancel Registration Pursuant to Section 203(H) of the Investment Advisers Act of 1940
Federal Register version (85 FR 27258)
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Release Number:33-10780, 34-88790
|
SEC Issue Date:
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File Number:265-28
|
Details: Investor Advisory Committee Meeting
Comments Due: May 21, 2020
Federal Register version (85 FR 26998)
|
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Release Number:33-10780, 34-88790
|
SEC Issue Date:
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File Number:265-28
|
Details: Investor Advisory Committee Meeting
Comments Due: May 21, 2020
Federal Register version (85 FR 26998)
|
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Release Number:34-88759
|
SEC Issue Date:
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File Number:2020-17
|
Details: Order Determining Whistleblower Award Claim
|
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Release Number:33-10776, 34-88742
|
SEC Issue Date:
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File Number:265-32
|
Details: SEC Small Business Capital Formation Advisory Committee
View Received Comments
Federal Register version (85 FR 23875)
|
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Release Number:33-10776, 34-88742
|
SEC Issue Date:
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File Number:265-32
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Details: SEC Small Business Capital Formation Advisory Committee
View Received Comments
Federal Register version (85 FR 23875)
|
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Release Number:34-88703
|
SEC Issue Date:
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File Number:
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Details: Order Granting Limited Exemptive Relief, Pursuant to Section 36 of the Securities Exchange Act of 1934 ("Exchange Act") and Rule 608(e) of Regulation NMS Under the Exchange Act, Related to Certain Introducing Brokers, From the Requirements of the National Market System Plan Governing the Consolidated Audit Trail
Federal Register version (85 FR 23115)
|
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Release Number:34-88702
|
SEC Issue Date:
|
File Number:
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Details: Order Granting Conditional Exemptive Relief, Pursuant to Section 36 of the Securities Exchange Act of 1934 ("Exchange Act") and Rule 608(e) of Regulation NMS Under the Exchange Act, From Sections 6.4, 6.7(a)(v) and 6.7(a)(vi) of the National Market System Plan Governing the Consolidated Audit Trail
Federal Register version (85 FR 23075)
|
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Release Number:34-88687
|
SEC Issue Date:
|
File Number:2020-16
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Details: Order Determining Whistleblower Award Claim
|
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Release Number:34-88689
|
SEC Issue Date:
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File Number:2020-15
|
Details: Order Determining Whistleblower Award Claim
|
|
Release Number:33-10774
|
SEC Issue Date:
|
File Number:
|
Details: Certain Investment Advisers Participating in the Share Class Selection Disclosure Initiative (Order Under Rules 262(b)(2), 405, 506(d)(2)(ii), and 602(e) of the Securities Act of 1933 and Rule 503(b)(2) of Regulation Crowdfunding Granting Waivers of the Disqualification Provisions of Rules 262(b)(3), 506(d)(1)(iv), and 602(c)(3) of the Securities Act of 1933, Rule 503(a)(4)(ii) of Regulation Crowdfunding, and Granting Waivers from Being Ineligible Issuers)
|
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Release Number:34-88658
|
SEC Issue Date:
|
File Number:2020-13
|
Details: Order Determining Whistleblower Award Claim
|
|
Release Number:34-88667
|
SEC Issue Date:
|
File Number:2020-14
|
Details: Order Determining Whistleblower Award Claim
|
|
Release Number:IC-33837
|
SEC Issue Date:
|
File Number:
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Details: Order Under Sections 6(c), 17(d), 38(a), and 57(i) of the Investment Company Act of 1940 and Rule 17d-1 Thereunder Granting Exemptions from Specified Provisions of the Investment Company Act and Certain Rules Thereunder
|
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Release Number:34-88608
|
SEC Issue Date:
|
File Number:
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Details: Order Granting Conditional Exemptive Relief, Pursuant to Section 36 of the Securities Exchange Act of 1934 ("Exchange Act") and Rule 608(e) of Regulation NMS Under the Exchange Act to Rule 608(e) of Regulation NMS Under the Exchange Act, Relating to Granularity of Timestamps Specified in Section 6.8(b) and Appendix D, Section 3 of the National Market System Plan Governing the Consolidated Audit Trail
Federal Register version (85 FR 20743)
|
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Release Number:34-88547
|
SEC Issue Date:
|
File Number:2020-12
|
Details: Order Determining Whistleblower Award Claim
|
|
Release Number:33-10769, 34-88531, IA-5470, IC-33833
|
SEC Issue Date:
|
File Number:S7-06-20
|
Details: Regulatory Flexibility Agenda
Comments Due: 30 days after publication in the Federal Register
View Received Comments
Federal Register version (85 FR 52861)
|
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Release Number:33-10769, 34-88531, IA-5470, IC-33833
|
SEC Issue Date:
|
File Number:S7-06-20
|
Details: Regulatory Flexibility Agenda
Comments Due: 30 days after publication in the Federal Register
View Received Comments
Federal Register version (85 FR 52861)
|
|
Release Number:33-10769, 34-88531, IA-5470, IC-33833
|
SEC Issue Date:
|
File Number:S7-06-20
|
Details: Regulatory Flexibility Agenda
Comments Due: 30 days after publication in the Federal Register
View Received Comments
Federal Register version (85 FR 52861)
|
|
Release Number:33-10769, 34-88531, IA-5470, IC-33833
|
SEC Issue Date:
|
File Number:S7-06-20
|
Details: Regulatory Flexibility Agenda
Comments Due: 30 days after publication in the Federal Register
View Received Comments
Federal Register version (85 FR 52861)
|
|
Release Number:34-88507
|
SEC Issue Date:
|
File Number:2020-11
|
Details: Order Determining Whistleblower Award Claim
|
|
Release Number:34-88491
|
SEC Issue Date:
|
File Number:
|
Details: Order Under Section 15b of The Securities Exchange Act of 1934 Granting an Exemption for Municipal Advisors From Specified Provisions of The Securities Exchange Act and Rule 15ba1-5(A)(1) Thereunder
Federal Register version (85 FR 18299)
|
|
Release Number:34-88465
|
SEC Issue Date:
|
File Number:
|
Details: Order Under Section 36 of the Securities Exchange Act of 1934 Modifying Exemptions From the Reporting and Proxy Delivery Requirements for Public Companies
Federal Register version (85 FR 17610)
|
|
Release Number:IA-5469
|
SEC Issue Date:
|
File Number:
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Details: Order Under Section 206a of the Investment Advisers Act of 1940 Granting Exemptions From Specified Provisions of the Investment Advisers Act and Certain Rules Thereunder
Federal Register version (85 FR 17609)
|
|
Release Number:IC-33824
|
SEC Issue Date:
|
File Number:
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Details: Order Under Section 6(C) and Section 38(A) of the Investment Company Act of 1940 Granting Exemptions From Specified Provisions of the Investment Company Act and Certain Rules Thereunder; Commission Statement Regarding Prospectus Delivery
Federal Register version (85 FR 17611)
|
|
Release Number:34-88478
|
SEC Issue Date:
|
File Number:
|
Details: Order Granting Application by The Financial Information Forum and Security Traders Association for a Temporary Exemption Pursuant to Rule 606(c) of Regulation NMS Under the Exchange Act in Response to the Effects of COVID-19
Federal Register version (85 FR 17927)
|
|
Release Number:34-88462
|
SEC Issue Date:
|
File Number:2020-9
|
Details: Order Determining Whistleblower Award Claim
|
|
Release Number:34-88464
|
SEC Issue Date:
|
File Number:2020-10
|
Details: Order Determining Whistleblower Award Claim
|
|
Release Number:IC-33821
|
SEC Issue Date:
|
File Number:
|
Details: Order Under Sections 6(c), 12(d)(1)(J), 17(b), 17(d) AND 38(a) of the Investment Company Act of 1940 and Rule 17d-1 Thereunder Granting Exemptions from Specified Provisions of the Investment Company Act and Certain Rules Thereunder
See Also -
Staff Statement Regarding Termination Notice For Exemptive Relief and Withdrawal of Staff Letters Related To COVID-19 Response
|
|
Release Number:34-88449
|
SEC Issue Date:
|
File Number:2020-8
|
Details: Order Determining Whistleblower Award Claim
|
|
Release Number:34-88448
|
SEC Issue Date:
|
File Number:
|
Details: Order Under Section 17A and Section 36 of the Securities Exchange Act of 1934 Granting Exemptions From Specified Provisions of the Exchange Act and Certain Rules Thereunder
Federal Register version (85 FR 17122)
|
|
Release Number:34-88393
|
SEC Issue Date:
|
File Number:
|
Details: Order Granting Conditional Exemptive Relief, Pursuant to Section 36 and Rule 608(e) of the Securities Exchange Act of 1934, From Section 6.4(d)(ii)(C) and Appendix D Sections 4.1.6, 6.2, 8.1.1, 8.2, 9.1, 9.2, 9.4, 10.1, and 10.3 of the National Market System Plan Governing the Consolidated Audit Trail
Federal Register version (85 FR 16152)
|
|
Release Number:IA-5463
|
SEC Issue Date:
|
File Number:
|
Details: Order Under Section 206A of the Investment Advisers Act of 1940 Granting Exemptions from Specified Provisions of the Investment Advisers Act and Certain Rules Thereunder
|
|
Release Number:IC-33817
|
SEC Issue Date:
|
File Number:
|
Details: Order under Section 6(C) and Section 38(A) of the Investment Company Act of 1940 Granting Exemptions from Specified Provisions of the Investment Company Act and Certain Rules Thereunder; Commission Statement Regarding Prospectus Delivery
|
|
Release Number:34-88318
|
SEC Issue Date:
|
File Number:
|
Details: Order Under Section 36 of the Securities Exchange Act of 1934 Granting Exemptions From Specified Provisions of the Exchange Act and Certain Rules Thereunder
Federal Register version (85 FR 13680)
|
|
Release Number:IC-33809
|
SEC Issue Date:
|
File Number:S7-04-20
|
Details: Request for Comments on Fund Names
View Received Comments
Federal Register version (85 FR 13221)
|
|
Release Number:34-88299
|
SEC Issue Date:
|
File Number:2020-7
|
Details: Order Determining Whistleblower Award Claim
|
|
Release Number:33-10758
|
SEC Issue Date:
|
File Number:
|
Details: Wells Fargo & Company (Order Under Rule 506(d)(2)(ii) of the Securities Act of 1933 Granting a Waiver of the Rule 506(d)(1)(v)(A) Disqualification Provision)
|
|
Release Number:34-88214
|
SEC Issue Date:
|
File Number:SR-FINRA-2019-008
|
Details: In the Matter of the Financial Industry Regulatory Authority, Inc. for an Order Granting the Approval of Proposed Rule Change, as Modified by Amendment No. 2, To Establish a Corporate Bond New Issue Reference Data Service (File No. SR-FINRA-2019-008); Order Granting Petition for Review and Scheduling Filing of Statements
Federal Register version (85 FR 9887)
|
|
Release Number:33-10753, 34-88137
|
SEC Issue Date:
|
File Number:
|
Details: Order Regarding Review of FASB Accounting Support Fee for 2020 under Section 109 of the Sarbanes-Oxley Act of 2002
|
|
Release Number:33-10753, 34-88137
|
SEC Issue Date:
|
File Number:
|
Details: Order Regarding Review of FASB Accounting Support Fee for 2020 under Section 109 of the Sarbanes-Oxley Act of 2002
|
|
Release Number:33-10752, 34-88113
|
SEC Issue Date:
|
File Number:265-28
|
Details: Investor Advisory Committee Meeting
Comments Due: February 27, 2020
Federal Register version (85 FR 6986)
|
|
Release Number:33-10752, 34-88113
|
SEC Issue Date:
|
File Number:265-28
|
Details: Investor Advisory Committee Meeting
Comments Due: February 27, 2020
Federal Register version (85 FR 6986)
|
|
Release Number:SIPA-179A
|
SEC Issue Date:
|
File Number:SIPC-2019-02
|
Details: Securities Investor Protection Corporation; Notice of Filing of Proposed Bylaw Changes Relating to SIPC Member Assessments; Correction
Comments Due: February 20, 2020
Federal Register version (85 FR 5519)
|
|
Release Number:SIPA-180A
|
SEC Issue Date:
|
File Number:SIPC-2019-01
|
Details: Securities Investor Protection Corporation; Notice of Filing of Proposed Bylaw Change, as Revised by Amendment No. 1, Relating to SIPC Board Compensation; Correction
Comments Due: February 20, 2020
View Received Comments
Federal Register version (85 FR 5513)
|
|
Release Number:33-10747, 34-88012
|
SEC Issue Date:
|
File Number:265-32
|
Details: SEC Small Business Capital Formation Advisory Committee
View Received Comments
Federal Register version (85 FR 4752)
|
|
Release Number:33-10747, 34-88012
|
SEC Issue Date:
|
File Number:265-32
|
Details: SEC Small Business Capital Formation Advisory Committee
View Received Comments
Federal Register version (85 FR 4752)
|
|
Release Number:34-88014
|
SEC Issue Date:
|
File Number:2020-5
|
Details: Order Determining Whistleblower Award Claim
|
|
Release Number:34-88015
|
SEC Issue Date:
|
File Number:2020-6
|
Details: Order Determining Whistleblower Award Claim
|
|
Release Number:34-87956
|
SEC Issue Date:
|
File Number:265-30
|
Details: Fixed Income Market Structure Advisory Committee
View Received Comments
Federal Register version (85 FR 3095)
|
|
Release Number:34-87918
|
SEC Issue Date:
|
File Number:
|
Details: Order Making Fiscal Year 2020 Annual Adjustments to Transaction Fee Rates
Federal Register version (85 FR 2218)
|
|
Release Number:33-10740, 34-87905, IA-5428, IC-33740
|
SEC Issue Date:
|
File Number:
|
Details: Adjustments to Civil Monetary Penalty Amounts
Federal Register version (85 FR 1833)
|
|
Release Number:33-10740, 34-87905, IA-5428, IC-33740
|
SEC Issue Date:
|
File Number:
|
Details: Adjustments to Civil Monetary Penalty Amounts
Federal Register version (85 FR 1833)
|
|
Release Number:33-10740, 34-87905, IA-5428, IC-33740
|
SEC Issue Date:
|
File Number:
|
Details: Adjustments to Civil Monetary Penalty Amounts
Federal Register version (85 FR 1833)
|
|
Release Number:33-10740, 34-87905, IA-5428, IC-33740
|
SEC Issue Date:
|
File Number:
|
Details: Adjustments to Civil Monetary Penalty Amounts
Federal Register version (85 FR 1833)
|
|
Release Number:33-10739, 34-87874
|
SEC Issue Date:
|
File Number:265-28
|
Details: Investor Advisory Committee Meeting
Comments Due: January 24, 2020
Federal Register version (85 FR 534)
|
|
Release Number:33-10739, 34-87874
|
SEC Issue Date:
|
File Number:265-28
|
Details: Investor Advisory Committee Meeting
Comments Due: January 24, 2020
Federal Register version (85 FR 534)
|
|
Release Number:34-87828
|
SEC Issue Date:
|
File Number:2020-4
|
Details: Order Determining Whistleblower Award Claims
|
|
Release Number:34-87835
|
SEC Issue Date:
|
File Number:265-33
|
Details: Asset Management Advisory Committee
View Received Comments
Federal Register version (84 FR 72085)
|
|
Release Number:34-87781
|
SEC Issue Date:
|
File Number:
|
Details: Order Designating Certain Jurisdictions as "Listed Jurisdictions" for Purposes of Applying the Security-Based Swap Dealer De Minimis Exception of Rule 3a71-3(d) Under the Exchange Act to Certain Cross-Border Security-Based Swap Transactions
Federal Register version (85 FR 6355)
|
|
Release Number:33-10735, 34-87785
|
SEC Issue Date:
|
File Number:
|
Details: Order Approving Public Company Accounting Oversight Board Budget and Annual Accounting Support Fee for Calendar Year 2020
Federal Register version (84 FR 71024)
|
|
Release Number:33-10735, 34-87785
|
SEC Issue Date:
|
File Number:
|
Details: Order Approving Public Company Accounting Oversight Board Budget and Annual Accounting Support Fee for Calendar Year 2020
Federal Register version (84 FR 71024)
|
|
Release Number:33-10737
|
SEC Issue Date:
|
File Number:
|
Details: Blockchain of Things, Inc. (Order Under Rule 506(d)(2)(ii) of the Securities Act of 1933 Granting a Waiver of the Rule 506(d)(1)(v)(B) Disqualification Provision)
|
|
Release Number:34-87714
|
SEC Issue Date:
|
File Number:S7-14-11
|
Details: Credit Risk Retention-Notice of Commencement of Review
Comments Due: February 3, 2020
View Received Comments
See Also -
34-73407.pdf, Proposed Rule Release Nos. 34-70277, 34-64603, Credit Risk Retention
Federal Register version (84 FR 70073)
|
|
Release Number:34-87662
|
SEC Issue Date:
|
File Number:2020-2
|
Details: Order Determining Whistleblower Award Claims
|
|
Release Number:34-87663
|
SEC Issue Date:
|
File Number:2020-3
|
Details: Order Determining Whistleblower Award Claims
|
|
Release Number:33-10729, 34-87628
|
SEC Issue Date:
|
File Number:265-32
|
Details: SEC Small Business Capital Formation Advisory Committee; Meeting
Federal Register version (84 FR 66028)
|
|
Release Number:33-10729, 34-87628
|
SEC Issue Date:
|
File Number:265-32
|
Details: SEC Small Business Capital Formation Advisory Committee; Meeting
Federal Register version (84 FR 66028)
|
|
Release Number:34-87544
|
SEC Issue Date:
|
File Number:2020-1
|
Details: Order Determining Whistleblower Award Claims
|
|
Release Number:34-87503
|
SEC Issue Date:
|
File Number:SR-NYSEArca-2019-01
|
Details: NYSE Arca, Inc.; Order Scheduling Filing of Statements on Review for an Order of Disapproval of Proposed Rule Change To List and Trade the Shares of Bitwise Bitcoin ETF Trust
See Also -
Letter from NYSE Arca withdrawing the proposed rule change
Federal Register version (84 FR 63699)
|
|
Release Number:33-10727
|
SEC Issue Date:
|
File Number:
|
Details: Morgan Stanley and Morgan Stanley Finance LLC
|
|
Release Number:34-87482
|
SEC Issue Date:
|
File Number:265-30
|
Details: Fixed Income Market Structure Advisory Committee
Federal Register version (84 FR 61670)
|
|
Release Number:33-10724
|
SEC Issue Date:
|
File Number:265-32
|
Details: SEC Small Business Capital Formation Advisory Committee
Federal Register version (84 FR 60117)
|
|
Release Number:34-87436
|
SEC Issue Date:
|
File Number:10-237
|
Details: MEMX LLC; Notice of Filing of Application, as Amended, for Registration as a National Securities Exchange Under Section 6 of the Securities Exchange Act of 1934
Comments Due: December 23, 2019
View Received Comments
See Also -
Form 1 Application and Exhibits
Federal Register version (84 FR 59854)
|
|
Release Number:34-87415
|
SEC Issue Date:
|
File Number:4-753
|
Details: Long-Term Stock Exchange, Inc.; Order Declaring Effective a Minor Rule Violation Plan
Federal Register version (84 FR 59427)
|
|
Release Number:33-10721, 34-87398
|
SEC Issue Date:
|
File Number:265-28
|
Details: Investor Advisory Committee Meeting
Comments Due: November 7, 2019
Federal Register version (84 FR 57921)
|
|
Release Number:33-10721, 34-87398
|
SEC Issue Date:
|
File Number:265-28
|
Details: Investor Advisory Committee Meeting
Comments Due: November 7, 2019
Federal Register version (84 FR 57921)
|
|
Release Number:34-87288
|
SEC Issue Date:
|
File Number:2019-12
|
Details: Order Determining Whistleblower Award Claim
|
|
Release Number:34-87260
|
SEC Issue Date:
|
File Number:265-30
|
Details: Fixed Income Market Structure Advisory Committee
Federal Register version (84 FR 55191)
|
|
Release Number:34-87256
|
SEC Issue Date:
|
File Number:265-33
|
Details: Asset Management Advisory Committee
View Received Comments
Federal Register version (84 FR 55190)
|
|
Release Number:33-10716
|
SEC Issue Date:
|
File Number:
|
Details: Nebulous, Inc. (Order Under Rule 506(d)(2)(ii) and Rule 262(b)(2) of the Securities Act of 1933 Granting a Waiver of the Rule 506(d)(1)(v)(B) and Rule 262(a)(5)(ii) Disqualification Provisions)
|
|
Release Number:33-10712
|
SEC Issue Date:
|
File Number:
|
Details: Certain Investment Advisers Participating in the Share Class Selection Disclosure Initiative (Order Under Rules 262(b)(2), 506(d)(2)(ii), and 602(e) of the Securities Act of 1933 and Rule 503(b)(2) of RegulationCrowdfunding Granting Waivers of the Disqualification Provisions of Rules 262(b)(3), 506(d)(1)(iv), and 602(c)(3) of the Securities Act of 1933, and Rule 503(a)(4)(ii) of Regulation Crowdfunding)
|
|
Release Number:33-10713
|
SEC Issue Date:
|
File Number:
|
Details: Certain Investment Advisers Participating in the Share Class Selection Disclosure Initiative (Order Under Rules 262(b)(2), 405, 506(d)(2)(ii), and 602(e) of the Securities Act of 1933 And Rule 503(b)(2) of Regulation Crowdfunding Granting Waivers of the Disqualification Provisions of Rules 262(b)(3), 506(d)(1)(iv), and 602(c)(3) of the Securities Act of 1933, RULE 503(a)(4)(ii) of Regulation Crowdfunding, and Granting a Waiver From Being an Ineligible Issuer)
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