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Interpretive

Release Number SEC Issue Date File Number Details
33-7049, 34-33741, FR-42 S7-04-94 Statement of the Commission Regarding Disclosure Obligations of Municipal Securities Issuers and Others
Federal Register version
33-7049, 34-33741, FR-42 S7-04-94 Statement of the Commission Regarding Disclosure Obligations of Municipal Securities Issuers and Others
Federal Register version
34-31661, IA-1357 Registration of Successors to BrokerDealers and Investment Advisers
34-31661, IA-1357 Registration of Successors to BrokerDealers and Investment Advisers
33-6900, 34-29314 Limited Partnership Reorganizations and Public Offerings of Limited Partnership Interests
33-6900, 34-29314 Limited Partnership Reorganizations and Public Offerings of Limited Partnership Interests
33-6835, 34-26831, IC-16961, FR-36 Management's Discussion and Analysis of Financial Condition and Results of Operations; Certain Investment Company Disclosures
33-6835, 34-26831, IC-16961, FR-36 Management's Discussion and Analysis of Financial Condition and Results of Operations; Certain Investment Company Disclosures
33-6835, 34-26831, IC-16961, FR-36 Management's Discussion and Analysis of Financial Condition and Results of Operations; Certain Investment Company Disclosures
33-6835, 34-26831, IC-16961, FR-36 Management's Discussion and Analysis of Financial Condition and Results of Operations; Certain Investment Company Disclosures
IA-1092 Applicability of the Investment Advisers Act to Financial Planners, Pension Consultants, and Other Persons Who Provide Investment Advisory Services as a Component of Other Financial Services
IA-770 Applicability of the Investment Advisers Act to Financial Planners, Pension Consultants, and Other Persons Who Provide Investment Advisory Services as a Component of Other Financial Services
34-17111 Regulation of Transfer Agents.
34-15292 Division of Investment Management's Interpretive Positions Relating to Rule 13f-1 and Related Form 13F
34-10429 Guidelines for Control Locations for Foreign Securities Pursuant to Subparagraphs (c)(4) and (c)(7) of Rule 15c3-3 Under the Securities Exchange Act of 1934
33-5347 Guidelines As to the Applicability of Federal Securities Laws to Offers and Sales of Condominiums or Units in a Real Estate Development
33-5211 Multi-level Distributorships and Pyramid Sales Plans
33-4298, 34-6419, IC-3140 Statement of the Commission as to the applicability of theFederal securities laws to real estate investment trusts
33-4298, 34-6419, IC-3140 Statement of the Commission as to the applicability of theFederal securities laws to real estate investment trusts
33-4298, 34-6419, IC-3140 Statement of the Commission as to the applicability of theFederal securities laws to real estate investment trusts