Citations for: Compliance Programs of Investment Companies and Investment Advisers

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  • 69 FR 3472: Investment Company Governance (01/23/2004)
    Full Title:
    Investment Company Governance
    Agency:
    Securities and Exchange Commission
    Date Entered:
    Friday, January 23, 2004
    Type:
    Proposed Rule
  • 69 FR 4040: Investment Adviser Codes of Ethics (01/27/2004)
    Full Title:
    Investment Adviser Codes of Ethics
    Agency:
    Securities and Exchange Commission
    Date Entered:
    Tuesday, January 27, 2004
    Type:
    Proposed Rule
  • 69 FR 9726: Prohibition on the Use of Brokerage Commissions To Finance Distribution (03/01/2004)
    Full Title:
    Prohibition on the Use of Brokerage Commissions To Finance Distribution
    Agency:
    Securities and Exchange Commission
    Date Entered:
    Monday, March 01, 2004
    Type:
    Proposed Rule
  • 69 FR 11762: Mandatory Redemption Fees for Redeemable Fund Securities (03/11/2004)
    Full Title:
    Mandatory Redemption Fees for Redeemable Fund Securities
    Agency:
    Securities and Exchange Commission
    Date Entered:
    Thursday, March 11, 2004
    Type:
    Proposed Rule
  • 69 FR 12752: Disclosure Regarding Portfolio Managers of Registered Management Investment Companies (03/17/2004)
    Full Title:
    Disclosure Regarding Portfolio Managers of Registered Management Investment Companies
    Agency:
    Securities and Exchange Commission
    Date Entered:
    Wednesday, March 17, 2004
    Type:
    Proposed Rule
  • 69 FR 22300: Disclosure Regarding Market Timing and Selective Disclosure of Portfolio Holdings (04/23/2004)
    Full Title:
    Disclosure Regarding Market Timing and Selective Disclosure of Portfolio Holdings
    Agency:
    Securities and Exchange Commission
    Date Entered:
    Friday, April 23, 2004
    Type:
    Rule
  • 69 FR 44070: Compliance Programs of Investment Companies (07/23/2004)
    Full Title:
    Compliance Programs of Investment Companies
    Agency:
    Securities and Exchange Commission
    Date Entered:
    Friday, July 23, 2004
    Type:
    Notice
  • 69 FR 46378: Investment Company Governance (08/02/2004)
    Full Title:
    Investment Company Governance
    Agency:
    Securities and Exchange Commission
    Date Entered:
    Monday, August 02, 2004
    Type:
    Rule
  • 69 FR 52788: Disclosure Regarding Portfolio Managers of Registered Management Investment Companies (08/27/2004)
    Full Title:
    Disclosure Regarding Portfolio Managers of Registered Management Investment Companies
    Agency:
    Securities and Exchange Commission
    Date Entered:
    Friday, August 27, 2004
    Type:
    Rule
  • 70 FR 13328: Mutual Fund Redemption Fees (03/18/2005)
    Full Title:
    Mutual Fund Redemption Fees
    Agency:
    Securities and Exchange Commission
    Date Entered:
    Friday, March 18, 2005
    Type:
    Rule
  • 70 FR 31554: Self-Regulatory Organizations; National Association of Securities Dealers, Inc.; Notice of Filing of Proposed Rule Change and Amendment Nos. 1 and 2 Thereto Relating to NASD Rule 2790 (06/01/2005)
    Full Title:
    Self-Regulatory Organizations; National Association of Securities Dealers, Inc.; Notice of Filing of Proposed Rule Change and Amendment Nos. 1 and 2 Thereto Relating to NASD Rule 2790
    Agency:
    Securities and Exchange Commission
    Date Entered:
    Wednesday, June 01, 2005
    Type:
    Notice
  • 71 FR 26213: Financial Crimes Enforcement Network; Amendment to the Bank Secrecy Act Regulations-Requirement That Mutual Funds Report Suspicious Transactions (05/04/2006)
    Full Title:
    Financial Crimes Enforcement Network; Amendment to the Bank Secrecy Act Regulations-Requirement That Mutual Funds Report Suspicious Transactions
    Agency:
    Department of the Treasury
    Date Entered:
    Thursday, May 04, 2006
    Type:
    Rule
  • 71 FR 58257: Mutual Fund Redemption Fees (10/03/2006)
    Full Title:
    Mutual Fund Redemption Fees
    Agency:
    Securities and Exchange Commission
    Date Entered:
    Tuesday, October 03, 2006
    Type:
    Rule
  • 73 FR 45646: Commission Guidance Regarding the Duties and Responsibilities of Investment Company Boards of Directors With Respect to Investment Adviser Portfolio Trading Practices (08/06/2008)
    Full Title:
    Commission Guidance Regarding the Duties and Responsibilities of Investment Company Boards of Directors With Respect to Investment Adviser Portfolio Trading Practices
    Agency:
    Securities and Exchange Commission
    Date Entered:
    Wednesday, August 06, 2008
    Type:
    Proposed Rule
  • 74 FR 25354: Custody of Funds or Securities of Clients by Investment Advisers (05/27/2009)
    Full Title:
    Custody of Funds or Securities of Clients by Investment Advisers
    Agency:
    Securities and Exchange Commission
    Date Entered:
    Wednesday, May 27, 2009
    Type:
    Proposed Rule
  • 75 FR 1456: Custody of Funds or Securities of Clients by Investment Advisers (01/11/2010)
    Full Title:
    Custody of Funds or Securities of Clients by Investment Advisers
    Agency:
    Securities and Exchange Commission
    Date Entered:
    Monday, January 11, 2010
    Type:
    Rule
  • 75 FR 77052: Rules Implementing Amendments to the Investment Advisers Act of 1940 (12/10/2010)
    Full Title:
    Rules Implementing Amendments to the Investment Advisers Act of 1940
    Agency:
    Securities and Exchange Commission
    Date Entered:
    Friday, December 10, 2010
    Type:
    Proposed Rule
  • 76 FR 10948: Registration and Regulation of Security-Based Swap Execution Facilities (02/28/2011)
    Full Title:
    Registration and Regulation of Security-Based Swap Execution Facilities
    Agency:
    Securities and Exchange Commission
    Date Entered:
    Monday, February 28, 2011
    Type:
    Proposed Rule
  • 76 FR 39646: Exemptions for Advisers to Venture Capital Funds, Private Fund Advisers With Less Than $150 Million in Assets Under Management, and Foreign Private Advisers (07/06/2011)
    Full Title:
    Exemptions for Advisers to Venture Capital Funds, Private Fund Advisers With Less Than $150 Million in Assets Under Management, and Foreign Private Advisers
    Agency:
    Securities and Exchange Commission
    Date Entered:
    Wednesday, July 06, 2011
    Type:
    Rule
  • 76 FR 42396: Business Conduct Standards for Security-Based Swap Dealers and Major Security-Based Swap Participants (07/18/2011)
    Full Title:
    Business Conduct Standards for Security-Based Swap Dealers and Major Security-Based Swap Participants
    Agency:
    Securities and Exchange Commission
    Date Entered:
    Monday, July 18, 2011
    Type:
    Proposed Rule
  • 76 FR 42950: Rules Implementing Amendments to the Investment Advisers Act of 1940 (07/19/2011)
    Full Title:
    Rules Implementing Amendments to the Investment Advisers Act of 1940
    Agency:
    Securities and Exchange Commission
    Date Entered:
    Tuesday, July 19, 2011
    Type:
    Rule
  • 76 FR 55237: Use of Derivatives by Investment Companies Under the Investment Company Act of 1940 (09/07/2011)
    Full Title:
    Use of Derivatives by Investment Companies Under the Investment Company Act of 1940
    Agency:
    Securities and Exchange Commission
    Date Entered:
    Wednesday, September 07, 2011
    Type:
    Rule
  • 77 FR 20128: Swap Dealer and Major Swap Participant Recordkeeping, Reporting, and Duties Rules; Futures Commission Merchant and Introducing Broker Conflicts of Interest Rules; and Chief Compliance Officer Rules for Swap Dealers, Major Swap Participants, and Futures Commission Merchants (04/03/2012)
    Full Title:
    Swap Dealer and Major Swap Participant Recordkeeping, Reporting, and Duties Rules; Futures Commission Merchant and Introducing Broker Conflicts of Interest Rules; and Chief Compliance Officer Rules for Swap Dealers, Major Swap Participants, and Futures Commission Merchants
    Agency:
    Commodity Futures Trading Commission
    Date Entered:
    Tuesday, April 03, 2012
    Type:
    Rule

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