Investment companies

November 2012
- Friday 23
  - Purchase of Certain Debt Securities by Business and Industrial Development Companies Relying on an Investment Company Act Exemption
March 2012
- Tuesday 06
  - Identity Theft Red Flags Rules
November 2011
- Monday 21
  - Rescission of Outdated Rules and Forms, and Amendments To Correct References
August 2011
- Friday 12
  - Commission Rules and Forms Related to the FASB's Accounting Standards Codification
March 2011
- Wednesday 09
  - References to Credit Ratings in Certain Investment Company Act Rules and Forms
October 2010
- Tuesday 19
  - Technical Amendments to Forms N-CSR and N-SAR in Connection With the Comprehensive Iran Sanctions, Accountability, and Divestment Act of 2010
June 2010
- Wednesday 23
  - Investment Company Advertising: Target Date Retirement Fund Names and Marketing
March 2010
- Thursday 04
  - Money Market Fund Reform
September 2009
- Wednesday 23
  - Disclosure of Certain Money Market Fund Portfolio Holdings
August 2009
- Tuesday 11
  - Regulation S-AM: Limitations on Affiliate Marketing
July 2009
- Tuesday 14
  - Small Business Investment Companies-Leverage Eligibility and Portfolio Diversification Requirements
- Wednesday 08
  - Money Market Fund Reform
January 2009
- Monday 26
  - Enhanced Disclosure and New Prospectus Delivery Option for Registered Open-End Management Investment Companies
November 2008
- Wednesday 26
  - Temporary Exemption for Liquidation of Certain Money Market Funds
July 2008
- Friday 11
  - References to Ratings of Nationally Recognized Statistical Rating Organizations
May 2008
- Tuesday 20
  - Definition of Eligible Portfolio Company Under the Investment Company Act of 1940
March 2008
- Thursday 13
  - Part 248-Regulation S-P: Privacy of Consumer Financial Information and Safeguarding Personal Information
November 2007
- Friday 30
  - Enhanced Disclosure and New Prospectus Delivery Option for Registered Open-End Management Investment Companies
January 2007
- Thursday 04
  - Prohibition of Fraud by Advisers to Certain Pooled Investment Vehicles; Accredited Investors in Certain Private Investment Vehicles
October 2006
- Tuesday 31
  - Definition of Eligible Portfolio Company Under the Investment Company Act of 1940
- Tuesday 03
  - Mutual Fund Redemption Fees
March 2006
- Tuesday 07
  - Mutual Fund Redemption Fees
March 2005
- Friday 18
  - Mutual Fund Redemption Fees
December 2004
- Wednesday 08
  - Disposal of Consumer Report Information
November 2004
- Monday 08
  - Definition of Eligible Portfolio Company Under the Investment Company Act of 1940
September 2004
- Monday 20
  - Disposal of Consumer Report Information
- Thursday 09
  - Prohibition on the Use of Brokerage Commissions To Finance Distribution
August 2004
- Monday 02
  - Investment Company Governance
July 2004
- Wednesday 14
  - Limitations on Affiliate Marketing (Regulation S-AM)
- Friday 09
  - Investment Adviser Codes of Ethics
March 2004
- Thursday 11
  - Mandatory Redemption Fees for Redeemable Fund Securities
- Tuesday 09
  - Shareholder Reports and Quarterly Portfolio Disclosure of Registered Management Investment Companies
February 2004
- Monday 23
  - Small Business Investment Companies-Long Term Financing
January 2004
- Tuesday 27
  - Investment Adviser Codes of Ethics
December 2003
- Wednesday 24
  - Compliance Programs of Investment Companies and Investment Advisers
- Wednesday 17
  - Amendments to Rules Governing Pricing of Mutual Fund Shares
October 2003
- Monday 06
  - Amendments to Investment Company Advertising Rules
June 2003
- Friday 20
  - Certain Research and Development Companies
May 2003
- Friday 09
  - Customer Identification Programs for Mutual Funds
February 2003
- Thursday 20
  - Custody of Investment Company Assets With a Securities Depository
January 2003
- Wednesday 22
  - Transactions of Investment Companies With Portfolio and Subadviser Affiliates
- Friday 17
  - Standards Relating to Listed Company Audit Committees
December 2002
- Tuesday 03
  - Certain Research and Development Companies
October 2002
- Tuesday 22
  - Small Business Investment Companies
September 2002
- Monday 09
  - Certification of Disclosure in Companies' Quarterly and Annual Reports
May 2002
- Friday 24
  - Proposed Amendments to Investment Company Advertising Rules
- Friday 17
  - Small Business Investment Companies
- Wednesday 08
  - Exemption for the Acquisition of Securities During the Existence of an Underwriting or Selling Syndicate
  - Transactions of Investment Companies With Portfolio and Subadvisory Affiliates
April 2002
- Tuesday 23
  - Registration Form for Insurance Company Separate Accounts Registered as Unit Investment Trusts That Offer Variable Life Insurance Policies

Compliance Programs of Investment Companies and Investment Advisers
12/24/2003; 23 citations
Limitations on Affiliate Marketing (Regulation S-AM)
07/14/2004; 16 citations
Enhanced Disclosure and New Prospectus Delivery Option for Registered Open-End Management Investment Companies
11/30/2007; 13 citations
Money Market Fund Reform
03/04/2010; 12 citations
Investment Adviser Codes of Ethics
07/09/2004; 11 citations
Shareholder Reports and Quarterly Portfolio Disclosure of Registered Management Investment Companies
03/09/2004; 10 citations
Enhanced Disclosure and New Prospectus Delivery Option for Registered Open-End Management Investment Companies
01/26/2009; 9 citations
Prohibition of Fraud by Advisers to Certain Pooled Investment Vehicles; Accredited Investors in Certain Private Investment Vehicles
01/04/2007; 9 citations
Money Market Fund Reform
07/08/2009; 8 citations
Offer and Sale of Securities to Canadian Tax-Deferred Retirement Savings Accounts
06/15/2000; 7 citations
Prohibition on the Use of Brokerage Commissions To Finance Distribution
09/09/2004; 6 citations
Amendments to Investment Company Advertising Rules
10/06/2003; 6 citations
Mandatory Redemption Fees for Redeemable Fund Securities
03/11/2004; 5 citations
Privacy of Consumer Financial Information (Regulation S-P)
06/29/2000; 5 citations
Part 248-Regulation S-P: Privacy of Consumer Financial Information and Safeguarding Personal Information
03/13/2008; 4 citations
Mutual Fund Redemption Fees
03/18/2005; 4 citations
Investment Company Governance
08/02/2004; 4 citations
Investment Adviser Codes of Ethics
01/27/2004; 4 citations
Amendments to Rules Governing Pricing of Mutual Fund Shares
12/17/2003; 4 citations
Certification of Disclosure in Companies' Quarterly and Annual Reports
09/09/2002; 4 citations
Investment Company Mergers
11/15/2001; 4 citations
Disposal of Consumer Report Information
09/20/2004; 3 citations
Disclosure of Mutual Fund After-Tax Returns
02/05/2001; 3 citations
References to Credit Ratings in Certain Investment Company Act Rules and Forms
03/09/2011; 2 citations
Definition of Eligible Portfolio Company Under the Investment Company Act of 1940
10/31/2006; 2 citations
Disposal of Consumer Report Information
12/08/2004; 2 citations
Custody of Investment Company Assets With a Securities Depository
02/20/2003; 2 citations
Custody of Investment Company Assets With a Securities Depository
11/21/2001; 2 citations
Identity Theft Red Flags Rules
03/06/2012; 1 citation
Rescission of Outdated Rules and Forms, and Amendments To Correct References
11/21/2011; 1 citation
Investment Company Advertising: Target Date Retirement Fund Names and Marketing
06/23/2010; 1 citation
Customer Identification Programs for Mutual Funds
05/09/2003; 1 citation
Transactions of Investment Companies With Portfolio and Subadvisory Affiliates
05/08/2002; 1 citation

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