| | SHORT STATEMENT TITLE | SEC-PR |
| | A purpose of the RFA is to promote the effectiveness and efficiency of regulations, including | SEC-PR |
| | Proposed amendments to Form N-PX would enhance the information mutual funds, exchange- | SEC-PR |
| | Currently, registered management investment companies (other than money market funds | SEC-PR |
| | 2020 Diversity And Inclusion Strategic Plan | SEC-PR |
| | SEC Msrb, FINRA to Hold Compliance Outreach Program for Municipal Advisors | SEC-PR |
| | Information, INC As a Nationally Recognized Statistical Rating | SEC-PR |
| | Fy24 Enforcement Statistics | SEC-PR |
| | Order Making Fiscal 2005 Mid-Year Adjustment to the Fee Rates Applicable Under | SEC-PR |
| | 10521Federal Register/ Vol. 70, No. 42 / Friday, March 4, 2005 / Proposed Rules | SEC-PR |
| | Framework Arrangement | SEC-PR |
| | In re Hennen | SEC-PR |
| | Press Release: Carol Stacey, Chief Accountant, Division of Corporation Finance, to Leave SEC | SEC-PR |
| | Press Release: SEC Uk Fsa, and Uk Frc Sign Protocol for Sharing Information on Application of Ifrs | SEC-PR |
| | Press Release: SEC Announces Sixteenth Annual International Institute; 2006-57; Apr. 13, 2006 | SEC-PR |
| | A clearing agency that serves as a central counterparty acts as the buyer to every seller | SEC-PR |
| | Below are Sections 4(j) and 40 of the Securities Exchange Act of 1934 (15 U.S.C. §§ 78d and 78qq), as | SEC-PR |
| | Procedures for Appointments to the Investor Advisory Committee | SEC-PR |
| | Daniel Murdock Named SEC Deputy Chief Accountant | SEC-PR |
| | U.S. SECURITIES AND EXCHANGE COMMISSION 2019 EXAMINATION PRIORITIES | SEC-PR |
| | This is a report of the staff of the U.S. Securities and Exchange Commission. The | SEC-PR |
| | This is a report of the staff of the U.S. Securities and Exchange Commission. The | SEC-PR |
| | Fee Rate Advisory #7 for Fiscal Year 2005 | SEC-PR |
| | Martha Peterson, Counselor to Former Chairman Donaldson, to Leave the Commission | SEC-PR |
| | Peter Kiernan, Deputy Director of Legislative And Intergovernmental Affairs, Retires from SEC After 40 Years of Service (Press Release No. 2008-308; December 31, 2008 | SEC-PR |
| | Visiting Academic Scholars Named by the Office of Economic Analysis | SEC-PR |
| | SEC Encourages Particpation In Its Xbrl Voluntary Program | SEC-PR |
| | SEC Staff to Begin Publicly Releasing Comment Letters and Responses | SEC-PR |
| | Press Release: SEC Votes to Codify Longstanding Policy on Shareholder Proposals on Election Procedures | SEC-PR |
| | Press Release: Commissioner Campos to Leave SEC | SEC-PR |
| | SEC XBRL Voluntary Program Extends to Investment Companies | SEC-PR |
| | Press Release: SEC Joins Department of Justice in Supporting Constitutionality of PCAOB; 2006-147; Sept. 1, 2006 | SEC-PR |
| | Press Release: SEC Staff Release Report Concerning Examinations of Retail Options Order Routing and Execution Practices (Press Release No. 2007-38; March 8, 2007) | SEC-PR |
| | Press Release: SEC Announces New Unit to Lead Global Move to Interactive Data (Press Release No. 2007-213; October 9, 2007) | SEC-PR |
| | Press Release: Seven Credit Rating Agencies Register with SEC as Nationally Recognized Statistical Rating Organizations (Press Release No. 2007-199; September 24, 2007) | SEC-PR |
| | Statement By SEC Commissioner Paredes upon Departure from the Commission | SEC-PR |
| | Chairman Donaldson Meets with Japan Minister of State for Financial Services Ito | SEC-PR |
| | Lucile Corkery Named Associate District Administrator for Examinations in the SEC’s Boston District Office; 2005-165; Nov. 29, 2005 | SEC-PR |
| | Press Release: Commission Announces Panelists for the SEC Roundtable on Regulation SHO Pilot | SEC-PR |
| | Deputy Chief Economist Kathleen Weiss Hanley to Leave SEC | SEC-PR |
| | 1.4.2. Ethics and Professional Responsibility ...................................................................... 1- 2 | SEC-PR |
| | Press Release: SEC Announces Agenda and Panelists for Federal Proxy Rules and State Corporation Law Roundtable | SEC-PR |
| | Press Release: Commission Seeks Time for Investors and Brokers to Respond to Court Decision on Fee-Based Accounts (Press Release No. 2007-95; May 14, 2007) | SEC-PR |
| | Mark Kronforst Named Chief Accountant In Division Of Corporation Finance | SEC-PR |
| | Press Release: Commission to Consider Recommendation to Repropose Deregistration Rules for Foreign Private Issuers; 2006-202; Dec. 6, 2006 | SEC-PR |
| | A RILA is one of several types of annuity contracts offered by insurance companies. A RILA | SEC-PR |
| | Press Release: Commissioner Nazareth Announces Intention to Leave SEC (Press Release No. 2007-210; October 2, 2007) | SEC-PR |
| | Press Release: SEC Staff Hold CCOutreach Program for SEC Investment Advisers in Europe | SEC-PR |
| | Press Contact: John j. Nester (202) 942-7083 SEC Chairman Arthur Levitt, Iowa Officials to Hold Investors' Town Meeting in Des Moines More American households are investing in the markets than ever be | SEC-PR |
| | Press Release: Katherine Addleman Named Regional Director of SEC's Atlanta Regional Office | SEC-PR |
| | SEC v. Morgan Cooper, No. 1:02MS00485 (D.D.C. Dec. 4, 2002), Securities and Exchange Commission v | SEC-LR |
| | Press Release: Office of the Chief Accountant Selects Four Professional Accounting Fellows | SEC-PR |
| | Press Release: Mutual Funds Begin Providing Risk-Return Information Using Interactive Data | SEC-PR |
| | Press Release: SEC Conducts Major Anti-Money Laundering Program for Latin America and the Caribbean (Press Release No. 2007-263; December 13, 2007) | SEC-PR |
| | SEC Announces Panelists for April 13th Roundtable on Implementation of Internal Control Reporting Provisions | SEC-PR |
| | SEC Adopts Mutual Fund Redemption Fee Rule, Proposes Rule to Define "NRSRO", Approves PCAOB Budget and Reviews FASB Accounting Support Fee | SEC-PR |
| | Peter Bresnan and Walter Ricciardi Named Deputy Directors of the SEC's Division of Enforcement | SEC-PR |
| | SEC Among Best Places to Work in the Federal Government | SEC-PR |
| | Luis Mejia Named Chief Litigation Counsel of SEC's Division of Enforcement | SEC-PR |
| | News Digest Concerning Scott Evans and Brian White Issued in Error Earlier today, the Commission published a news digest summary concerning an action filed against Scott Evans and Brian White. The sum | SEC-PR |
| | Press Release: SEC Releases Source Code for Interactive Data Viewer for Free Use by the Market (Press Release No. 2007-194; September 21, 2007) | SEC-PR |
| | Press Release: Registration Begins for <i>‘CCOutreach’</i> National Seminar to Help Chief Compliance Officers Succeed in Protecting Investors (Press Release No. 2007-188; September 19, 2007) | SEC-PR |
| | Press Release: <i>CCOutreach</i> BD National Seminar to Be Held March 7 | SEC-PR |
| | Press Release: SEC Announces Next Steps Relating to International Financial Reporting Standards | SEC-PR |
| | Andrew D. Bailey, Jr., Deputy Chief Accountant, U.S. Securities and Exchange Commission, to Leave SEC | SEC-PR |
| | SEC Advisory Committee on Smaller Public Companies Plans Washington Meeting | SEC-PR |
| | Press Release: SEC Chairman Cox Announces Landmark Progress in Providing Instant, User-Friendly Access to Financial Reporting Information for Investors | SEC-PR |
| | David B. Smith, Jr., Associate Director, Division of Investment Management, to Leave Commission | SEC-PR |
| | SEC Chairman Announces New Help to Facilitate Payments to Victims of Hurricanes Katrina and Rita | SEC-PR |
| | Press Release: Fee Rate Advisory #5 for Fiscal Year 2008 (Press Release No. 2007-269; December 21, 2007) | SEC-PR |
| | Press Release: SEC Establishes Advisory Committee to Make U.S. Financial Reporting System More User-Friendly for Investors | SEC-PR |
| | Press Release: SEC Announces Roundtable Panelists for Forum on Small Business Capital Formation | SEC-PR |
| | Press Release: SEC, German BaFin Sign Regulatory Cooperation Arrangement | SEC-PR |
| | Commission Seeks Feedback and Announces Date of Roundtable on Implementation of Sarbanes-Oxley Internal Control Provisions | SEC-PR |
| | Press Release: Andrew Petillon Named Associate Regional Director and Co-Head of Enforcement for the SEC's Pacific Regional Office | SEC-PR |
| | Press Release: Cheryl Linthicum Named Academic Accounting Fellow for SEC Division of Corporation Finance | SEC-PR |
| | Press Release: Statement of SEC Division of Market Regulation Director Erik Sirri Regarding the Start of the Trading Phase of Compliance With Regulation NMS on Monday, March 5, 2007 | SEC-PR |
| | Press Release: A. Duer Meehan Named Associate Director in OCIE's Office of Market Oversight | SEC-PR |
| | Press Release: SEC Announces Roundtable Discussion Regarding Mutual Recognition | SEC-PR |
| | Harold Degenhardt, Head of the SEC's Fort Worth Office, to Leave the Commission | SEC-PR |
| | Press Release: Chairman Cox to Convene SEC Chairmen Roundtable | SEC-PR |
| | Press Release: Commission Announces Additional Speaker and Panelists for March 19 Roundtable: Creating Interactive Data to Serve Investors | SEC-PR |
| | Statements Regarding Announcement by PCAOB Chairman William Mcdonough of His Intention to Resign | SEC-PR |
| | SEC, NASAA Announce IARD System Fee Waiver; 2005-145; Oct. 7, 2005 | SEC-PR |
| | Press Release: SEC Chairman to Undergo Surgery; Complete Recovery Expected After Brief Recuperation; 2006-13; Jan. 27, 2006 | SEC-PR |
| | May 21 1997 AICPA-Lynn Drake 202.434.9214 | SEC-PR |
| | Press Release: SEC to Close on Tuesday, Jan. 2, 2007, in Observance of National Day of Mourning for Former President Gerald R. Ford; 2006-223; Dec. 29, 2006 | SEC-PR |
| | Press Release: Federal Identity Theft Task Force Seeks Public Comment; 2006-220; Dec. 28, 2006 | SEC-PR |
| | SEC Holds 24th Annual Small Business Capital Formation Forum with Advisory Committee Meeting | SEC-PR |
| | Press Release: SEC, NASAA Announce Continuation of IARD System Fee Waiver; 2006-182; Oct. 26, 2006 | SEC-PR |
| | Press Release: SEC Chairman Announces Opening of Registration for 'CCOutreach' National Seminar for 2006; 2006-170; Oct. 4, 2006 | SEC-PR |
| | Press Release: Florence Harmon Named Deputy Secretary; 2006-186; Nov. 7, 2006 | SEC-PR |
| | Press Release: Fee Rate Advisory #2 for Fiscal Year 2008 | SEC-PR |
| | Stipulation And Order Of Settlement And Dismissal | SEC-PR |
| | Press Release: SEC Chairman Cox Appoints Kristin J. Kaepplein Director of the Office of Investor Education and Advocacy; Announces Expansion of the Office | SEC-PR |
| | SEC Chairman Announces First National 'CCOutreach' Seminar | SEC-PR |
| | Press Release: NYSE Euronext Becomes First Exchange to File Financial Statements Using Interactive Data | SEC-PR |
| | Press Release: SEC Soliciting Public Comment on Role of IFRS in the U.S. | SEC-PR |
| | Press Contact: John j. Nester (202) 942-7083 SEC Chairman Arthur Levitt, California Officials to Hold Investors' Town Meeting in Palo Alto More American households are investing in the markets than ev | SEC-PR |
| | Press Release: SEC Announces Positive Early Results of Penny Quoting Pilot Program | SEC-PR |
| | Press Release: SEC Modernizes Oil and Gas Company Reporting Requirements to Provide Investors With More Meaningful and Comprehensive Disclosure (Dec. 29, 2008) | SEC-PR |
| | Press Release: SEC Announces Agenda and Panelists for Roundtable on Mutual Recognition | SEC-PR |
| | Press Release: SEC Enhances Online Search Capabilities for Investors; 2006-190; Nov. 14, 2006 | SEC-PR |
| | Press Release: Further Relief From the Section 404 Requirements for Smaller Companies and Newly Public Companies; 2006-210; Dec. 15, 2006 | SEC-PR |
| | Press Release: Office of the Chief Accountant Selects Two Professional Accounting Fellows; 2006-44; Mar. 30, 2006 | SEC-PR |
| | Press Release: SEC Small Business Forum to Focus on Recent Rule Proposals for Smaller Companies | SEC-PR |
| | Obtained orders in SEC judicial and administrative proceedings requiring securities violators to disgorge | SEC-PR |
| | Press Release: SEC Risk Director Charles Fishkin to Leave Commission; 2006-204; Dec. 12, 2006 | SEC-PR |
| | Press Release: Office of the Chief Accountant Names Academic Fellows | SEC-PR |
| | Press Release: Meeting Between SEC Chairman Cox and CESR Chairman Wymeersch and Vice Chair Tavares to Discuss Joint Work | SEC-PR |
| | Press Release: New "ComplianceAlerts" to Help SEC-Registered Firms Identify Deficiencies and Improve Compliance Programs | SEC-PR |
| | Press Contact: Christine m. Niedermeier (202) 942-7040 Media Advisory SEC Chairman to address investors' concerns, offer basic investment tips | SEC-PR |
| | Press Release: SEC Schedules Open Meeting to Discuss PCAOB's Proposed Auditing Standard and SEC's Proposed Management Guidance for Section 404 of Sarbanes-Oxley Act (Press Release No. 2007-56; March 28, 2007) | SEC-PR |
| | Press Release: Commission Announces Schedule For Action Regarding Section 404 of the Sarbanes-Oxley Act OF 2002, Foreign Private Issuer Deregistration, Internet Availability of Proxy Materials, and Securities Exchange Act Rule 14A-8; 2006-172; Oct. 11, 2006 | SEC-PR |
| | The SEC’s Office of Investor Education and Advocacy is | SEC-PR |
| | Press Release: SEC Chief Financial Officer Margaret Carpenter to Retire; 2006-215; Dec. 21, 2006 | SEC-PR |
| | Press Contact: John Nester (202) 942-7083 National Roundtable on Saving and Investing Scheduled in | SEC-PR |
| | SEC Announces Reopening of Comment Period for Point of Sale and Confirmation Disclosure Requirements | SEC-PR |
| | Finders Proposed Exemptive Order: Overview Chart of Tier I Finders, | SEC-PR |
| | Press Release: SEC and FinCEN Sign Information Sharing Agreement; 2006-217; Dec. 21, 2006 | SEC-PR |
| | Cheryl Linthicum, Mark Taylor and Teri Yohn Named Academic Accounting Fellows in SEC Office of the Chief Accountant | SEC-PR |
| | Statement of SEC Spokesman 10/27/97 "We've been in constant touch with the Federal Reserve Board, the Treasury Department, the Commodity Futures Trading Commission, the markets, and the broker/dealer | SEC-PR |
| | Press Release: SEC Supports Decision of Securities Markets to Observe National Day of Mourning for Former President Gerald R. Ford; 2006-222; Dec. 29, 2006 | SEC-PR |
| | Andrew McLelland Named Academic Accounting Fellow for SEC Division of Corporation Finance | SEC-PR |
| | Memorandum of Understanding Signed By SEC CFTC Bank of England and Financial Services Authority | SEC-PR |
| | SEC Adopts Amendments to Form 20-F Related to the First-Time Adoption of International Financial Reporting Standards | SEC-PR |
| | Press Release: Daniel M. Hawke Named District Administrator of the SEC's Philadelphia District Office; 2006-49; Apr. 6, 2006 | SEC-PR |
| | Donald Nicolaisen, Chief Accountant, U.S. Securities and Exchange Commission, to Leave SEC | SEC-PR |
| | Join Morehouse College and the SEC to help drive | SEC-PR |
| | Joy Gaines Thompson Named Acting District Administrator of the SEC's Philadelphia District Office | SEC-PR |
| | SEC Announces Assistance to Katrina Victims | SEC-PR |
| | Press Release: Statement of the Securities and Exchange Commission on the Death of Former Commissioner J. Carter Beese, Jr. | SEC-PR |
| | Fee Rate Advisory #3 for Fiscal Year 2006 | SEC-PR |
| | Fee Rate Advisory #2 for Fiscal Year 2006 | SEC-PR |
| | Press Release: Tom Kim Named Chief Counsel in Division of Corporation Finance | SEC-PR |
| | Scott Taub Designated as Acting Chief Accountant | SEC-PR |
| | Press Release: SEC Elevates District Offices to Regional Level | SEC-PR |
| | Askquestions Brochure 508 9 20 | SEC-PR |
| | Christopher Cox Sworn in as SEC Chairman | SEC-PR |
| | Statements of SEC Chief Accountant Donald Nicolaisen and Corporation Finance Division Director Alan Beller Regarding New COSO Guidance on Section 404 Compliance | SEC-PR |
| | Press Release: SEC Staff Announces Possible Topics for 2007 CCOutreach Regional Seminars; 2006-199; Dec. 4, 2006 | SEC-PR |
| | Division of Corporation Finance Creates Office of Small Business Policy | SEC-PR |
| | Press Release: Statement by Securities and Exchange Commission Chairman Christopher Cox Concerning Companies' Activities in Countries Known to Sponsor Terrorism | SEC-PR |
| | Press Release: SEC Proposes Rule Amendments to Provide Investors Internet Access to Exemptive Applications (Press Release No. 2007-224; November 2, 2007) | SEC-PR |
| | Press Release: Kay Lackey Named Associate Regional Director for Enforcement in SEC's New York Regional Office | SEC-PR |
| | Fee Rate Advisory #4 for Fiscal Year 2006 | SEC-PR |
| | Press Release: SEC Staff Provide Information To Assist Newly-Registered Investment Advisers | SEC-PR |
| | Press Release: Agencies Adopt Final Rules to Implement the Bank 'Broker' Provisions of the Gramm-Leach-Bliley Act | SEC-PR |
| | Press Release: Visiting Academic Scholars and Economic Fellows Appointed to the Office of Economic Analysis | SEC-PR |
| | SEC Seeks Software Industry Help to Give Investors Access to Interactive Data | SEC-PR |
| | Press Release: SEC and Japan Financial Services Agency Announce Terms for Increased Cooperation and Collaboration; 2006-14 ; Jan. 30, 2006 | SEC-PR |
| | Joint Release: Report Issued on Improving Financial Privacy Notices for Consumers; 2006-46; Mar. 31, 2006 | SEC-PR |
| | Press Release: Chief Economist Chester Spatt to Leave SEC | SEC-PR |
| | Press Release: Market Cap of 'Interactive Data' Filers Tops $2 Trillion | SEC-PR |
| | Press Release: Randall Lee, SEC Regional Director in Los Angeles, to Leave the Commission | SEC-PR |
| | Press Release: SEC Approves New Guidance for Compliance with Section 404 of Sarbanes-Oxley (Press Release No. 2007-101; May 23, 2007) | SEC-PR |
| | Press Release: Nancy Morris To Become Secretary of
U.S. Securities And Exchange Commission; 2005-174; Dec. 7, 2005 | SEC-PR |
| | Fee Rate Advisory #5 for Fiscal Year 2006 | SEC-PR |
| | Press Release: SEC to Replace Many Paper Effectiveness Orders With Electronic Notifications of Effectiveness; 2006-61; Apr. 25, 2006 | SEC-PR |
| | Press Release: Office of the Chief Accountant Selects Three Professional Accounting Fellows | SEC-PR |
| | SEC Advisory Committee Identifies Witnesses for New York Meeting | SEC-PR |
| | SEC Extends Time for Banks to Comply with Gramm-Leach-Bliley Act Broker Registration Requirements | SEC-PR |
| | Commission Announces SEC Roundtable on Regulation SHO Pilot | SEC-PR |
| | Press Release: Economic Fellow Named by the Office of Economic Analysis | SEC-PR |
| | Press Release: Visiting Academic Scholar Named by the Office Of Economic Analysis; 2006-151; Sept. 8, 2006 | SEC-PR |
| | Press Release: Commission Calendars Proposed Amendment to Rule 14a-8 Governing Director Nominations by Shareholders | SEC-PR |
| | SEC Extends Comment Period for SRO Proposed Rulemaking | SEC-PR |
| | SEC Adopts Rule Establishing a Voluntary Program for Reporting Financial Information on Edgar Using XBRL | SEC-PR |
| | Press Release: George Curtis Named Regional Director of the SEC's Central Regional Office; 2006-178; Oct. 19, 2006 | SEC-PR |
| | SEC Chairman William H. Donaldson to Step Down on June 30 | SEC-PR |
| | Press Release: Fee Rate Advisory #2 for Fiscal Year 2007; 2006-161; Sept. 26, 2006 | SEC-PR |
| | Press Release: Fee Rate Advisory #3 for Fiscal Year 2007; 2006-168; Sep. 29, 2006 | SEC-PR |
| | Press Release: Commission Announces Schedule For Action Regarding Section 404 of the Sarbanes-Oxley Act OF 2002, Foreign Private Issuer Deregistration, Internet Availability of Proxy Materials, and Securities Exchange Act Rule 14A-8; 2006-172; Oct. 11, 2006 | SEC-PR |
| | Press Release: SEC Chairman Christopher Cox Appoints Andrew Donohue to Be the Commission's Next Director of the Division of Investment Management; 2006-52; Apr. 10, 2006 | SEC-PR |
| | Visiting Academic Scholars Appointed to the Office of Economic Analysis | SEC-PR |
| | Statement of Chairman Christopher Cox Regarding Use of Market Instruments in Valuing Employee Stock Options | SEC-PR |
| | Ari Gabinet, District Administrator of the SEC's Philadelphia Office, to Leave the Commission | SEC-PR |
| | James Clarkson Named Acting District Administrator of the SEC's Fort Worth District Office | SEC-PR |
| | SEC Advisory Committee on Smaller Companies Publishes Agenda, Identifies Witness Panels, for Chicago Meeting | SEC-PR |
| | Office of the Chief Accountant Selects Two Professional Accounting Fellows | SEC-PR |
| | SEC Advisory Committee on Smaller Companies Publishes Agenda, Names Witness Panels, for New York Meeting | SEC-PR |
| | SEC Publishes Resources to Assist Public School Teachers | SEC-PR |
| | Finance Researchers Encouraged To Study Regulation Sho Pilot That Starts May 2 | SEC-PR |
| | Fee Rate Advisory #1 for Fiscal Year 2006 | SEC-PR |
| | Iosconews119 | SEC-PR |
| | Commission Amends Compliance Dates for FASB Statement No. 123R on Employee Stock Options | SEC-PR |
| | SEC Names Meyer Eisenberg Acting Director of Division of Investment Management | SEC-PR |
| | Statement by Commissioner Cynthia A. Glassman | SEC-PR |
| | Press Release: Statement by SEC Chairman Cox at News Conference on Self Regulation Consolidation; 2006-195; Washington, D.C., Nov. 28, 2006 | SEC-PR |
| | SEC Chairman Cox to Travel to Beijing, China | SEC-PR |
| | Extension of Compliance Dates for Non-Accelerated Filers and Foreign Private Issuers Regarding Internal Control Over Financial Reporting Requirements | SEC-PR |
| | SEC Chairman Donaldson Announces Members of Advisory Committee on Smaller Public Companies | SEC-PR |
| | Press Release: Commission Staff Publishes Its Observations in the Review of Executive Compensation Disclosure (Press Release No. 2007-214; October 9, 2007) | SEC-PR |
| | Daniel Hawke Named Associate District Administrator for Enforcement in the SEC's Philadelphia District Office | SEC-PR |
| | Scott Friestad Named Associate Director of SEC's Division of Enforcement | SEC-PR |
| | SEC Announces Implementation of Real-Time Price Transparency in the Municipal Market | SEC-PR |
| | SEC Extends Time for Banks to Comply with Gramm-Leach-Bliley Act Broker Registration Requirements | SEC-PR |
| | Press Release: Statements of SEC Chairman Christopher Cox and Chief Accountant Conrad Hewitt Regarding PCAOB's Proposed Section 404 Auditing Standard; 2006-213; Dec. 19, 2006 | SEC-PR |
| | SEC Adopts Regulation NMS and Provisions Regarding Investment Advisers Act of 1940 | SEC-PR |
| | Section 4(g)(6) of the Securities Exchange Act of 1934 (Exchange Act), 15 U.S.C. § 78d(g)(6), requires the | SEC-PR |