Agency: Securities and Exchange Commission
Years: 20002001200220032004200520062007200820092010201120122013[FR Doc E9-31420] 351. Temporary Rule Regarding Principal Trades With Certain Advisory Clients
On December 30, 2009, the Securities and Exchange Commission published a Federal Register document adopting as final Rule 206(3)3T under the Investment Advisers Act of 1940, the interim final temporary rule that establishes an alternative means for investment advisers who are registered with the Commission as brokerdealers to meet the requirements
Published: 2010-01-06 SECURITIES AND EXCHANGE COMMISSION : Securities and Exchange Commission
[FR Doc E9-31429] 352. Sunshine Act Meeting
Notice is hereby given, pursuant to the provisions of the Government in the Sunshine Act, Public Law 94409, that the Securities and Exchange Commission will hold a Closed Meeting on Thursday, January 7, 2010 at 2 p.m.
Commissioners, Counsel to the Commissioners, the Secretary to the Commission, and recording secretaries will attend the
Published: 2010-01-05 SECURITIES AND EXCHANGE COMMISSION : Securities and Exchange Commission
Years: 20002001200220032004200520062007200820092010201120122013