Documents
Briefs, oral arguments, agency decisions and the Federal Register.
3 results
0.34s
Securities Uniformity; Annual Conference on Uniformity of Securities Law
Federal Register · Uncategorized Document · Mar 30, 1994
Market 2000 In January 1994, the Division completed a major study of the structure of the U.S. equity markets and the regulatory environment in which our markets operate. … that practice, and whether steps should be taken to curb the practice. --------------------------------------------------------------------------- \12\Investment Adviser Oversight Act of 1993, S. 423
Securities and Exchange CommissionRequest for Comments on Modernization of the Regulation of Public-Utility Holding Companies
Federal Register · Uncategorized Document · Nov 8, 1994
FPC, 411 U.S. 747, 758 (1973). … Manor Drug Stores, 421 U.S. 723, reh'g denied, 423 U.S. 884 (1975) (implied private right of action for securities fraud). ---------------------------------------------------------------------------
Securities and Exchange CommissionPayment for Investment Company Services With Brokerage Commissions
Federal Register · Uncategorized Document · Aug 17, 1994
U.S. Department of Labor (pub. avail. July 25, 1990). … quotations of yield in a fund's registration statement, and, as a result, in its advertisements. --------------------------------------------------------------------------- \23\Paragraph (e)(1) of rule 482
Securities and Exchange Commission
Ask Donna what matters in the record.
She can read the source against your case and show you exactly where the answer came from.