Documents

Offshore Offers and Sales

Federal Register · Rule · Feb 25, 1998

The commenters generally agreed that the current 40-day distribution compliance period was insufficient to protect against use of an offshore offering to make an indirect offering into the United States … Some commenters argued, however, that the two-year period was not necessary and that a 90-day period, like that originally proposed when Regulation S was first formulated, would be sufficient.\26\ ----

Registration Form Used by Open-End Management Investment Companies

Federal Register · Proposed Rule · Mar 10, 1997

Transition Period III. General Request for Comments IV. Paperwork Reduction Act V. Summary of Initial Regulatory Flexibility Analysis VI. Statutory Authority VII. Text of Proposed Amendments I. … The Commission requests comment on the proposed transition period. III.

Phase-One Recommendations of Task Force on Disclosure Simplification

Federal Register · Proposed Rule · Mar 11, 1996

Commenters also should consider whether the rule be retained for securities issued under the repealed Bankruptcy Act. 4. … period, such as three or four years

Custody of Investment Company Assets Outside the United States

Federal Register · Proposed Rule · Aug 2, 1995

The Commission also requests comment on requiring delegates to provide the board with periodic reports concerning the fund's arrangements. … The Commission requests specific comment whether the amended rule should require asset withdrawals to be effected within a specific time period.119 Commenters favoring this approach should indicate what

Disclosure by Investment Advisers Regarding Soft Dollar Practices

Federal Register · Proposed Rule · Feb 21, 1995

SUMMARY: The Commission is proposing for comment a new rule and form under the Investment Advisers Act of 1940 that would require certain investment advisers to provide clients with an annual report regarding … Period of Required Data. An investment adviser must provide the requested information for its most recently completed fiscal year.