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FiltersSecurities and Exchange CommissionProposed Rules

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  • Statement of the Commission Regarding Disclosure Obligations of Municipal Securities Issuers and Others

    Federal Register · Uncategorized Document · Mar 17, 1994

    and the periodic reporting requirements of the Securities Exchange Act of 1934. … Event Disclosure In addition to periodic information, to assure that participants in the secondary market base their investment decisions on current information, commentators have called for timely

    Proposed RulesSecurities and Exchange Commission

  • Reports to be Made by Certain Brokers and Dealers

    Federal Register · Rule · Jul 13, 1998

    The comment period closed on April 27, 1998. See also Release Nos. 34-39858; IC-23112; IA-1716 (extending the comment period from April 13, 1998 to April 27, 1998). … letter and ongoing efforts, in a companion release also issued today the Commission is re- opening the comment period with respect to the proposal to have an independent public accountant review a broker-dealer's

    63 FR 37668Proposed RulesSecurities and Exchange Commission

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