Use of electronic media by broker-dealers, transfer agents, and investment advisers for delivery of information: additional examples under the Securities Act of 1933, Securities Exchange Act of 1934, and Investment Company Act of 1940
Article Abstract:
The SEC report regarding the use of electronic media by stockbrokers and investment advisers is presented. Examples of the use of the SEC regulations under the Securities Act of 1933, Securities Exchange Act, and the Investment Company Act of 1940 are included.
Publication Name: Annual Institute on Securities Regulation
Subject: Law
ISSN: 0195-5756
Year: 1996
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Use of electronic media for delivery purposes
Article Abstract:
The SEC report on the use of electronic media for delivery purposes is presented. Interpretive guidance is offered to assist market participants under the Securities Act of 1933, Securities Exchange Act, and the Investment Company Act of 1940.
Publication Name: Annual Institute on Securities Regulation
Subject: Law
ISSN: 0195-5756
Year: 1996
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Securities and Exchange Commission release no. 34-39093 - amendments to rules on shareholder proposals
Article Abstract:
The SEC report on release no. 34-39093 regarding amendments to stockholder proposals rules is presented.
Publication Name: Annual Institute on Securities Regulation
Subject: Law
ISSN: 0195-5756
Year: 1997
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