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SEC Issues No-Action Letter Concerning Pre-Paid Forward Contracts on Equity Securities ( April 2000 )
In recent years, equity securities have become an increasingly important component of the financial portfolios of i. -
On-Line Brokerage: Keeping Apace of Cyberspace--Summary ( December 1999 )
After a series of on-line investing roundtables conducted earlier this year, Securities and Exchange Commissioner . -
SEC Posts Broker Dealer-Compliance Guide on Website ( July 1999 )
The Securities and Exchange Commission's ("SEC") Division of Market Regulation recently posted its Compliance Guide. -
Subsidiary Legislation Enacted Under Mutual Funds Act ( June 1999 )
By notice dated September 3, 1998 the Registrar of Mutual Funds announced that the Governor in Council has approved. -
Cold Calling Alert ( June 1998 )
A brochure from the Securities and Exchange Commission which tells consumers about legal rights, how to deal with cold calls, how to stop them, and how to evaluate any investment opportunity that comes their way over the phone. -
Securities and Exchange Commission Division of Enforcement Complaint Center ( January 1999 )
Publication from the Securities and Exchange Commission (SEC) which explains how to contact the SEC and other agencies about fraud.
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