Reference: Ref-16483
| Reference Name: | SEC Rules 17a-3 and 17a-4 (17 C.F.R. ss. 240.17a-3 and 240.17a-4) as amended |
| Agency: | 69 Department of Financial Services 69W Securities |
| Original Document(s): |
|
|||||
|---|---|---|---|---|---|---|
| Modified Document(s): | No Modified document(s). | |||||
| Description: | SEC Rules 17a-3 and 17a-4 (17 C.F.R. ss. 240.17a-3 and 240.17a-4) as amended | |||||
Disclaimer: External links within the reference material are subject to change outside of the rulemaking process.
Rules/Notices using this Reference Material| Notice / Adopted |
Description | ID | Publish Date |
|
|---|---|---|---|---|
|
General Industry Standards Incorporated by Reference | 28752466 |
Effective: 10/01/2024 |
|
|
|
General Industry Standards Incorporated by Reference | 28116631 |
Effective: 03/21/2024 |
|