Regulation Search Results

IRRC # Regulation Number Title/Description
2551 50-120 Rescission of Forms and Other Technical Amendments
Deletes obsolete provisions and out-dated forms, and updates existing provisions.
2430 50-119 Investment Advisors; Exchange Transactions
Updates and clarifies provisions and requirements for investment advisers.
2321 50-118 Banking and Savings and Loan Institutions
Amends numerous provisions to reflect current policies to comply with recent state and federal statutory changes and to conform to the rules of a national securities association
2204 50-116 National Securities Markets Improvement Act of 1996 Amendments
Makes numerous changes to current regulations in order to conform with the requirements of the National Securities Markets Improvement Act of 1996 and Act 109 of 1998
2107 50-114 Registration of Securities; Investment Adviser Representatives; and Administration
Numerous changes to conform with the requirements of the Federal Investment Advisers Supervision Coordination Act of 1996 and to implement Pennsylvania Act 109 of 1998
2042 50-113 National Securities Market Improvement Act of 1996 Amendments
Amends the above chapters of the Securities Commission's regulations to conform with a 1996 federal statutory change and the Act 109 of 1998 amendments to the Pennsylvania Securities Commission Act
1969 50-112 Registration of Securities; Registration of Broker-Dealers; Agents and Investment Advisers; Administration
Updates accounting terminology and revises registration, filing, reporting and record retention requirements
1844 50-110 Registration of Securities, Broker-Dealers, Agents, Investment Advisors and Administration
Repeals certain provisions, eliminates and reduces filing requirements, adopts self-executing exemptions, and includes provisions consistent model policies developed by the North American Securities Administrators Association.
1634 50-108 Registration of Broker-Dealers Agents & Investment Advisers
Amends 4 sections of Chapter 64 relating to registration and annual financial reporting requirements for investment advisors and examination requirements for agents of broker-dealers, investment advisors and associated persons.
1633 50-107 General Revisions
Updates existing regulations and adopts new provisions pursuant to recent changes in the enabling statute
1474 50-106 Delegation and Substitution
Reduces the number of application copies investment adviser applicants must submit
1473 50-105 Filing Requirements
Amends the filing requirements for documents filed with the Commission under the Securities Act
1472 50-104 Charges for Commission Publications
Establishes specific charges for PA Securities Commissions publications
1471 50-103 Broker-Dealer Required Records
Replaces incorrect reference to federal rules
1470 50-102 Investment Adviser Registration Procedure
Delegates certain authorities to the Director as authorized by Act 4 of 1993
1469 50-101 Sales to Existing Security Holders
Adopts a revised Commission form used to claim exemption from registration under the Securities Act
1468 50-100 Private Activity Bonds
Updates exemption provisions of the Securities Commission regulation relating to private activity bonds and industrial development bonds
1326 50-97 Small Issuer Exemption
1325 50-96 Offers and Sales to Principals
1324 50-95 Liquidations, Dividends and distributions
1323 50-94 Isolated Exemption
1322 50-93 Effective Period of Registration
1321 50-92 Successor Broker-Dealer & Investment Adviser Registration Procedure
1231 50-90 Investment Adviser Required Financial Reports
1230 50-89 Broker-Dealer Required Financial Reports
1229 50-88 Investment Adviser Required Records
1228 50-87 Broker-Dealer Required Records
1227 50-86 Delegation and Substitution
1226 50-85 Public Inspection of Records
1225 50-84 Investment Adviser Custody
1224 50-83 Application to Withdraw
1223 50-82 Investment Adviser Registration Procedures
1222 50-81 Examination Requirements for Agents
1221 50-80 Broker-Dealer Registration Procedures
1220 50-79 Broker-Dealer Capital Requirements
1219 50-78 Qualification & Examination Requirement for Investment Advisers & Associated Persons
1218 50-77 Dishonest and Unethical Practices
1217 50-76 Associated Person Registration Procedures
1216 50-75 Agent Registration Procedures
1215 50-74 Convicted
1214 50-73 Successor Broker-Dealer & Investment Adviser Registration
0985 50-69 Recission Offers
0984 50-68 Foreign Financial Statements
0983 50-67 Delegation & Substitution
0982 50-66 Registration by Coordination
0900 50-65 Takeover Offer Report Regarding Participating Broker-Dealers
0899 50-64 Dishonest and Unethical Practices
0898 50-63 Philadelphia Stock Exchange Exemption from Agent Registration
0824 50-60 Use of Prospective Financial Statements
0823 50-59 Delegation and Substitution
0822 50-58 Surety Bonds
0781 50-57 Automatic Effectiveness for Units Investment Trusts
0780 50-56 Notice of Hearings for Reorganizations
0779 50-55 Charitable Contributions to Pooled Income Funds Exemption
0675 50-54 Waiver of 12-Month Holding Period Under Section (d)(1)
0674 50-53 Increasing the Number of Offerees & purchasers
0673 50-52 Limited Offerings
0655 50-51 Quarterly Reports of the Profress of a Registered Offering
0654 50-50 Effective Period of Registration Statement
0653 50-49 Registration by Qualification
0595 50-48 Delegation of Powers
0594 50-47 Securities Issued by a Reporting Company
0593 50-46 Employee Benefit Plans
0570 50-45 Use of Prospective Financial Statements
0569 50-44 Publisher's Exemption from Investment Adviser Registration
0568 50-43 Investment Adviser Capital Reqs.
0567 50-42 Investment Adviser Required Fin. Reports
0525 50-41 Delegation and Substitution
0508 50-39 Registration by Coordination
0507 50-38 Computing Number of Offerees, Purchasers and Clients
0506 50-36 Cooperative Business Associations Exempt
0505 50-37 Credit Unions Limited Exemption from Broker-Dealer & Agent Registration
0504 50-35 Small Corporate Issuer Exemptions
0503 50-40 Required Record; Report on Sales of Securities & Use of Proceeds
0443 50-32 Proxy Statements
0437 50-33 Use of Prospective Financial Statements
0409 50-29 Filing Requirements
0403 50-28 Delegation of Powers
0402 50-27 Investment Advisor Registration Procedure
0383 50-26 Guaranties of Debt Securities; Exemptions
0335 50-21 Institutional Investor
0330 50-25 Availability of Investment Advisors' Records for Public Inspection
0329 50-24 Application to Withdraw from Registration as Investment Advisors
0328 50-23 Agent Registration Procedures
0325 50-22 Temporary Agent Transfer Registration
0295 50-20 Delegation and Substitution
0250 50-19 Filing Requirements
0249 50-18 Increase in Number of Purchasers and Offerees Under Section 203(d) and (e)
0232 50-17 Agent Transfers
0231 50-16 Report on Sales of Securities and Use of Proceeds
0180 50-14 Application to Withdraw
0179 50-13 Broker-Dealer Registration Procedures
0051 50-12 Use of Financial Forecasts and Financial Projections
0050 50-11 Increase in # of Purchasers and Offerees Under Section 203(d) and (e)
0021 50-8 Advertising of Securities Issued by Banks