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 |