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Tag: Sec
SEC Exemptive Order: In the Matter of Neuberger Berman Equity Funds, et al., January 28, 2003
January 28, 2003
Final Rule: Prohibition on the Use of Brokerage Commissions to Finance Distribution
September 02, 2004
SEC Exemptive Order: In the Matter of Neuberger Berman Equity Funds, et al., February 1, 2005.
February 01, 2005
SEC Roundtable on Modernizing the Securities and Exchange Commission’s Disclosure System
October 08, 2008
Examining the Efficiency and Effectiveness of the U.S. Securities and Exchange Commission
February 10, 2009
SEC Adopting Release, Interactive Data for Mutual Fund Risk/Return Summary, February 11, 2009.
February 11, 2009
Making Investors a Priority in Regulatory Reform, SEC Commissioner Luis A. Aguilar, April 17, 2009
April 17, 2009
In re Commonwealth Equity Services, Securities Exchange Act Rel. 60733 (Sept. 29, 2009)
September 09, 2009