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Division of Investment Management

Agency decision · Agency decision

Sec-Registered Investment Companies Broker-Dealers 2018Q4 1,518 1,333 1,231 1,045 850 843 555 399 204 205 122 169 118 108 2019Q1 1,550 1,376 1,250 1,068 894 876 604 412 216 209 130 171 126 107 2019Q2 … Entities Sec-Registered Investment Companies Banking/Thrift Inst. 2018Q4 480 404 414 399 323 343 196 82 75 77 48 39 52 32 2019Q1 508 442 428 417 347 353 198 89 79 77 57 42 54 33 2019Q2 520 449 437 428

Division of Investment Management

Agency decision · Agency decision

D Central Clearing . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 24 24 26 27 28 IX Section 3 Liquidity Fund Specific Information A Liquidity . . . . . . . . . . . … 336 202 190 62 46 *** 18 15 *** 1,286 2014Q1 683 342 211 188 57 46 *** 17 15 *** 1,305 2014Q2 696 342 227 195 57 46 *** 17 14 *** 1,324 2014Q3 710 340 218 197 57 46 *** 17 15 *** 1,338 2014Q4 710 399

Division of Investment Management

Agency decision · Agency decision

Entities Sec-Registered Investment Companies Broker-Dealers 2018Q3 1,534 1,250 1,178 1,048 868 851 544 373 195 187 172 131 127 121 2018Q4 1,518 1,333 1,231 1,045 850 843 555 399 205 204 169 122 118 108 … 9 *** *** 26 *** *** 2,687 2020Q1 1,008 512 438 47 18 932 302 158 147 220 159 45 23 148 68 47 17 *** *** 215 45 24 14 *** *** 27 *** *** 2,721 2020Q2 994 505 433 45 18 944 312 164 151 227 165 45 24

Division of Investment Management

Agency decision · Agency decision

Broker-Dealers 2018Q2 1,533 1,238 1,164 1,049 869 842 544 365 189 193 170 129 129 114 2018Q3 1,534 1,250 1,178 1,048 868 851 544 373 187 195 172 131 127 121 2018Q4 1,518 1,333 1,231 1,045 850 843 555 399 … Entities Sec-Registered Investment Companies Banking/Thrift Inst. 2018Q2 517 443 443 415 342 352 197 83 77 81 53 49 61 36 2018Q3 526 442 447 417 348 357 195 91 79 84 53 50 59 38 2018Q4 480 404 414 399

SECURITIES AND EXCHANGE COMMISSION

Agency decision · Agency decision

Adkins, 310 U.S. 381, 399 (1940); see also Alpine Sec. Corp. v. Nat’l Sec. Clearing Corp., No. 2:23-CV-00782-JNP-JCB, 2025 WL 901847, at *8 (D. … Shelton, No. 24-2101, 2025 WL 3687777, at *3 n.3 (2d Cir. Dec. 19, 2025).

U.S. Securities and Exchange Commission

Agency decision · Agency decision

3,387 2021Q1 1,456 1,760 367 693 388 165 177 568 37 24 3,392 2021Q2 1,459 1,765 369 691 389 166 176 590 37 24 3,396 2021Q3 1,457 1,761 369 682 388 165 176 594 37 24 3,387 2021Q4 1,629 1,855 433 734 … Sec-Registered Investment Companies Broker-Dealers 2020Q2 532 428 470 409 362 356 205 91 96 56 50 34 45 78 2020Q3 564 466 494 429 384 368 220 99 101 60 50 37 46 80 2020Q4 607 493 539 458 415 399 227

UNITED STATES OF AMERICA

Agency decision · Agency decision

time between January 1, 2018 (the first known contribution from Empowering Ohio to Generation Now) through June 7, 2021 (the day before AEP announced it had received a subpoena from the Commission). 24 … Form and other related materials; and such other information the Fund Administrator believes will be beneficial to Preliminary Claimants; (f) establish and maintain a toll-free telephone number, 888-399

Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE Arca Equities Fees and Charges

Federal Register · Notice · Jun 3, 2021

LMM/Market Maker Additional credit on all Tape B Securities Tier 5 50-74 ETPs ($0.00005) Tier 4 75-99 ETPs (0.0001) Tier 3 100-199 ETPs (0.0002) Tier 2 200-399 … NYSEArca-2021-43, and should be submitted on or before June 24, 2021.

Division of Investment Management

Agency decision · Agency decision

3,387 2021Q1 1,456 1,760 367 693 388 165 177 568 37 24 3,392 2021Q2 1,459 1,765 369 691 389 166 176 590 37 24 3,396 2021Q3 1,457 1,761 369 682 388 165 176 594 37 24 3,387 2021Q4 1,629 1,855 433 734 … Sec-Registered Investment Companies Broker-Dealers 2020Q2 532 428 470 409 362 356 205 91 96 56 50 34 45 78 2020Q3 564 466 494 429 384 368 220 99 101 60 50 37 46 80 2020Q4 607 493 539 458 415 399 227

Conectiv, Inc.; Order Authorizing Acquisition of Public Utility Companies and Related Transactions; Approving Organization of Service Company Subsidiary; Authorizing Certain Affiliate Transactions; Approving Service Agreements; and Reserving Jurisdiction

Federal Register · Notice · Mar 4, 1998

------------------------------------------------------- \24\SEC v. … Act Release No. 25524 (Apr. 24, 1992). \27\ See Unitil Corp., Holding Co.

REPONSE OF THE OFFICE OF CHIEF COUNSEL

Agency decision · Agency decision

See In re Mark Bailey, Investment Advisers Act Release No. 1105, 40 SEC Docket 432 (Feb. 24, 1988). … Inc., 399 F.2d 396, 403 (2d Cir. 1968), cert. denied, 393 U.S. 1015 (continued. . .) 4 not constitute a combination or enterprise conducted for the purpose of makg a profit.

Division of Investment Management

Agency decision · Agency decision

3,385 2021Q1 1,455 1,759 367 692 388 165 177 568 37 24 3,390 2021Q2 1,458 1,764 369 690 389 166 176 589 37 24 3,394 2021Q3 1,456 1,760 369 681 388 165 176 593 37 24 3,385 2021Q4 1,626 1,853 431 731 … 2020Q1 489 388 408 315 375 331 190 76 88 54 45 35 35 73 2020Q2 529 424 469 362 408 356 204 91 96 56 50 34 45 78 2020Q3 562 462 493 383 428 368 219 99 101 60 50 37 46 80 2020Q4 604 489 537 414 457 399

Chase Manhattan Bank (The): No

Agency decision · Agency decision

Company Act - Section 17(d) The Chase Manhattan Bank July 24, 2001 RESPONSE OF THE OFFICE OF CHIEF COUNSEL DIVISION OF INVESTMENT MANAGEMENT Our Ref. … Talley Indust., Inc. , 399 F.2d 396, 403 (2d Cir. 1968), cert . denied , 393 U.S. 1015 (1969)).

U.S. Securities and Exchange Commission

Agency decision · Agency decision

Individuals 2017Q2 89 52 51 *** 21 12 9 *** 4 5 *** 2 1 *** 2017Q3 83 55 51 *** 24 *** 10 *** 4 5 *** 2 1 *** 2017Q4 96 53 55 *** 23 *** 9 *** 4 5 *** 2 1 *** 2018Q1 94 52 57 *** 24 13 9 *** 4 5 ** … See Figure 24 for an explanation of each feature. Figure 24: How to Read a Boxplot 10 Form PF has no requirement to inform the SEC if a fund liquidates or otherwise terminates operations.

U.S. Securities and Exchange Commission

Agency decision · Agency decision

90 24 216 171 39 *** *** 381 267 117 121 *** *** 314 223 69 47 108 3,187 2022Q4 1,074 602 386 *** *** 919 294 60 139 29 87 24 217 165 45 *** *** 376 267 112 125 *** *** 313 219 75 43 107 3,207 2023Q1 … 3,819 2,197 2,488 1,690 1,775 1,373 750 477 854 424 348 274 272 231 216 267 215 170 176 184 199 63 144 154 110 101 76 47 39 30 19 17 8 9 39 2022Q2 7,165 3,415 2,167 2,120 1,523 1,482 1,377 809 478 527 399

Division of Investment Management

Agency decision · Agency decision

3,381 2021Q1 1,454 1,759 690 367 388 568 162 177 37 24 3,386 2021Q2 1,457 1,764 688 369 389 589 163 176 37 24 3,390 2021Q3 1,455 1,758 679 369 388 592 162 176 37 24 3,379 3 In this report, “Funds” … 2020Q1 492 410 393 316 376 331 191 76 89 54 45 35 35 73 2020Q2 532 470 428 362 409 356 205 91 96 56 50 45 34 78 2020Q3 564 494 466 384 429 368 220 99 101 60 50 46 37 80 2020Q4 607 539 493 415 458 399

Division of Investment Management

Agency decision · Agency decision

3,396 2021Q3 1,458 1,760 369 682 388 176 165 594 37 24 3,387 2021Q4 1,638 1,859 434 738 427 234 176 618 39 24 3,674 2022Q1 1,636 1,858 435 738 428 236 175 607 39 23 3,674 2022Q2 1,640 1,862 435 734 … Pension Plans 2021Q2 105 57 52 24 *** 25 11 *** 8 4 3 *** *** 1 2021Q3 101 50 50 *** *** 27 9 *** 7 3 3 *** *** 1 2021Q4 96 60 57 *** *** 23 9 *** 7 *** 4 3 *** 1 2022Q1 103 51 58 *** *** 24 8 ***

Division of Investment Management

Agency decision · Agency decision

3,380 2021Q1 1,454 1,759 689 367 388 568 162 177 37 24 3,385 2021Q2 1,457 1,764 687 369 389 590 163 176 37 24 3,389 3 In this report, “Funds” means all private funds reported on Form PF and “Advisers … 2020Q1 492 410 393 316 376 331 191 76 89 54 45 35 35 73 2020Q2 532 470 428 362 409 356 205 91 96 56 50 34 45 78 2020Q3 564 494 466 384 429 368 220 99 101 60 50 37 46 80 2020Q4 607 539 493 415 458 399

Division of Investment Management

Agency decision · Agency decision

18 18 331 44 18 15 *** *** 23 *** *** 3,421 2023Q2 1,142 511 583 46 12 1,223 455 220 238 305 218 69 19 221 123 57 24 18 18 334 46 21 15 10 0 24 *** *** 3,474 January 9, 2024 D Analytics Office Single-Strategy … 90 24 216 171 39 *** *** 381 267 117 121 *** *** 314 223 69 47 108 3,187 2022Q4 1,074 602 386 *** *** 919 294 60 139 29 87 24 217 165 45 *** *** 376 267 112 125 *** *** 313 219 75 43 107 3,207 2023Q1

UNITED STATES OF AMERICA

Agency decision · Agency decision

time between January 1, 2018 (the first known contribution from Empowering Ohio to Generation Now) through June 7, 2021 (the day before AEP announced it had received a subpoena from the Commission). 24 … and other related materials; and such other information the Fund Administrator believes will be beneficial to Preliminary Claimants; 7 (f) establish and maintain a toll-free telephone number, 888-399