Documents

Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Establish Fees for Its Expanded Co-Location Services

Federal Register · Notice · Oct 11, 2024

The existing monthly cabinet fees range from approximately $475 per kW to $916 per kW, while the proposed ongoing monthly cabinet fee for the Ultra High Density Cabinet ranges from approximately $482 per … See Cboe Global Markets, U.S. Equities Market Volume Summary, Month-to-Date (Last updated July 3, 2024), available at https://www.cboe.com/us/equities/market_statistics/.

UNITED STATES COURT OF APPEALS

Agency decision · Agency decision

Provident Securities Co., 423 U.S. 232 (1976) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 13 Gollust v. … Provident Securities Co., 423 U.S. 232, 252 (1976). 6/ “When Congress has so recognized the need to limit carefully the ‘arbitrary and sweeping coverage’ of §16(b) * * * courts should not be quick to determine

Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Establish Fees for Its Expanded Co-Location Services

Federal Register · Notice · Jul 31, 2024

The existing monthly cabinet fees range from approximately $475 per kW to $916 per kW, while the proposed ongoing monthly cabinet fee for the Ultra High Density Cabinet ranges from approximately $482 per … See Cboe Global Markets, U.S. Equities Market Volume Summary, Month-to-Date (Last updated July 3, 2024), available at https://www.cboe.com/us/equities/market_statistics/.

Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Establish Fees for Its Expanded Co-Location Services

Federal Register · Notice · Jul 31, 2024

The existing monthly cabinet fees range from approximately $475 per kW to $916 per kW, while the proposed ongoing monthly cabinet fee for the Ultra High Density Cabinet ranges from approximately $482 per … See Cboe Global Markets, U.S. Equities Market Volume Summary, Month-to-Date (Last updated July 3, 2024), available at https://www.cboe.com/us/equities/market_statistics/.

Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Establish Fees for Its Expanded Co-Location Services

Federal Register · Notice · Jul 31, 2024

The existing monthly cabinet fees range from approximately $475 per kW to $916 per kW, while the proposed ongoing monthly cabinet fee for the Ultra High Density Cabinet ranges from approximately $482 per … See Cboe Global Markets, U.S. Equities Market Volume Summary, Month-to-Date (Last updated July 3, 2024), available at https://www.cboe.com/us/equities/market_statistics/.

Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Establish Fees for Its Expanded Co-Location Services

Federal Register · Notice · Oct 11, 2024

The existing monthly cabinet fees range from approximately $475 per kW to $916 per kW, while the proposed ongoing monthly cabinet fee for the Ultra High Density Cabinet ranges from approximately $482 per … See Cboe Global Markets, U.S. Equities Market Volume Summary, Month-to-Date (Last updated July 3, 2024), available at https://www.cboe.com/us/equities/market_statistics/.

Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Establish Fees for Its Expanded Co-Location Services

Federal Register · Notice · Dec 6, 2024

The existing monthly cabinet fees range from approximately $475 per kW to $916 per kW, while the proposed ongoing monthly cabinet fee for the Ultra High Density Cabinet ranges from approximately $482 per … See Cboe Global Markets, U.S. Equities Market Volume Summary, Month-to-Date (Last updated July 3, 2024), available at https://www.cboe.com/us/equities/market_statistics/.

Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Establish Fees for Its Expanded Co-Location Services

Federal Register · Notice · Dec 6, 2024

The existing monthly cabinet fees range from approximately $475 per kW to $916 per kW, while the proposed ongoing monthly cabinet fee for the Ultra High Density Cabinet ranges from approximately $482 per … See Cboe Global Markets, U.S. Equities Market Volume Summary, Month-to-Date (Last updated July 3, 2024), available at https://www.cboe.com/us/equities/market_statistics/.

Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Establish Fees for Its Expanded Co-Location Services

Federal Register · Notice · Dec 6, 2024

The existing monthly cabinet fees range from approximately $475 per kW to $916 per kW, while the proposed ongoing monthly cabinet fee for the Ultra High Density Cabinet ranges from approximately $482 per … See Cboe Global Markets, U.S. Equities Market Volume Summary, Month-to-Date (Last updated July 3, 2024), available at https://www.cboe.com/us/equities/market_statistics/.

SECURITIES AND EXCHANGE COMMISSION

Agency decision · Agency decision

Turner Enters., Inc., 474 F.2d 476, 482 (9th Cir. 1973). … Turner, 474 F.2d at 482. C.

Use of Electronic Media for Delivery Purposes

Federal Register · Rule · Oct 13, 1995

McLaughlan, ``Wired Nations: Half of U.S. Homes Now Have a Computer,'' The Detroit News, July 21, 1995, Meet News section. … (41) A fund sends an e-mail with an attached file containing an advertisement satisfying the requirements of Securities Act Rule 482.\47\ \47\ Rule 482 [17 CFR 230.482] permits a registered investment

Division of Investment Management

Agency decision · Agency decision

Pension Plans Pension Plans U.S. Individuals Sov. Wealth Funds And For. Official Inst. Insurance Companies Non-U.S. Individuals State/Muni. Govt. Entities Unknown Non-U.S. … Pension Plans Pension Plans U.S. Individuals Sov. Wealth Funds And For. Official Inst. Insurance Companies Non-U.S. Individuals State/Muni. Govt. Entities Unknown Non-U.S.

Enhanced Disclosure and New Prospectus Delivery Option for Registered Open-End Management Investment Companies

Federal Register · Proposed Rule · Nov 30, 2007

Prospectus. 144 144  Proposed rule 482(b)(1) … 482(c).

Money Market Fund Reform; Amendments to Form PF

Federal Register · Proposed Rule · Jun 19, 2013

Current U.S. … See Note to paragraph (b)(4), proposed (FNAV) rule 482(b)(4).

Self-Regulatory Organizations; Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Change and Amendment Nos. 1 and 2 Thereto by the National Association of Securities Dealers, Inc. Relating to Amendments to Its Recently Adopted Rules Regarding Shareholder Approval for Stock Option or Purchase Plans or Other Equity Compensation Arrangements

Federal Register · Notice · Oct 22, 2003

officers, directors, employees, or consultants, except for: (i) No change (ii) tax qualified, non-discriminatory employee benefit plans (e.g., plans that meet the requirements of Section 401(a) or 423 … the issuer provides to its U.S. employees, but for features necessary to comply with applicable foreign tax law, are also exempt from shareholder approval under this section.

Self-Regulatory Organizations; Notice of Filing and Order Granting Accelerated Approval to Proposed Rule Change by The Chicago Stock Exchange, Inc. and Amendment No. 1 Thereto Relating to the Exchange's Arbitration Rules

Federal Register · Notice · Jan 8, 1999

In July 1997, the U.S. … McMahon, 482 U.S. 220 (1987) (holding that claims under the Securities Exchange Act of 1934 could be compelled to arbitration), the Supreme Court decided Dean Witter Reynolds, Inc. v. Byrd, 105 S.

U.S. Securities and Exchange Commission

Agency decision · Agency decision

U.S. … U.S. Dep’t of the Army, No. Civ. S001748, 2001 WL 34098652, at *3-4 (E.D. Cal. May 4, 2001) (dictum).

Division of Investment Management

Agency decision · Agency decision

Analytics Office Registered Fund Statistics Form N-PORT and Form N-CEN Data, period ending March 2026 This is a report of the Staff of the Division of Investment Management’s Analytics Office of the U.S … 1 1 1 1 5 609 39,879 Aug 2025 24,540 1,074 465 479 234 182 223 181 146 101 570 28,195 10,287 400 274 159 142 88 97 88 84 90 304 12,013 562 32 10 3 2 1 1 1 1 1 5 621 40,828 Sep 2025 25,051 1,098 476 482

Request for Comment on Fund Retail Investor Experience and Disclosure

Federal Register · Proposed Rule · Jun 11, 2018

Miller, Associate Director, Division of Investment Management, U.S. … 23   See, e.g., Mutual Funds and ETFs: A Guide for Investors, U.S.

Filings Under the Public Utility Holding Company Act of 1935, as Amended (``Act'')

Federal Register · Notice · Oct 19, 1999

Employee Stock Purchase Plan (the ``U.S. Plan''). The U.S. Plan, which is designed to qualify under Section 423 of the U.S. … U.S. Subsidiary Financings a.