Documents

Misconduct and Fraud in Unregistered Offerings: An

Agency decision · Agency decision

Fawcett, “Initial Public Offerings: An Analysis of Theory and Practice,” Journal of Finance 2006, 61, 399‐436. A number of public companies also opt to raise capital through private offerings. … also find industry concentration in the observed fraud, with fraud detected most often in the business services, computer software, electronic equipment, pharmaceutical and communications industries.24

In the Matter of the Application of Miami International Securities Exchange, LLC for Registration as a National Securities Exchange: Findings, Opinion, and Order of the Commission

Federal Register · Notice · Dec 7, 2012

See Securities Exchange Act Release No. 65543 (October 12, 2011), 76 FR 65784, 65786 fn. 13 (October 24, 2011). … SEC, 444 F.2d 399 (2d Cir. 1971); Arleen Hughes, 27 SEC 629, 636 (1948), aff'd sub nom. Hughes v. SEC, 174 F.2d 969 (DC Cir. 1949)).

Division of Investment Management

Agency decision · Agency decision

125 133 113 2018Q2 1,533 1,238 1,164 1,049 869 841 544 365 188 193 170 129 128 114 2018Q3 1,534 1,250 1,177 1,048 868 851 544 373 186 195 172 131 127 121 2018Q4 1,515 1,331 1,230 1,043 846 842 555 399 … ** 1 2 *** 2018Q1 94 52 57 *** 24 13 9 *** 4 5 *** 1 1 *** 2018Q2 109 52 55 *** 24 17 12 *** 4 3 *** *** *** *** 2018Q3 105 51 57 *** 23 17 12 *** 4 4 *** 2 1 *** 2018Q4 97 54 55 *** 18 *** 9 *** 5

Interpretive Matters Concerning Independent Directors of Investment Companies

Federal Register · Rule · Nov 3, 1999

See, e.g., In the Matter of Monetta Financial Services, Inc., supra note 24. … Tally Industries, Inc., 399 F.2d 396, 403 (2d Cir. 1968), cert. denied, 393 U.S. 1015 (1969); and Deferred Compensation Plans for Investment Company Directors, SEC No-Action Letter (May 14, 1998).

Division of Investment Management

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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

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2,449 2013Q3 1,496 826 530 175 242 461 137 66 37 24 2,480 2013Q4 1,595 863 524 195 245 469 138 68 35 24 2,572 2014Q1 1,594 862 527 195 245 470 141 69 35 24 2,575 2014Q2 1,594 866 525 196 245 494 143 … 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

125 133 113 2018Q2 1,533 1,238 1,164 1,049 869 842 544 365 189 193 170 129 128 114 2018Q3 1,534 1,250 1,178 1,048 868 851 544 373 187 195 172 131 127 121 2018Q4 1,517 1,332 1,231 1,044 849 842 555 399 … 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 **

U.S. Securities and Exchange Commission

Agency decision · Agency decision

Pension Plans 2018Q1 57 52 94 *** 13 24 9 *** 5 4 *** 1 *** 1 2018Q2 55 52 109 *** 17 24 12 *** 3 4 *** *** *** *** 2018Q3 57 51 105 *** 17 23 12 *** 4 4 *** 1 *** 2 2018Q4 55 54 97 *** *** 18 9 ** … See Figure 24 for an explanation of each feature. Figure 24: How to Read a Boxplot 11 Form PF has no requirement to inform the SEC if a fund liquidates or otherwise terminates operations.

PETITION FOR RULEMAKING SUBMITTED TO THE SECRETARY OF THE SEC

Agency decision · Agency decision

In the Matter of the Arbitration Between: Claimant Donald Easterlin Case Number: 24-00513 vs. … FINRA Dispute Resolution Services Arbitration No. 24-00513 Award Page 5 of 5 ARBITRATOR Anna M.

Division of Investment Management

Agency decision · Agency decision

2,449 2013Q3 1,496 826 530 175 242 461 137 66 37 24 2,480 2013Q4 1,594 863 524 195 245 469 138 68 35 24 2,571 2014Q1 1,593 862 527 195 245 470 141 69 35 24 2,574 2014Q2 1,593 866 525 196 245 494 143 … 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

D Central Clearing . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 24 24 26 27 27 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

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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

Division of Investment Management

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Inflow Net Outflow Inflow Net Outflow Jan 2024 773 15 -758 448 33 -415 325 -18 -343 Feb 2024 730 54 -676 415 56 -359 315 -1 -316 Mar 2024 834 54 -780 529 84 -445 305 -30 -335 Apr 2024 726 -32 -758 399 … *** *** 8 26 14 *** *** 218 3,142 Aug 2024 1,064 409 673 203 418 234 80 202 254 56 110 1,977 470 229 66 135 59 54 59 33 *** 18 *** 972 57 58 95 60 *** *** 10 22 13 *** *** 217 3,165 Sep 2024 1,070 399

Division of Investment Management

Agency decision · Agency decision

125 133 113 2018Q2 1,533 1,238 1,164 869 842 1,049 544 365 189 193 170 129 128 114 2018Q3 1,534 1,250 1,178 868 851 1,048 544 373 187 195 172 131 127 121 2018Q4 1,517 1,332 1,231 849 842 1,044 555 399 … Individuals 2017Q3 51 83 55 24 *** *** 10 *** *** 4 5 2 1 *** 2017Q4 55 96 53 23 *** *** 9 *** *** 4 5 2 1 *** 2018Q1 57 94 52 24 *** *** 9 *** *** 4 5 1 1 *** 2018Q2 55 109 52 24 *** *** 12 *** **

Division of Investment Management

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581 276 52 185 24 40 46 102 2,954 May 2023 1,873 312 325 444 105 76 57 586 274 52 200 24 42 46 *** 2,970 Jun 2023 1,886 317 330 437 105 75 56 580 273 56 194 24 41 44 *** 2,986 Jul 2023 1,887 332 332 … 16 *** 7 *** 14,208 Apr 2023 13,874 255 68 47 21 25 *** 6 6 *** 14,318 May 2023 13,831 241 71 46 20 24 *** 6 6 *** 14,260 Jun 2023 14,730 246 72 46 24 24 17 *** 5 *** 15,171 Jul 2023 15,258 245 79

Joint Industry Plan; Order Instituting Proceedings To Determine Whether To Approve or Disapprove an Amendment to the National Market System Plan Governing the Consolidated Audit Trail

Federal Register · Notice · Sep 6, 2022

at 5, n.24. H. … at 23-24.

Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Short Term Option Series Program in Rule 19.6, Interpretation and Policy .05

Federal Register · Notice · Jan 26, 2026

ISE presented data demonstrating that listings in the Short Term Option Series Program comprise a significant part of the standard listings in the options market based on data ISE sourced from OCC. 24 … 84,606 16,366 560 3,382 118,564 121,946 17,481 561 1,707 76,970 78,677 5,660 562 435 75,447 75,882 6,552 563 581 75,463 76,044 6,522 564 399

Self-Regulatory Organizations; Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change and Amendment No. 1 Thereto Relating to Listing and Trading the Shares of Six CurrencyShares Trusts

Federal Register · Notice · Jun 27, 2006

The foreign exchange market is predominantly an over-the-counter market, with no fixed location and it operates 24 hours a day, seven days a week. … For the period January through March 2006, Australian Dollar, British Pound, Canadian Dollar, and Swiss Franc options volume on the Phlx was 2,162 contracts, 399 contracts, 8,032 contracts, and 479 contracts

Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Short Term Option Series Program in Rule 19.6, Interpretation and Policy .05

Federal Register · Notice · Jan 26, 2026

ISE presented data demonstrating that listings in the Short Term Option Series Program comprise a significant part of the standard listings in the options market based on data ISE sourced from OCC. 24 … 2492 82114 84606 16366 560 3382 118564 121946 17481 561 1707 76970 78677 5660 562 435 75447 75882 6552 563 581 75463 76044 6522 564 399