Documents

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.

In the Supreme Court of the United States

Agency decision · Agency decision

. at 417, 423. … ERISA expressly contemplates corporate insiders serving as ERISA fiduciaries for such companies, 29 U.S.C. 1108(c)(3), and the practice is common, Dudenhoeffer, 573 U.S. at 423.

Self-Regulatory Organizations; Order Approving Proposed Rule Change by National Association of Securities Dealers, Inc. Relating to Mediation of Disputes

Federal Register · Notice · Jul 26, 1995

The volume of arbitration cases has been growing dramatically since the U.S. … McMahon, 482 U.S. 220 (1987). \7\ Rodriguez de Quijas v.

Division of Investment Management

Agency decision · Agency decision

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

Use of Electronic Media for Delivery Purposes

Federal Register · Proposed Rule · Oct 13, 1995

Clarke, (202) 942-0721, Division of Investment Management, U.S. Securities and Exchange Commission, 450 Fifth Street NW., Washington, D.C. 20549. … Katz, Secretary, U.S. Securities and Exchange Commission, 450 Fifth Street NW., Washington, D.C., 20549.

Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of a Proposed Rule Change as Modified by Amendment No. 1 Thereto To Repeal NASD Rule 1130 and Incorporated NYSE Rules 405A, 440F, 440G and 477 as Part of the Process of Developing the Consolidated FINRA Rulebook

Federal Register · Notice · Aug 4, 2008

SEC , 375 U.S. App. D.C. 389, 482 F.3d 481 (D.C.

Self-Regulatory Organizations; Global Joint Venture Matching Services-US, LLC; Notice of Filing of Application for Exemption From Registration as a Clearing Agency

Federal Register · Notice · Nov 17, 2000

leading to greater risk for the industry. 13 12  In July 2000, the SIA released its T+1 Business Case Model which the Commission is in the process of reviewing. 13  The average daily U.S … These rules are National Association of Securities Dealers Rule 11860(a)(5), New York Stock Exchange Rule 387(a)(5), Municipal Securities Rulemaking Board Rule G-15(d)(ii), American Stock Exchange Rule 423

SECURITIES AND EXCHANGE COMMISSION

Agency decision · Agency decision

It has not yet been determed whether the Plan wil be qualified as a stock purchase plan under Section 423 of the U.S. Internal Revenue Code. … the U.S.

Tracey E. Russell, Esq.

Agency decision · Agency decision

Office of Enforcement Liaison Division of Corporation Finance U.S. … In 2023, the Company registered nearly 42 million shares of its common stock (at a current value of approximately $482 million) pursuant to registration rights held by holders of convertible notes issued

Ownership Reports and Trading by Officers, Directors and Principal Security Holders

Federal Register · Rule · Aug 9, 2005

Provident Securities Co. , 423 U.S. 232 (1976), at 243 (quoting Reliance Electric Co. v. Emerson Electric Co. , 404 U.S. 418, at 422 (1972). … Provident Securities Co. , 423 U.S. at 252. The expressed purpose of this provision is to prevent the unfair use of inside information.

Division of Investment Management

Agency decision · Agency decision

Analytics Ofce Annual Registered Investment Company Update Form N-CEN Data, period ending December 2024 This is a report of the Staf of the Division of Investment Management’s Analytics Ofce of the U.S … Funds per Family of Investment Companies 1 [2,5) [5,10) 10 or more 2019 470 149 127 204 2020 482 155 116 207 2021 478 148 113 206 2022 491 136 110 209 2023 486 149 100 214 2024 498 142 106 209 3

Self-Regulatory Organizations; Notice of Filing of Proposed Rule Change by National Association of Securities Dealers, Inc. To Provide an Exception From Shareholder Approval Requirements When Officers, Directors, Employees or Consultants Participate in a Discounted Private Placement

Federal Register · Notice · Sep 1, 2004

holders of the company (such as a typical dividend reinvestment plan); or (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.

ORAL ARGUMENT HELD MAY 12, 2009

Agency decision · Agency decision

Howey Co., 328 U.S. at 298-99.” 577 F.3d at 339. … Forman, 421 U.S. 837, 852 (1975)).

Initial Decision Release No. 1357

Agency decision · Agency decision

Holder, 569 U.S. 184, 190–91 (2013) (explaining that determining whether a generically defined offense includes a particular statelaw conviction requires comparison of the elements of the generic federal … Andreadis, 366 F.2d 423, 433 (2d Cir. 1966) (“Under New York law the guilty pleas entered by appellants in the state proceeding were formal judicial admissions of the allegations contained in the information

SECURITIES AND EXCHANGE COMMISSION

Agency decision · Agency decision

The 16 See generally, NYSE Pillar Options FIX Gateway Protocol Specification. 17 See, generally, Cboe Titanium U.S. … Effectiveness of the Proposed Rule Change and Timing for Commission Action The foregoing rule change is effective upon filing pursuant to Section 19(b)(3)(A)22 of the Act and subparagraph (f)(2) of Rule 19b-423

Improving Descriptions of Risk by Mutual Funds and Other Investment Companies

Federal Register · Proposed Rule · Apr 4, 1995

See Summary of Comment Letters Relating to Proposed Rule 482(g) Made in Response to Investment Company Act Release No. 19342, File No. … \8\See Testimony of Arthur Levitt, Chairman, U.S.

Registration Process for Security-Based Swap Dealers and Major Security-Based Swap Participants

Federal Register · Rule · Aug 14, 2015

See 15 U.S.C. 78f(c)(2), 78o-3(g)(2), and 78q(f)(2), and 7 U.S.C. 6k(5) and 12a(1). 264  423 associated persons × 1 hour = 423. 265  423 associated persons × 2 hours = 846. … A U.S.

Self Regulatory Organizations; Order Approving Proposed Rule Change by the New York Stock Exchange, Inc. Relating to Arbitration Rules

Federal Register · Notice · Jan 7, 1999

In July 1997, the U.S. … McMahon, 482 U.S. 220 (1987) (holding that claims under the Exchange Act could be compelled to arbitration), the Supreme Court decided Dean Witter Reynolds, Inc. v. Byrd, 105 S. Ct. 1238 (1985).

UNITED STATES DEPARTMENT OF LABOR

Agency decision · Agency decision

Hague, 449 U.S. 302 (1981) 9 (1997) 22 Auer v. Robbins, 519 U.S. Bechtel 452 Constr~ Co. v. … ARB, 423 F.3d 483, 496 (5th Cir. 2005). 423 F.3d at 496. 24 attorney is permitted to use client confidences "to defend himself . . . against an accusation of wrongful conduct."

Investment Adviser Advertisements; Compensation for Solicitations

Federal Register · Proposed Rule · Dec 10, 2019

SEC, 446 U.S. 680 (1980)). See also Steadman at 643, n.5. … 482  Proposed rule 206(4)-3(a)(3)(iii)(B)(3).