Documents

Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing of Proposed Rule Change Relating to Directed Market Makers

Federal Register · Notice · Dec 12, 2014

Further, these obligations shall not apply to DMMs with respect to Quarterly Options Series, adjusted option series, 24 or any series with a time to expiration of nine months or greater. … 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 (D.C. Cir. 1949)).

Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Short Term Option Series Program in Rule 4.5(d)

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; NYSE Arca, Inc.; Order Disapproving a Proposed Rule Change, as Modified by Amendment No. 1, Relating to the Listing and Trading of Shares of the Bitwise Bitcoin ETF Trust Under NYSE Arca Rule 8.201-E

Federal Register · Notice · Oct 16, 2019

at 24. … See also Notice and OIP, supra note 7, 84 FR at 23135. 399   See Omniex Letter, supra note 9, at 3-4.

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

Transaction Fee Pilot for NMS Stocks

Federal Register · Proposed Rule · Mar 26, 2018

at 22:24-23:6. … The cost estimate for providing these Lists for the entire period is based on the following: [(Compliance Manager (0.25 hour × 399 trading days) × $298) + (Programmer Analyst (0.25 hour × 399 trading days

Division of Investment Management

Agency decision · Agency decision

4,144 4,624 17,973 2020 24 16 247 24 15 154 18 11 141 55 26 13,052 13,783 9 9 286 14 2 82 7 4 35 6 21 4,620 5,095 18,878 2021 27 14 242 25 15 167 20 9 145 51 25 13,958 14,698 10 9 295 11 5 94 7 4 34 … Hedge Fund Liquidity Fund Other Private Fund Private Equity Fund Real Estate Fund Securitized Asset Fund Venture Capital Fund 2012 4,131 2,596 48 977 1,162 373 198 114 2013 4,263 2,684 51 1,005 1,227 399

Division of Investment Management

Agency decision · Agency decision

4,144 4,625 17,974 2020 24 16 247 24 15 154 18 11 141 55 26 13,052 13,783 9 9 286 14 2 82 7 4 35 6 21 4,620 5,095 18,878 2021 27 14 242 25 15 167 20 9 145 51 25 13,958 14,698 10 9 295 11 5 94 7 4 34 … 276 49 51 29 20 18 1 0 2021 2,207 1,172 435 404 251 296 54 41 31 19 16 3 1 2022 2,266 1,227 430 393 257 308 52 38 30 17 16 2 2 2023 2,258 1,235 410 378 248 295 49 38 30 17 14 3 1 2024 2,267 1,288 399

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 1,044 849 843 555 399 … Individuals 2017Q4 55 96 53 23 *** *** 9 *** *** 4 5 2 1 *** 2018Q1 57 94 52 24 *** 13 9 *** *** 4 5 1 1 *** 2018Q2 55 109 52 24 *** 17 12 *** *** 4 3 *** *** *** 2018Q3 57 105 51 23 *** 17 12 ***

Division of Investment Management

Agency decision · Agency decision

125 133 113 2018Q2 1,533 1,238 1,164 1,049 869 842 544 365 189 193 170 129 129 114 2018Q3 1,534 1,250 1,178 1,048 868 851 544 373 187 195 172 131 127 121 2018Q4 1,518 1,332 1,231 1,044 849 843 555 399 … 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 **

Arizona Electric Power Cooperative, Inc.: No

Agency decision · Agency decision

Power Comm. , 399 F.2d 983 (D.C. … Accordingly, we respectfully request a favorable response to this letter on or no later than July 24, 2001.

In the Matter of the Application of 24X National Exchange LLC for Registration as a National Securities Exchange; Findings, Opinion, and Order of the Commission

Federal Register · Notice · Dec 6, 2024

24X will be responsible for operating and monitoring its Exchange-related Technology and System and administering the rules of the Exchange and other rules and regulations applicable to the Exchange. 399 … [FR Doc. 2024-28551 Filed 12-5-24; 8:45 am] BILLING CODE 8011-01-P

Division of Investment Management

Agency decision · Agency decision

2,914 2017Q1 1,095 1,686 578 250 314 527 151 109 39 24 2,916 2017Q2 1,091 1,687 578 250 312 534 153 110 38 24 2,917 2017Q3 1,088 1,687 574 247 311 535 154 109 38 23 2,916 2017Q4 1,132 1,722 579 292 … 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.

Division of Investment Management

Agency decision · Agency decision

2,903 2017Q1 1,090 1,683 574 249 313 527 151 109 39 24 2,904 2017Q2 1,086 1,684 575 249 311 534 153 110 38 24 2,905 2017Q3 1,083 1,684 571 246 310 534 154 109 38 23 2,904 3 In this report, “Funds” … 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.

Covered Investment Fund Research Reports

Federal Register · Proposed Rule · Jun 8, 2018

example, we request comment about whether the proposed regular-course-of-business requirement should be modified to address newly-established broker-dealers (which are likely to be small entities). 399 … broker-dealers, or broker-dealers without significant research departments, be most impacted by our guidance on the proposed affiliate exclusion. 400 398   See generally supra section II. 399

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 · Jul 26, 2021

at 21053. 24   Id. 25   Id. 2. … at 3. 395   Id. 396   Id. 397   Id. 398   Id. 399   See NYSE Letter at 5.

Self-Regulatory Organizations; BOX Options Exchange LLC; Order Approving a Proposed Rule Change, as Modified by Amendment Nos. 1 and 2, To Adopt Rules for an Open-Outcry Trading Floor

Federal Register · Notice · Aug 8, 2017

Secretary, Nasdaq, dated March 27, 2017 (“Nasdaq Letter II”). 9   See Amendment No. 2, dated May 17, 2017. 10   See Securities Exchange Act Release No. 80719, 82 FR 23935 (May 24 … SEC, 444 F.2d 399 (2d Cir. 1971); In re Arleen Hughes, 27 SEC 629, 636 (1948), aff'd sub nom. Hughes v. SEC, 174 F.2d 969 (D.C. Cir. 1949)).

Covered Investment Fund Research Reports

Federal Register · Rule · Dec 13, 2018

(b) of the Investment Company Act. 15 U.S.C. 80a-24(b). … We did not receive comments specifically addressing the economic effects of alternative approaches to the regular-course-of-business requirement. 399   See id. 400   See id.

Report to Congress on Regulation A / Regulation D Performance

Agency decision · Agency decision

An Analysis of Exit Choice for Venture-Backed Firms, 24 REV. FIN. … Table 24.

RESPONSE OF THE OFFICE OF CHIEF COUNSEL

Agency decision · Agency decision

Talley Indust., Inc., 399 F.2d 396,403 (2d Cir. 1968); see also Chase Manhattan Bank, n.7 (available July 24, 2001) (citing Massachusetts Mutual Life Insurance Company (available June 7,2000) and SMC Capital

Registration of Municipal Advisors

Federal Register · Proposed Rule · Jan 6, 2011

See supra note 399 for the calculation of the combined hourly rate. … See supra note 399 for the calculation of the combined hourly rate.