Documents

Initial Decision Release No. 1407

Agency decision · Agency decision

Ex. 423. … See Exs. 423 & 424.

Case 4:22-cv-04365 Document 1 Filed on 12/16/22 in TXSD Page 1 of 11

Agency decision · Agency decision

CITIZENSHIP OF PRINCIPAL PARTIES (Place an “X” in One Box for Plaintiff ✖ 1 U.S. Government Plaintiff 3 Federal Question (U.S. Government Not a Party) 2 U.S. … In cases where the U.S. is a party, the U.S. plaintiff or defendant code takes precedence, and box 1 or 2 should be marked.

Money Market Fund Prospectuses

Federal Register · Proposed Rule · Jul 26, 1995

Conforming amendments are being proposed to rule 482 under the 1933 Act [17 CFR 230.482] and Form N-2 [17 CFR 239.14 and 274.11a-1], the registration form for closed-end management investment companies … Rule 482 advertisements may only include information the ``substance of which'' is included in the fund's statutory prospectus.

ONE INTERNATIONAL

Agency decision · Agency decision

investment its government entity serve participating Contract Although Trust to Group Trust Fund the contract Participating units.2 Standish issuers when may be available achieve to of U.S … contact undersigned at 617 951-7400 Very truly yours Bryan Chegwidden 3050055.12 the %rI RESPONSE DIVISION DEC OF THE OFFICE OF INVESTMENT OF CHIEF COUNSEL MANAGEMENT 28 Our Ref No 95-423

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

Business Day after the trading day on which the Short Sale Circuit Breaker is triggered, and until 4 a.m. on the U.S. Business Day after the next U.S. … Business Day after the next U.S.

Filed 04/06/26 in TXSD

Agency decision · Agency decision

BASIS OF JURISDICTION (Place an “X” in One Box Only) ✖ 1 U.S. Government Plaintiff 3 Federal Question (U.S. Government Not a Party) 2 U.S. … Rights 555 Prison Condition 560 Civil Detainee Conditions of Confinement FORFEITURE/PENALTY BANKRUPTCY OTHER STATUTES 625 Drug Related Seizure of Property 21 USC 881 690 Other 422 Appeal 28 USC 158 423

In the Supreme Court of the United States

Agency decision · Agency decision

Williams, 482 U.S. 386 (1987) . . . . . . . 25 Conley v. Gibson, 355 U.S. 41 (1957) . . . . . . . . . . . . . . . 11, 12 Connecticut Nat’l Bank v. … Williams, 482 U.S. 386, 392 (1987)—and that a plaintiff may plead him self out of court by including allegations that undermine his claim. See, e.g., Gutierrez v.

Division of Investment Management

Agency decision · Agency decision

Non-U.S. Individuals State/Muni. Govt. Entities Non-Profits State/Muni. Govt. Pension Plans U.S. … Non-U.S. Individuals State/Muni. Govt. Entities Non-Profits State/Muni. Govt. Pension Plans U.S.

Division of Investment Management

Agency decision · Agency decision

Pension Plans Insurance Companies Non-Profits U.S. Individuals Non-U.S. Individuals Banking/Thrift Inst. State/Muni. Govt. Entities Unknown Non-U.S. … Pension Plans Insurance Companies Non-Profits U.S. Individuals Non-U.S. Individuals Banking/Thrift Inst. State/Muni. Govt. Entities Unknown Non-U.S.

Division of Investment Management

Agency decision · Agency decision

Pension Plans U.S. Individuals Sov. Wealth Funds And For. Official Inst. Insurance Companies Non-U.S. Individuals Broker-Dealers Unknown Non-U.S. … Pension Plans U.S. Individuals Sov. Wealth Funds And For. Official Inst. Insurance Companies Non-U.S. Individuals Broker-Dealers Unknown Non-U.S.

SEC.gov

Agency decision · Agency decision

Inclusion of Language Addressing Privacy Act Requirements, Report No. 496 Oversight of and Compliance with Conditions and Representations Related to Exemptive Orders and No-Action Letters, Report No. 482 … Inspector General’s Testimony before the Subcommittee on Economic Development, Public Buildings and Emergency Management, U.S.

U.S. Securities and Exchange Commission

Agency decision · Agency decision

Pension Plans U.S. Individuals Pension Plans Sov. Wealth Funds And For. Ofcial Inst. Insurance Companies Non-U.S. Individuals State/Muni. Govt. Entities Unknown Non-U.S. … 8 2021Q4 723 607 602 458 493 479 264 144 182 62 86 41 38 9 2022Q1 732 604 581 462 473 478 266 147 171 61 82 41 39 9 2022Q2 703 572 546 453 433 452 268 151 108 58 47 39 39 9 2022Q3 698 564 559 432 423

1933 Act/Rule 481(b) (1)

Agency decision · Agency decision

To RISK FACTORS U.S. in common stocks of . 'I . .ni the value of your invest­ this goal, the fund (! … To pursueseeks this goal, the fund eL The fund long-term tI The fund primarily U.S. invests companies.

UNITED STATES COURT OF APPEALS

Agency decision · Agency decision

Credit Suisse First Boston, 482 F.3d 372 (5th Cir. 2007) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 20 SEC v. … Credit Suisse First Boston, 482 F.3d 372, 389 (5th Cir. 2007). We have such a breach of duty here.

Regulatory Flexibility Agenda

Federal Register · Proposed Rule · Mar 31, 2021

The items listed in the Regulatory Flexibility Agenda for Fall 2020 reflect only the priorities of the Chairman of the U.S. … RIN: 235-AL84 482. Filing Fee Disclosure and Payment Methods Modernization E.O. 13771 Designation: Independent agency.

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.

Self-Regulatory Organizations; Nasdaq GEMX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule General 8 Section 1 Related to Co-Location Services

Federal Register · Notice · Feb 2, 2026

installation fee amounts under Rule General 8, Section (c) would remain unchanged. 19 15  As discussed below, the proposed amount of $550 per kVA is within the current effective rate of $482 … Historically, early electrical grids in the U.S. operated closer to 110-115 volts.

Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule General 8 Section 1 Related to Co-Location Services

Federal Register · Notice · Feb 2, 2026

installation fee amounts under Rule General 8, Section (c) would remain unchanged. 19 15  As discussed below, the proposed amount of $550 per kVA is within the current effective rate of $482 … Historically, early electrical grids in the U.S. operated closer to 110-115 volts.

Initial Decision Release No. 1358

Agency decision · Agency decision

Alford, 400 U.S. 25, 38–39 (1970); People v. … Alexander, 97 N.Y.2d 482, 487 (N.Y. 2002) (“[U]nlike an ordinary guilty plea, an Alford plea does not involve a recitation of guilt.”). 58 59 Mem. at 21. 60 Id.; see Div. Ex. 34 at 1.

The Ticket Reserve, Inc.: No Action, Interpretive and/or Exemptive Letter of September 11, 2003

Agency decision · Agency decision

Howey Co. , 328 U.S. 293, 301 (1946). Subsequently, the Court refined the "efforts of others" prong to refer to the "entrepreneurial or managerial efforts of others." Forman , 421 U.S. at 852. … Turner Enterprises, Inc. , 474 F.2d 476, 482 n.7 (9th Cir. 1973)).