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Based on feedback from users of prior annual reports, we are pleased

Agency decision · Agency decision

Beyond individual investors, many women and diverse fund managers report added challenges raising capital from institutional investors, often resulting in smaller funds and smaller investments.399 Data … King, supra note 134, at 3, 20-21, 24.

Division of Investment Management

Agency decision · Agency decision

2020Q1 492 410 393 376 316 331 191 89 76 54 45 35 35 73 2020Q2 532 470 428 409 362 356 205 96 91 56 50 45 34 78 2020Q3 564 494 466 429 384 368 220 101 99 60 50 46 37 80 2020Q4 607 539 493 458 415 399 … 9 *** *** 26 *** *** 2,687 2020Q1 1,007 511 438 47 18 931 303 159 147 220 159 45 23 149 69 47 17 *** *** 215 45 24 14 *** *** 27 *** *** 2,721 2020Q2 993 504 433 45 18 943 313 165 151 227 165 45 24

Initial Decision Release No. 1398

Agency decision · Agency decision

Ex. 24 at 1. … Ex. 21 at 3. 399 Div.

RESPONSE OF THE OFFICE OF CHIEF

Agency decision · Agency decision

No. 95-399 Lazard Freres Asset Management File No.80l-6568 Your letter dated July 20, 1995 requests our assurance that we would not recommend enforcement action to the Commission under the Investment … As of March 31, 1995, LF AM managed over $24 bilion on a discretionary basis for over 1,100 clients.

OFFICE OF THE INVESTOR ADVOCATE

Agency decision · Agency decision

Retirement Accounts (895) SEC Questions / Complaints (638) Allegations of Securities Law Violations / Fraud (463) SEC Investigations / Litigation / Enforcement Actions (428) Non-SEC / Other Matters (399 … Reg. 10436 (Feb. 24, 2022), https://www.federalregister. gov/d/2022-03143. 176 See NYSE L.L.C. v. SEC, 962 F.3d 541 (D.C.

Self-Regulatory Organizations; National Association of Securities Dealers, Inc.; Order Approving Proposed Rule Change and Notice of Filing and Order Granting Accelerated Approval to Amendment No. 1 Relating to Amendments to the NASD's Rules Following the Nasdaq Exchange's Operation as a National Securities Exchange for Nasdaq UTP Plan Securities

Federal Register · Notice · Jul 10, 2006

Accordingly, the Commission finds that it is consistent with Sections 15A(b)(6) and 19(b)(2) of the Exchange Act  24 to approve Amendment No. 1 on an accelerated basis. 24  15 U.S.C. … See Securities Exchange Act Release No. 53829 (May 18, 2006), 71 FR 100 (May 24, 2006).

Division of Investment Management

Agency decision · Agency decision

59 59 59 59 59 59 59 59 59 60 60 60 60 62 62 62 62 62 62 62 62 60 59 59 59 59 59 59 59 59 59 Total 521 518 516 502 497 496 490 473 466 464 453 443 433 420 415 413 411 411 411 412 411 410 406 406 406 399 … 93.0% 94.5% 89.7% 91.1% 93.2% 91.4% 90.2% 91.8% 90.7% 91.2% 93.4% 91.4% 91.1% 92.4% 91.6% 91.0% 91.0% 90.8% 92.3% 91.7% 92.1% 91.6% 93.5% 92.5% 92.0% 92.2% 91.5% 90.7% 90.2% 90.3% 91.0% 91.3% Page | 24

Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing of a Proposed Rule Change To Amend the Short Term Option Series Program Related to Qualifying Securities

Federal Register · Notice · Jul 2, 2026

of Qualifying Securities available by close of business on the first trading day of the quarter. 25 24  OCC data becomes available for the end of a quarter on the first trading day of … 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

SECURITIES AND EXCHANGE COMMISSION

Agency decision · Agency decision

.• ~pplicatiOri. underi.Sectidri6(c)oftlie-19AOAct, fotanexe~p­ ci:(jIl£i9tP,,-$~$:tiQ.ns.2:<~)(34)r'~(a.)ll),'~2(4}a,n.d 24.(4) ()f,t:h:~ 19?f~:Act~d. … ~~J11aC~lltic~.llnc Nl:t\ 7;58% 6J2°1~' 504% a{S6o/: 0z 399 ~'19,. 5c;11~/h ik96% 4A6o/d 7·'P7f/o.· '5;7-2% ):;?l~(l! 3.69% ~S~~(l 2:89°/6 5;5:1% 4.18% .3.:0.9% 3;30% P~t,~~~ ~6,ap.

Optional Internet Availability of Investment Company Shareholder Reports

Federal Register · Rule · Jun 22, 2018

See Securities Industry and Financial Markets Association, Report on Management & Professional Earnings in the Securities Industry 2013. 399  $3,003,520 = 9,386 burden hours × $320 per hour … Item 24. Financial Statements Instructions 6. * * * g.

Division of Investment Management

Agency decision · Agency decision

59 59 59 59 59 59 59 59 60 60 60 60 61 61 61 61 61 61 61 61 59 58 58 58 58 58 58 57 Total 531 523 521 518 516 502 497 496 490 473 466 464 453 443 433 420 415 413 411 411 411 412 411 410 406 406 406 399 … 94.4% 93.5% 93.0% 94.5% 89.7% 91.1% 93.2% 91.4% 90.2% 91.8% 90.7% 91.2% 93.4% 91.4% 91.1% 92.4% 91.6% 90.9% 90.9% 90.8% 92.2% 91.6% 92.1% 91.5% 93.4% 92.4% 91.9% 92.1% 91.5% 90.6% 90.1% 90.2% Page | 24

Division of Investment Management

Agency decision · Agency decision

59 59 59 59 59 59 59 60 60 60 60 61 61 61 61 61 61 61 61 59 58 58 58 58 Total 542 539 537 531 523 521 518 516 502 497 496 490 473 466 464 453 443 433 420 415 413 411 411 411 412 411 410 406 406 406 399 … 93.3% 93.5% 93.1% 94.4% 93.5% 93.0% 94.5% 89.7% 91.1% 93.2% 91.4% 90.2% 91.8% 90.7% 91.2% 93.4% 91.4% 91.1% 92.4% 91.6% 90.9% 90.9% 90.8% 92.2% 91.6% 92.1% 91.5% 93.4% 92.4% 91.9% 92.1% 91.5% Page | 24

Division of Investment Management

Agency decision · Agency decision

59 59 59 59 59 59 59 60 60 60 60 61 61 61 61 61 61 61 61 59 58 58 Total 543 542 542 539 537 531 523 521 518 516 502 497 496 490 473 466 464 453 443 433 420 415 413 411 411 411 412 411 410 406 406 406 399 … 90.1% 92.9% 93.3% 93.5% 93.1% 94.4% 93.5% 93.0% 94.5% 89.7% 91.1% 93.2% 91.4% 90.2% 91.8% 90.7% 91.2% 93.4% 91.4% 91.1% 92.4% 91.6% 90.9% 90.9% 90.8% 92.2% 91.6% 92.1% 91.5% 93.4% 92.4% 91.9% Page | 24

Division of Investment Management

Agency decision · Agency decision

59 59 59 59 59 59 59 59 60 60 60 60 61 61 61 61 61 61 61 61 59 58 58 58 58 58 Total 539 537 531 523 521 518 516 502 497 496 490 473 466 464 453 443 433 420 415 413 411 411 411 412 411 410 406 406 406 399 … 93.5% 93.1% 94.4% 93.5% 93.0% 94.5% 89.7% 91.1% 93.2% 91.4% 90.2% 91.8% 90.7% 91.2% 93.4% 91.4% 91.1% 92.4% 91.6% 90.9% 90.9% 90.8% 92.2% 91.6% 92.1% 91.5% 93.4% 92.4% 91.9% 92.1% 91.5% 90.6% Page | 24

Division of Investment Management

Agency decision · Agency decision

59 59 59 59 59 59 59 59 59 60 60 60 60 62 62 62 62 62 62 62 62 60 59 59 59 59 59 59 59 59 Total 523 521 518 516 502 497 496 490 473 466 464 453 443 433 420 415 413 411 411 411 412 411 410 406 406 406 399 … 93.5% 93.0% 94.5% 89.7% 91.1% 93.2% 91.4% 90.2% 91.8% 90.7% 91.2% 93.4% 91.4% 91.1% 92.4% 91.6% 91.0% 91.0% 90.8% 92.3% 91.7% 92.1% 91.6% 93.5% 92.5% 92.0% 92.2% 91.5% 90.7% 90.2% 90.3% 91.0% Page | 24

Division of Investment Management

Agency decision · Agency decision

59 59 59 59 59 59 59 59 60 60 60 60 61 61 61 61 61 61 61 61 59 58 58 58 58 58 58 Total 537 531 523 521 518 516 502 497 496 490 473 466 464 453 443 433 420 415 413 411 411 411 412 411 410 406 406 406 399 … 93.1% 94.4% 93.5% 93.0% 94.5% 89.7% 91.1% 93.2% 91.4% 90.2% 91.8% 90.7% 91.2% 93.4% 91.4% 91.1% 92.4% 91.6% 90.9% 90.9% 90.8% 92.2% 91.6% 92.1% 91.5% 93.4% 92.4% 91.9% 92.1% 91.5% 90.6% 90.1% Page | 24

Division of Investment Management

Agency decision · Agency decision

59 59 59 59 59 59 59 60 60 60 60 61 61 61 61 61 61 61 61 59 58 58 58 Total 542 542 539 537 531 523 521 518 516 502 497 496 490 473 466 464 453 443 433 420 415 413 411 411 411 412 411 410 406 406 406 399 … 92.9% 93.3% 93.5% 93.1% 94.4% 93.5% 93.0% 94.5% 89.7% 91.1% 93.2% 91.4% 90.2% 91.8% 90.7% 91.2% 93.4% 91.4% 91.1% 92.4% 91.6% 90.9% 90.9% 90.8% 92.2% 91.6% 92.1% 91.5% 93.4% 92.4% 91.9% 92.1% Page | 24

Division of Investment Management

Agency decision · Agency decision

59 59 59 59 59 59 59 59 59 60 60 60 60 62 62 62 62 62 62 62 62 60 59 59 59 59 59 59 59 59 59 59 Total 518 516 502 497 496 490 473 466 464 453 443 433 420 415 413 411 411 411 412 411 410 406 406 406 399 … 94.5% 89.7% 91.1% 93.2% 91.4% 90.2% 91.8% 90.7% 91.2% 93.4% 91.4% 91.1% 92.4% 91.6% 91.0% 91.0% 90.8% 92.3% 91.7% 92.1% 91.6% 93.5% 92.5% 92.0% 92.2% 91.5% 90.7% 90.2% 90.3% 91.0% 91.3% 91.9% Page | 24

U.S. Securities and Exchange Commission

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.

FAST Act Modernization and Simplification of Regulation S-K

Federal Register · Proposed Rule · Nov 2, 2017

Request for Comment 24. … See Schedule A, paragraph 24 [15 U.S.C. 77aa(24)].