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Briefs, oral arguments, agency decisions and the Federal Register.
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Solicitations of Interest Prior to a Registered Public Offering
Federal Register · Rule · Oct 4, 2019
Persons” (as defined in Rule 902(k)) who may purchase outside of the U.S. in a non-U.S. tranche of a registered offering. 108 This commenter also recommended, in the case of an offshore tranche offered … U.S. in a non-U.S. tranche of a registered offering); and SIFMA (recommending expanding the rule to include individual accredited investors).
84 FR 53011Securities and Exchange CommissionDivision of Investment Management
Agency decision · Agency decision
Analytics Office Registered Fund Statistics Form N-PORT and Form N-CEN Data, period ending September 2025 This is a report of the Staff of the Division of Investment Management’s Analytics Office of the U.S … 7 4 3 2 2 3 41 565 38,356 Dec 2024 21,835 514 413 380 299 258 218 234 224 197 1,767 26,340 8,487 231 151 124 104 90 90 76 65 66 756 10,239 448 24 12 9 7 3 3 2 2 2 40 553 37,132 Jan 2025 22,372 537 423
Securities and Exchange CommissionUNITED STATES COURT OF APPEALS
Agency decision · Agency decision
Howey, 328 U.S. at 299. … Turner Enters., 474 F.2d 476, 482 (9th Cir. 1973)).
Securities and Exchange CommissionU.S. Securities and Exchange Commission
Agency decision · Agency decision
U.S. … FSOC was created pursuant to the Dodd-Frank Act to monitor risks to the U.S. financial system.
Securities and Exchange CommissionCommission Legal Brief: Gryl v. Shire Pharmaceuticals Group / June 21, 2002
Agency decision · Agency decision
Occidental Petroleum Corp. , 411 U.S. 582 (1973). … Co. , 423 U.S. 232, 252 (1976), that the section should be construed narrowly.
Securities and Exchange CommissionFederal 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.
91 FR 4668Securities and Exchange CommissionOwnership Reports and Trading by Officers, Directors and Principal Security Holders
Federal Register · Rule · Jun 14, 1996
(b)(3) and 423(b)(5), rather than an additional requirement. … (5) A Stock Purchase Plan shall mean an employee benefit plan that satisfies the coverage and participation requirements of sections 423(b)(3) and 423(b)(5), or section 410, of the Internal Revenue
61 FR 30376Ownership Reports and Trading by Officers, Directors and PrincipalFinal and Proposed RulesFederal Register · Rule · May 4, 2000
Unger, Commissioner, U.S. … United States, 406 U.S. 128 (1972). a.
65 FR 25843Securities and Exchange CommissionFederal 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.
91 FR 4713Securities and Exchange CommissionFederal 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.
91 FR 4639Securities and Exchange CommissionFederal Register · Notice · Feb 2, 2026
installation fee amounts under Rule General 8, Section (c) would remain unchanged. 19 20 21 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.
91 FR 4691Securities and Exchange CommissionFederal Register · Notice · Oct 16, 2003
) [such options are to be granted:] [(i)] [under a] tax qualified, non-discriminatory employee benefit plan s [or arrangement] ( 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, is also exempt from shareholder approval under this section.
68 FR 59650Securities and Exchange CommissionFederal Register · Notice · Nov 7, 2003
security holders of the company (such as a 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 … U.S. employees, but for features necessary to comply with applicable foreign tax law, are also exempt from shareholder approval under this section.
68 FR 63180Securities and Exchange CommissionDivision of Investment Management
Agency decision · Agency decision
Analytics Office Registered Fund Statistics Form N-PORT Data, period ending March 2024 August 6, 2024 This is a report of the Staff of the Division of Investment Management’s Analytics Office of the U.S … 13 Sep 2023 7,119 2,317 2,236 1,839 1,221 797 2,036 439 379 503 514 479 213 594 596 426 218 169 *** 62 *** 10 48 *** *** *** 12,647 Oct 2023 7,084 2,272 2,237 1,810 1,230 793 2,045 429 379 505 524 482
Securities and Exchange CommissionAgency decision · Agency decision
Money Market Fund Statistics Data as of January 31, 2017 Issued February 17, 2017 U.S. … Securities and Exchange Commission Division of Investment Management This is a report of the Staff of the Division of Investment Management of the U.S. Securities and Exchange Commission.
Securities and Exchange CommissionFederal Register · Notice · Aug 1, 2007
McMahon 331 and subsequent cases. 331 482 U.S. 220 (1987). … McMahon , 482 U.S. 222 (1987), which determined that customers who sign predispute arbitration agreements with their brokers may be compelled to arbitrate claims arising under the Exchange Act.
72 FR 42169Securities and Exchange CommissionFederal Register · Rule · Aug 2, 2000
Likewise, for purposes of the Small Business Regulatory Enforcement Fairness Act of 1996, 17 the Commission is interested in receiving information regarding the potential effect of the proposals on the U.S … Here, we discuss the “adoption” theory only. 19 Our references to mutual fund advertisements and sales literature include rule 482 advertisements, 17 CFR 230.482, tombstone advertisements, 17
65 FR 47281Securities and Exchange CommissionMutual Fund Directors Forum: No
Agency decision · Agency decision
Lasker, 441 U.S. 471, 484 (1979) (quoting Tannenbaum v. … . at 482.
Securities and Exchange CommissionTechnical Revisions to the Rules and Forms Regulating Money Market Funds
Federal Register · Rule · Dec 9, 1997
Two commenters suggested that the Commission exclude guarantees issued by the U.S. … Guarantees issued by the U.S. Government are deemed to be first tier securities.
62 FR 64968Technical Revisions to the Rules and Forms Regulating Money MarketSecurities and Exchange Commission~--"'~.~an"""".ÖI""--""~\""'."" ".:.A~. ....";:.o,~.~
Agency decision · Agency decision
Capital Gais Reseach Bureau, 375 U.S. 180 (1963) (holding that Advisers Act Section 206 imposes a fiduciary duty on investment advisers). 9~W9LwW~ 9~~~ ~ Z?od ~ Z? … Hungary 2029 Century Park East 202 452 9250 3105565800 305 358 9900 617 482 6800 361 266 9520 Rák6czi ut 1-3 9l QP 9~QP ~ Office of Chief Counsel Di vision of Investment Management Securi ties
Securities and Exchange Commission
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