Documents

Joint Industry Plan; Notice of Filing of the Twenty-Third Amendment to the National Market System Plan To Address Extraordinary Market Volatility by Cboe BYX Exchange, Inc., Cboe BZX Exchange, Inc., Cboe EDGA Exchange, Inc., Cboe EDGX Exchange, Inc., Financial Industry Regulatory Authority, Inc., Investors Exchange LLC, Long-Term Stock Exchange, Inc., MEMX LLC, MIAX Pearl, LLC, NASDAQ BX, Inc., NASDAQ PHLX LLC, The NASDAQ Stock Market LLC, New York Stock Exchange LLC, NYSE American LLC, NYSE Arca, Inc., NYSE Chicago, Inc., and NYSE National, Inc.

Federal Register · Notice · Nov 21, 2023

45,230 46,275,381 3,433 2,025,125 97,117,976   711,103,740 Panel B—Notional Value Impact Assuming All Trades Occur at New Bands (Lower Bound) 2019:Q4 1,283 399 … Approval of Amendment of the Plan On October 24, 2023, the Operating Committee, duly constituted and chaired by Mr.

Initial Decision Release No. 1401

Agency decision · Agency decision

Id. at 24. … Tr. 841–42, 2822– 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

Registration for Index-Linked Annuities and Registered Market Value Adjustment Annuities; Amendments To Form N-4 for Index-Linked Annuities, Registered Market Value Adjustment Annuities, and Variable Annuities; Other Technical Amendments

Federal Register · Rule · Jul 24, 2024

(discussing amendments to rules 485 and 497 under the Securities Act). 477   See Section 24(e) of the Investment Company Act [15 U.S.C. 80a-24(e)]. … See, e.g., rule 482(b) and (c). 655  Section 24(b) of the Investment Company Act [15 U.S.C. 80a-24(b)] requires the filing with the Commission of “any advertisement, pamphlet, circular, form

Division of Investment Management

Agency decision · Agency decision

1,379 583 1,334 341 489 441 380 238 332 292 84 113 8,702 May 2024 4,936 1,886 1,635 1,017 1,380 580 1,256 344 427 447 390 238 313 251 81 114 8,685 Jun 2024 4,938 1,860 1,621 1,010 1,342 578 1,244 337 399 … 3,026 Mar 2024 1,068 386 662 208 214 429 231 83 263 68 103 1,984 211 376 62 119 54 53 54 24 *** 14 *** 839 53 52 89 56 *** 24 *** *** 14 *** *** 208 3,030 Apr 2024 1,080 377 665 212 207 432 226 84 254

Division of Investment Management

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46 102 2,956 May 2023 1,873 312 325 105 445 78 586 56 273 52 43 200 24 46 *** 2,972 Jun 2023 1,886 317 330 105 437 77 579 56 273 56 41 194 24 44 *** 2,988 Jul 2023 1,887 332 332 109 415 81 610 60 272 … 2,738 May 2023 2,084 749 371 676 404 592 179 38 50 49 2,752 Jun 2023 2,077 746 376 636 394 555 174 36 52 48 2,710 Jul 2023 2,084 748 376 635 394 546 176 41 54 48 2,721 Aug 2023 2,067 741 381 630 399

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” … 46 33 30 2016Q4 490 383 356 369 318 304 143 68 71 67 65 41 35 28 2017Q1 495 395 375 379 324 310 152 72 70 69 68 45 41 30 2017Q2 505 405 385 387 331 314 158 75 70 72 68 52 42 32 2017Q3 510 418 408 399

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 … 66 46 33 30 2016Q4 490 383 369 356 304 318 143 68 67 71 65 41 35 29 2017Q1 495 395 379 375 310 324 152 72 70 70 68 45 41 31 2017Q2 505 405 387 386 314 331 158 75 73 70 68 52 42 33 2017Q3 510 418 399

Conformed to Federal Register version

Agency decision · Agency decision

Programmer at $399 for 25 hours) + (Sr. … Programmer at $399 for 50 hours) + (Sr.

Form N-PORT and Form N-CEN Reporting; Guidance on Open-End Fund Liquidity Risk Management Programs

Federal Register · Rule · Sep 11, 2024

The Russian invasion of Ukraine began on February 24, 2022. … [FR Doc. 2024-19819 Filed 9-10-24; 8:45 am] BILLING CODE 8011-01-P

Joint Industry Plan; Order Approving an Amendment to the National Market System Plan Governing the Consolidated Audit Trail, as Modified by the Commission, To Further Reduce the Costs of the Consolidated Audit Trail

Federal Register · Notice · Apr 1, 2026

at 61523-24. … at 61523-24.

Order Granting Conditional Substituted Compliance in Connection With Certain Requirements Applicable to Non-U.S. Security-Based Swap Dealers and Major Security-Based Swap Participants Subject to Regulation in the French Republic

Federal Register · Notice · Aug 2, 2021

(4) and MFC D. 533-15 be narrowed to include only MiFID article 24(4)(b) and MFC D. 533-15.2°, respectively. 399 The commenter described the proposed removal of conditions as addressing requirements … “which do not correspond to, and go beyond, the requirements in Exchange Act rule 15Fh-3(b).”  400 399   Id. 400   Id.

Exemptions for Advisers to Venture Capital Funds, Private Fund Advisers With Less Than $150 Million in Assets Under Management, and Foreign Private Advisers

Federal Register · Rule · Jul 6, 2011

(Jan. 24, 2011) (“Sevin Rosen Letter”). … Advisers) (Jan. 24, 2011) (“Katten Foreign Advisers Letter”); Comment Letter of MAp Airports Limited (Jan. 24, 2011) (“MAp Airports Letter”); Comment Letter of Wellington Financial LP (Jan. 24, 2011) (

Division of Investment Management

Agency decision · Agency decision

11 91 159 60 415 11 91 159 59 413 11 90 158 59 411 11 90 158 59 411 11 89 159 59 411 11 89 159 59 412 11 89 159 59 411 11 89 159 59 410 11 85 159 59 406 11 85 159 59 406 11 85 159 59 406 11 80 157 59 399 … 27.6 93.0 92.5 12.9 25.1 90.9 92.8 14.1 25.0 93.3 91.2 14.1 32.5 95.5 91.1 12.8 31.4 94.7 93.7 14.0 37.2 97.0 97.0 16.2 38.5 98.1 95.2 19.5 41.7 97.7 98.7 19.2 40.5 97.6 99.6 18.8 36.6 96.1 97.7 Page 24

Division of Investment Management

Agency decision · Agency decision

11 91 159 60 415 11 91 159 59 413 11 90 158 59 411 11 90 158 59 411 11 89 159 59 411 11 89 159 59 412 11 89 159 59 411 11 89 159 59 410 11 85 159 59 406 11 85 159 59 406 11 85 159 59 406 11 80 157 59 399 … 25.0 93.3 91.2 14.1 32.5 95.5 91.1 12.8 31.4 94.7 93.7 14.0 37.2 97.0 97.0 16.2 38.5 98.1 95.2 19.5 41.7 97.7 98.7 19.2 40.5 97.6 99.6 18.8 36.6 96.1 97.7 16.3 34.7 93.0 95.0 15.7 33.8 91.9 97.4 Page 24

Special Purpose Acquisition Companies, Shell Companies, and Projections

Federal Register · Proposed Rule · May 13, 2022

Fin. 399 (2006). … For example, in 2021, 399 SPACs in their initial public offerings claimed both smaller reporting company and EGC status, while 48 only claimed EGC status.

Division of Investment Management

Agency decision · Agency decision

11 91 159 60 415 11 91 159 59 413 11 90 158 59 411 11 90 158 59 411 11 89 159 59 411 11 89 159 59 412 11 89 159 59 411 11 89 159 59 410 11 85 159 59 406 11 85 159 59 406 11 85 159 59 406 11 80 157 59 399 … 97.6 99.6 18.8 36.6 96.1 97.7 16.3 34.7 93.0 95.0 15.7 33.8 91.9 97.4 14.2 34.2 98.3 92.4 13.4 31.2 100.1 96.4 15.9 30.6 102.3 98.0 17.7 32.9 102.9 97.1 16.8 33.4 101.7 96.9 15.5 35.6 99.7 97.1 Page 24

Public Information – Released December 18, 2020

Agency decision · Agency decision

Treasury 60 59 59 59 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 57 57 57 57 56 56 56 56 56 56 55 55 54 Total 415 413 411 411 411 412 411 410 406 406 406 399 … 90.6 86.5 82.8 86.7 88.9 89.3 93.3 90.8 92.1 94.0 90.5 93.5 93.5 91.9 89.2 90.9 93.1 92.4 92.5 92.8 91.2 91.1 93.7 97.0 95.2 98.7 99.6 97.7 95.0 97.4 92.4 96.4 98.0 97.1 96.9 97.1 101.2 97.8 97.8 Page 24

Public Information - Released January 22, 2021

Agency decision · Agency decision

Treasury 59 59 59 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 57 57 57 57 56 56 56 56 56 56 55 55 54 53 Total 413 411 411 411 412 411 410 406 406 406 399 … 86.5 82.8 86.7 88.9 89.3 93.3 90.8 92.1 94.0 90.5 93.5 93.5 91.9 89.2 90.9 93.1 92.4 92.5 92.8 91.2 91.1 93.7 97.0 95.2 98.7 99.6 97.7 95.0 97.4 92.4 96.4 98.0 97.1 96.9 97.1 101.2 97.8 97.8 101.2 Page 24

Public Information - Released February 18, 2021

Agency decision · Agency decision

Treasury 59 59 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 57 57 57 57 56 56 56 56 56 56 55 55 54 53 60 Total 411 411 411 412 411 410 406 406 406 399 … 82.8 86.7 88.9 89.3 93.3 90.8 92.1 94.0 90.5 93.5 93.5 91.9 89.2 90.9 93.1 92.4 92.5 92.8 91.2 91.1 93.7 97.0 95.2 98.7 99.6 97.7 95.0 97.4 92.4 96.4 98.0 97.1 96.9 97.1 101.2 97.8 97.8 101.2 97.4 Page 24