Documents

Self-Regulatory Organizations; The Options Clearing Corporation; Order Granting Approval of Proposed Rule Change To Rescind Concentration Restrictions on Letters of Credit Issued by Certain Non-U.S. Institutions

Federal Register · Notice · Nov 14, 2001

SR-OCC-2001-03) pursuant to section 19(b)(1) of the Securities Exchange Act of 1934 (“Act”). 1 Notice of the proposed rule change was published in the Federal Register on August 24, 2001. 2 … appropriate Federal Reserve Bank unless the applicant receives prior written notice that its election is effective or the applicant is notified that the election is ineffective. 10 6  See 66 FR 399

Division of Investment Management

Agency decision · Agency decision

18 18 219 329 18 15 *** *** 44 *** *** 23 3,413 2023Q2 513 578 45 12 1,138 1,217 219 238 454 218 69 19 305 123 57 24 18 18 221 332 21 15 *** *** 46 *** *** 24 3,468 2023Q3 527 587 46 13 1,163 1,230 … Ratio [0,0.5) [0.5,1) [1,2) [2,5) [5,10) 10 or more Mar 2023 366 60 55 55 24 83 Apr 2023 417 61 56 38 26 61 May 2023 399 63 53 46 21 77 Jun 2023 396 69 51 42 30 71 Jul 2023 422 55 51 33 19 78 Aug

Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Amendments to Sections II and IV of the Pricing Schedule

Federal Register · Notice · Jan 22, 2015

In that situation, the Initiating Order fee is reduced to $0.00 if the Customer PIXL Order is greater than 399 contracts. … Further, this fee subsidizes Customer rebates offered by the Exchange. 24 24   See Section B of the Pricing Schedule.

Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 1940

Federal Register · Notice · Jul 6, 2018

Hearing requests should be received by the SEC by 5:30 p.m. on July 24, 2018, and should be accompanied by proof of service on applicants, in the form of an affidavit or, for lawyers, a certificate of … Applicant's Address: 399 Park Avenue, 6th Floor, New York, New York 10022.

Self-Regulatory Organizations; BOX Options Exchange LLC; Order Approving Proposed Rule Change Adopt BOX Rule 7300 To Allow the Exchange To Trade Preferenced Orders

Federal Register · Notice · Feb 11, 2015

Therefore, the Commission does not believe that the proposal will negatively impact quote competition or order flow on BOX. 24   Id. … 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)).

Lehman Brothers Inc., et al.; Notice of Application

Federal Register · Notice · Dec 1, 2003

; Notice of Application November 24, 2003. AGENCY: Securities and Exchange Commission (“Commission”). … Applicants, Lehman, 745 Seventh Avenue, New York, NY 10019; LBAM, 399 Park Avenue, New York, NY 10022; Lincoln Capital, 200 S.

U.S. Securities and Exchange Commission

Agency decision · Agency decision

18 18 219 329 18 15 *** *** 44 *** *** 23 3,413 2023Q2 513 578 45 12 1,138 1,217 219 238 454 218 69 19 305 123 57 24 18 18 221 332 21 15 *** *** 46 *** *** 24 3,468 2023Q3 527 587 46 13 1,163 1,230 … Ratio [0,0.5) [0.5,1) [1,2) [2,5) [5,10) 10 or more Mar 2023 366 60 55 55 24 83 Apr 2023 417 61 56 38 26 61 May 2023 399 63 53 46 21 77 Jun 2023 396 69 51 42 30 71 Jul 2023 422 55 51 33 19 78 Aug

Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 1940

Federal Register · Notice · Apr 5, 2010

Applicant's Address: Natixis Asset Management Advisors, L.P., 399 Boylston St., Boston, MA 02116. … On September 24, 2009, applicant made a liquidating distribution to its sole shareholder, based on net asset value. Applicant incurred no expenses in connection with the liquidation.

Division of Investment Management

Agency decision · Agency decision

49 18 1,134 1,177 211 223 429 220 66 21 306 150 67 24 22 20 252 390 37 18 *** *** 65 *** *** 26 3,491 2024Q2 509 580 49 17 1,146 1,182 207 227 429 232 64 20 316 148 57 24 22 13 240 381 35 17 *** *** … 90 24 305 266 117 380 *** *** 121 223 69 47 314 110 3,189 26 2022Q4 605 392 *** *** 1,085 164 45 *** *** 216 924 60 139 29 87 24 294 269 112 378 *** *** 125 219 75 43 313 113 3,222 2023Q1 602 351 *

Division of Investment Management

Agency decision · Agency decision

STATE STREET BANK JP MORGAN INVESTMENT MGMT SSGA FUNDS MGMT BLACKROCK ADVISORS CHARLES SCHWAB INVESTMENT MGMT BANK OF NEW YORK MELLON JPMORGAN CHASE BANK NA 2019 5,696 2,671 2,042 2,536 659 536 787 399 … Active APs 1 2 3 4 [5,10) [10,15) 15 or more Total 2019 284 399 393 291 641 93 47 2,148 2020 242 407 447 412 723 98 43 2,372 2021 266 481 574 484 814 118 36 2,773 25 2022 325 537 555 577 919 104 31

Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Exchange's Fee Schedule for the Cboe Silexx Platform

Federal Register · Notice · Feb 14, 2023

See Securities Exchange Act Release No. 87028 (September 19, 2019) 84 FR 50529 (September 25, 2019) (SR-CBOE-2019-061). 4 See Securities Exchange Act Release No. 88741 (April 24, 2020) … Particularly, the Exchange proposes to adopt a monthly fee of $399 per Login ID for the first 8 Login IDs ( i.e., Login IDs 1-8), a fee of $299 per each additional Login ID for the next 8 Login IDs

Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Order Approving Proposed Rule Change Relating to Directed Market Makers

Federal Register · Notice · Jan 29, 2015

, 2005) (SR-Phlx-2004-91) (“Phlx Order”); see also e.g., Securities Exchange Act Release Nos. 47628 (April 3, 2003), 68 FR 17697 (April 10, 2003) (SR-CBOE-00-55) (“CBOE Order”); 52331 (August 24 … 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)).

UNITED STATES COURT OF APPEALS

Agency decision · Agency decision

Lowe, 118 F.3d 399 (5th Cir. 1997) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 12 Statutes Foreign Corrupt Practices Act Section 103, 15 U.S.C. 78dd-1 (see Section 30A, Exchange … No. 105-277 (1998) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 24 S. Rep.

Division of Investment Management

Agency decision · Agency decision

3,079 2022Q1 480 616 51 8 1,150 1,070 200 198 395 179 60 21 259 93 54 22 19 14 189 260 19 17 *** *** 48 *** *** 24 3,175 24 2022Q2 475 624 *** *** 1,152 1,093 197 210 404 189 60 21 270 99 59 23 20 … 2023 399 63 53 46 21 77 31 Jun 2023 396 69 51 42 30 71 Jul 2023 422 55 51 33 19 78 Aug 2023 401 67 50 42 22 76 Sep 2023 405 63 53 43 17 77 Oct 2023 416 54 62 38 23 73 Nov 2023 404 69 43 47 24 79

Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Fees for the Cboe Silexx Platform

Federal Register · Notice · Oct 17, 2023

Only Users authorized for direct access and who are approved to trade FLEX Options may trade FLEX Options via Cboe Silexx. 5   See Securities Exchange Act Release No. 88741 (April 24, 2020 … the Exchange assesses the following monthly fees (per Login ID): $200 for Basic, $400 for Pro, $475 for Sell-Side, $600 for Pro Plus Risk, $300 for Buy-Side Manager, and with respect to Cboe Silexx, $399

Division of Investment Management

Agency decision · Agency decision

3,388 2021Q1 1,457 1,760 367 693 388 177 165 568 37 24 3,393 2021Q2 1,460 1,765 369 691 389 176 166 590 37 24 3,397 2021Q3 1,458 1,761 369 682 388 176 165 595 37 24 3,388 2021Q4 1,636 1,857 434 736 … Pension Plans 2020Q4 89 81 59 *** *** 20 10 *** 9 *** *** 3 *** 1 2021Q1 83 73 55 *** *** 24 11 *** 7 *** *** 3 *** 1 2021Q2 105 57 52 24 *** 25 11 *** 8 4 *** 3 *** 1 2021Q3 101 50 50 *** *** 27 9

Self-Regulatory Organizations; Chicago Board Options Exchange, Inc.; Order Approving Proposed Rule Change and Notice of Filing and Order Granting Accelerated Approval to Amendment No. 1 Thereto To Modify the Distribution of the DPM Participation Entitlement for Orders Specifying a Preferred DPM Under CBOE Rule 8.87

Federal Register · Notice · Jun 8, 2005

Rather, it is reallocating the specialist allocation among the DPMs when a member preferences one DPM.”  25 23  ISE Letter, supra note 4, at 4. 24   Id. … 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)).

SECURITIES AND EXCHANGE COMMISSION

Agency decision · Agency decision

Adkins, 310 U.S. 381, 399 (1940); see also FCC v. … Aurelius Inv., LLC, 590 U.S. 448, 459 (2020). 97 513 U.S. 374, 399 (1995).

Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Fees Related to the Cboe Silexx Platform

Federal Register · Notice · Dec 15, 2025

may establish connectivity to and directly access the Exchange, pursuant to Rule 5.5 and the Exchange's technical specifications. 4   See Securities Exchange Act Release No. 88741 (April 24 … For the Cboe Silexx platform, there is a monthly fee of $399 per Login ID for the first 16 Login IDs ( i.e., Logins Ids 1-16), a fee of $299 per each additional Login ID for the next 16 Login IDs (

Division of Investment Management

Agency decision · Agency decision

15 *** *** 46 332 *** *** 24 3,468 2023Q3 527 587 46 13 1,163 1,230 225 241 463 130 24 66 19 19 230 219 66 19 303 21 16 *** *** 48 337 *** *** 24 3,525 2023Q4 489 595 49 18 1,142 1,147 216 216 427 142 … 495 60 26 25 60 531 51 25 23 36 Sep 2024 500 50 31 24 61 531 47 24 24 40 Analytics Office 7.2 Industry Concentration Table 7.7: Percent of Aggregate Hedge Fund Net Asset Value Reported by Top Large