Documents

Request for Comments on Modernization of the Regulation of Public-Utility Holding Companies

Federal Register · Uncategorized Document · Nov 8, 1994

FPC, 411 U.S. 747, 758 (1973). … Manor Drug Stores, 421 U.S. 723, reh'g denied, 423 U.S. 884 (1975) (implied private right of action for securities fraud). ---------------------------------------------------------------------------

RESPONSE OF THE OFFICE OF CHIEF COUNSEL

Agency decision · Agency decision

Drexel Firestone, 519 F.2d 974, 993 (2d cir.), .cert. denied, 423 U.S. 1018 (1975); Schoenbaum v. … -registered SUbsidiary provide~ investment advice to its· non-U.S. clients solely in accordan=e with the non-U.S. law that might apply to the SUbsidiary's a=tivities with those non-U.S.

Disclosure Update and Simplification

Federal Register · Proposed Rule · Aug 4, 2016

Although the Commission deleted the instruction in 2011, 482 it did not reserve the instruction. … We propose to clarify that General Instruction J(1)(e) is reserved. 482   See Mine Safety Disclosure, Release No. 33-9286 (Dec. 21, 2011) [76 FR 81762].

Initial Decision Release No. 1418

Agency decision · Agency decision

United States, 508 U.S. 223, 228 (1993); Santa Fe Indus., Inc. v. Green, 430 U.S. 462, 472 (1977). … Hunt, 455 U.S. 478, 482 (1982) (discussing the meaning of “reasonable expectation” in the context of the capable-of-repetition-yetevading-review exception to Article III mootness). 9 12 reach at least

Division of Investment Management

Agency decision · Agency decision

U.S. Treasury Securities U.S. … U.S. Treasury Securities U.S.

Division of Investment Management

Agency decision · Agency decision

Pension Plans Pension Plans U.S. Individuals Non-Profits Sov. Wealth Funds And For. Official Inst. Insurance Companies Non-U.S. Individuals Unknown Non-U.S. Investors State/Muni. Govt. … Pension Plans Pension Plans U.S. Individuals Non-Profits Sov. Wealth Funds And For. Official Inst. Insurance Companies Non-U.S. Individuals Unknown Non-U.S. Investors State/Muni. Govt.

Interactive Data for Mutual Fund Risk/Return Summary

Federal Register · Rule · Feb 19, 2009

The list is available on the XBRL U.S. Web site at: http://xbrl.us/imtaxonomies/Pages/default.aspx. See XBRL U.S. … See also rule 482(b)(1) under the Securities Act [17 CFR 230.482].

SECURITIES AND EXCHANGE COMMISSION

Agency decision · Agency decision

The list is available on the XBRL U.S. Web site at: http://xbrl.us/imtaxonomies/Pages/default.aspx. See XBRL U.S. … See also rule 482(b)(1) under the Securities Act [17 CFR 230.482].

Cybersecurity Risk Management, Strategy, Governance, and Incident Disclosure

Federal Register · Rule · Aug 4, 2023

See also U.S. … See U.S.

Conformed to Federal Register version

Agency decision · Agency decision

See also U.S. … See U.S.

Division of Investment Management

Agency decision · Agency decision

Asset Type Equity Securities RIC/BDC Securities IG Corporate Bonds Other Other PIV Securities U.S. Govt./Agency Bonds Cash/Cash Equivalents U.S. … IA-2504 April 7, 2006 A statue enacted in the U.S. Virgin Islands which regulates investment advisers.

Disclosure Update and Simplification

Federal Register · Rule · Oct 4, 2018

GAAP  482 has changed and no longer incorporates the term “segment.” … are presented net, ASC 210-20-50-3(a) requires disclosure in the notes to the financial statements of the gross amounts. 481   See SFAS No. 142, Goodwill and Other Intangible Assets. 482

Securities Offering Reform

Federal Register · Proposed Rule · Nov 17, 2004

Northway, Inc., 426 U.S. 438, 449 (1976); see also Basic v. Levinson, 485 U.S. 224, 231 (1988). … The financial statements must be audited in accordance with U.S. generally accepted auditing standards, and the auditor must comply with the U.S. standards for auditor independence.

Division of Investment Management

Agency decision · Agency decision

Pension Plans Pension Plans Non-Profits U.S. Individuals Sov. Wealth Funds And For. Official Inst. Insurance Companies Unknown Non-U.S. Investors Non-U.S. Individuals State/Muni. Govt. … Pension Plans Pension Plans Non-Profits U.S. Individuals Sov. Wealth Funds And For. Official Inst. Insurance Companies Unknown Non-U.S. Investors Non-U.S. Individuals State/Muni. Govt.

Open-End Fund Liquidity Risk Management Programs; Swing Pricing; Re-Opening of Comment Period for Investment Company Reporting Modernization Release

Federal Register · Proposed Rule · Oct 15, 2015

performance data to be included in the fund's advertising materials. 530   See Items 13, 26 of Form N-1A. 531  Rule 482(d), 17 CFR 230.482. … U.S. equity funds represent the greatest percentage of U.S. open-end fund industry assets. 655 Excluding ETFs, money market funds and variable annuities, open-end U.S. equity funds held 44.5% of U.S

Division of Investment Management

Agency decision · Agency decision

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

Prohibitions and Restrictions on Proprietary Trading and Certain Interests in, and Relationships With, Hedge Funds and Private Equity Funds

Federal Register · Proposed Rule · Feb 28, 2020

Initial recordkeeping burdens: (10 hours) × (255 entities) × (Attorney at $423 per hour) = $1,078,650. 339  Annual recordkeeping burdens: (10 hours) × (255 entities) × (Attorney at $423 per hour … ) × (26 disclosures per year) × (Attorney at $423 per hour) = $1,402,245.

Registration Form Used by Open-End Management Investment Companies

Federal Register · Proposed Rule · Mar 10, 1997

\7\ Over 30 million U.S. households own funds. … The requirements for dating the prospectus under rule 423 under the Securities Act (17 CFR 230.423) apply equally to dating the SAI.

Accelerated Filer and Large Accelerated Filer Definitions

Federal Register · Rule · Mar 26, 2020

Ge et al.” ). 9   See U.S. Sec. and Exch. Comm'n Small Bus. … A Natural Experiment with Small U.S. Public Companies, 49(2) J. of Acct.

Conformed to Federal Register version

Agency decision · Agency decision

Ge et al.”). 9 See U.S. SEC. AND EXCH. COMM’N SMALL BUS. … A Natural Experiment with Small U.S. Public Companies, 49(2) J. OF ACCT.