Documents

Disclosure of Payments by Resource Extraction Issuers

Federal Register · Proposed Rule · Dec 23, 2015

The U.S. … We also request comment from the U.S. Department of State, the U.S. Agency for International Development, the U.S.

Disclosure of Payments by Resource Extraction Issuers

Federal Register · Rule · Sep 12, 2012

Levin 1, Soros 2, U.S. … In addition, the U.S.

Payment for Investment Company Services With Brokerage Commissions

Federal Register · Rule · Jul 28, 1995

U.S. Department of Labor (pub. avail. July 25, 1990). … prevent funds from overstating yield and would be consistent with the Commission's objective of enhancing investors' ability to compare expenses and yields among funds.31 \29\ Paragraph (e)(1) of rule 482

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

states that these requirements in practice require firms to have “a record of their long and short positions to enable these to be monitored” which is relevant to Exchange Act rules 18a-5 and 18a-6. 482 … Accordingly, the Commission is not removing references to these requirements from the Order's list of EU and French law requirements comparable to Exchange Act rules 18a-5 and 18a-6. 482  

Payment for Investment Company Services With Brokerage Commissions

Federal Register · Uncategorized Document · Aug 17, 1994

U.S. Department of Labor (pub. avail. July 25, 1990). … quotations of yield in a fund's registration statement, and, as a result, in its advertisements. --------------------------------------------------------------------------- \23\Paragraph (e)(1) of rule 482

Rules Implementing Amendments to the Investment Advisers Act of 1940

Federal Register · Proposed Rule · Dec 10, 2010

SEC, 482 F.3d 481 (D.C. Cir. 2007). III. … 482  Rule 0-7(a) [17 CFR 275.0-7(a)].

Securities Offering Reform

Federal Register · Rule · Aug 3, 2005

Northway, Inc. , 426 U.S. 438, 449 (1976); see also Basic v. Levinson , 485 U.S. 224, 231 (1988). … Dahl , 486 U.S. 622 (1988).

Use of Electronic Media for Delivery Purposes

Federal Register · Rule · May 15, 1996

Clarke, (202) 942-0721, Division of Investment Management, U.S. Securities and Exchange Commission, 450 Fifth Street, N.W., Washington, D.C. 20549. … 200.80, 1 Item 502 of Regulation S-B; 2 Item 502 of Regulation S-K; 3 Rule 120 4 of the Securities Act of 1933 (``Securities Act''); 5 Rule 253 of Regulation A; 6 Rule 420 of Regulation C; 7 Rules 481 and 482

U.S. Securities and Exchange Commission

Agency decision · Agency decision

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

Lincoln National Life Insurance & Lincoln Financial Advisors: No

Agency decision · Agency decision

Office of Chief Counsel Division of Investment Management U.S. Securities and Exchange Commission 450 Fifth Street, N.W. … 1997 letter to Aetna Life Insurance and Annuity Company (hereinafter the "Aetna Letter"). 14 Although the Aetna Letter stands expressly for the proposition that an advertisement qualifying under Rule 482

Enhanced Disclosures by Certain Investment Advisers and Investment Companies About Environmental, Social, and Governance Investment Practices

Federal Register · Proposed Rule · Jun 17, 2022

“Studying the U.S.-Based Portfolio Companies of U.S. … The U.S.

Conformed to Federal Register version

Agency decision · Agency decision

GAAP, and files with the Commission a reconciliation to U.S. GAAP should consider determining control using U.S. … disclose those payments in U.S. dollars.

Covered Clearing Agency Resilience and Recovery and Wind-Down Plans

Federal Register · Proposed Rule · May 30, 2023

Redesigning the U.S. … As a result, proper management of the risks associated with central clearing helps ensure the stability of the U.S. securities markets and the broader U.S. financial system. 107 106   See

Conformed to Federal Register version

Agency decision · Agency decision

McMahon, 482 U.S. 220, 228, 230 (1987)). See also Cohen v. … Effects on U.S.

Division of Investment Management

Agency decision · Agency decision

Pension Plans U.S. Individuals Sov. Wealth Funds And For. Official Inst. Insurance Companies Non-U.S. Individuals Broker-Dealers Unknown Non-U.S. … Pension Plans U.S. Individuals Sov. Wealth Funds And For. Official Inst. Insurance Companies Non-U.S. Individuals Broker-Dealers Unknown Non-U.S.

Division of Investment Management

Agency decision · Agency decision

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

Division of Investment Management

Agency decision · Agency decision

Pension Plans U.S. … Pension Plans U.S.

Disclosure of Payments by Resource Extraction Issuers

Federal Register · Rule · Jan 15, 2021

GAAP, and files with the Commission a reconciliation to U.S. GAAP should consider determining control using U.S. GAAP. 283 282   See Item 2.01(d)(3) of Form SD. … Cardin et al.; EITI Civil Society Board; Eric Postel; Public Citizen; and PWYP-US (Mar. 16, 2020). 481   See letter from PWYP-US (Mar. 16, 2020). 482   See, e.g., letters

Registration Form Used by Open-End Management Investment Companies

Federal Register · Rule · Mar 23, 1998

\6\ U.S. households own 74.2% of the mutual fund industry's assets. … Rule 423 under the Securities Act [17 CFR 230.423] applies to the dates of the prospectus and the SAI.

Revisions to Rules Regulating Money Market Funds

Federal Register · Rule · Mar 28, 1996

One fund holding notes of this type, the U.S. … U.S.