Documents

Self-Regulatory Organizations; Order Approving Proposed Rule Changes by the National Association of Securities Dealers, Inc. and Amendment Nos. 1, 2, 3, 4, 5, 6, 7 and 8 Thereto and Notice of Filing and Order Granting Accelerated Approval of Amendment No. 9 Relating to the Establishment of the Nasdaq Order Display Facility and Order Collector Facility and Modifications of the Nasdaq Trading Platform

Federal Register · Notice · Jan 26, 2001

For the same reasons, the NASD is confident that the NODF will be able to meet all capacity requirements for decimal pricing in the U.S. securities markets. 481 480  Nasdaq also noted that … On the other hand, Nasdaq is modifying its existing Unisys-based quotation platform to accommodate decimal pricing, and that project is staffed with a dedicated Unisys-based development team. 482

Amendment to Municipal Securities Disclosure

Federal Register · Rule · Jun 10, 2010

See also Moody's Investors Service, The U.S. … See supra notes 417, 420, 423, 485 and accompanying text. 3.

Listing Standards for Recovery of Erroneously Awarded Compensation

Federal Register · Rule · Nov 28, 2022

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

Disclosure of Payments by Resource Extraction Issuers

Federal Register · Rule · Jul 27, 2016

See generally U.S. … 482   See letter from AICPA.

Amendment to Rule 102(e) of the Commission's Rules of Practice

Federal Register · Rule · Oct 26, 1998

SEC, 446 U.S. 680 (1980). … .\63\ As the U.S.

Procedural Requirements and Resubmission Thresholds Under Exchange Act Rule 14a-8

Federal Register · Rule · Nov 4, 2020

Public Utilities Comm'n of California, 475 U.S. 1, 14 n.10 (1986). 235   Id. 236  Cf. Regan v. Taxation with Representation, 461 U.S. 540, 549 (1983). … See, e.g., letter from Shareholders Rights Group dated March 18, 2020. 423   See supra tbl.1.

Definition of Terms in and Specific Exemptions for Banks, Savings Associations, and Savings Banks Under Sections 3(a)(4) and 3(a)(5) of the Securities Exchange Act of 1934

Federal Register · Proposed Rule · Nov 5, 2002

Institute , 450 U.S. 46, 61, 101 S. Ct. 973, 984, 67 L. Ed. 2d 36 (1981); 75 Cong. Rec. 9913-9914 (1932) (remarks of Sen. Bulkley). 9   See U.S. … Forman, 421 U.S. 837, 849, rehearing denied, 423 U.S. 884 (1975). The GLBA bank “dealer” exceptions are outlined briefly below. 34 34  This outline is a summary.

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

and/or the person's minor child or relative, spouse, spousal equivalent, or relative of the spouse or of the spousal equivalent who has the same principal residence are the only primary beneficiaries. 423 … See ABA Letter. 423  Rule 202(a)(30)-1(a)(1).

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.

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

CAIS aids in establishing these connections for customers that are U.S. natural persons, non-U.S. natural persons, and legal entities alike. 416 416   Id. … See 2024 Cost Savings Amendment, supra note 16, at 103037. 482  For example, Nasdaq has recently sought Commission approval for such a schedule.

Spruce ETF Trust, et al.; Notice of Application

Federal Register · Notice · Oct 27, 2014

ADDRESSES: Secretary, U.S. Securities and Exchange Commission, 100 F Street NE., Washington, DC 20549-1090. … The study found that annual turnover across U.S. all-equity mutual funds is 87%.

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.

Temporary Rule Regarding Principal Trades With Certain Advisory Clients

Federal Register · Proposed Rule · Oct 12, 2012

Kahl, Assistant Director, at (202) 551-6787 or IArules@sec.gov, Office of Investment Adviser Regulation, Division of Investment Management, U.S. … Regarding Principal Trades with Certain Advisory Clients, Investment Advisers Act Release No. 2653 (Sep. 24, 2007) [72 FR 55022 (Sep. 28, 2007)] (“2007 Principal Trade Rule Release”). 2  482

Via Facsimile & U.S. Mail

Agency decision · Agency decision

February 26, 2016 Via Facsimile & U.S. Mail Frederick S. Marius, Esq. … Tao Assistant Director Division of Trading and Markets U.S. Securities and Exchange Commission 100 F Street, N.E.

Clearing Agency Standards for Operation and Governance

Federal Register · Proposed Rule · Mar 16, 2011

. generally accepted accounting principles (“U.S. … Virtually all mutual fund securities, government securities, options, and municipal bonds in the U.S. are dematerialized and most of the equity and corporate bonds in the U.S. market are either immobilized

Standards for Covered Clearing Agencies for U.S. Treasury Securities and Application of the Broker-Dealer Customer Protection Rule With Respect to U.S. Treasury Securities

Federal Register · Proposed Rule · Oct 25, 2022

Treasury repo. 423 Nonetheless, the Commission understands that, among bilaterally settled repo, approximately half was centrally cleared as of 2021. 424 Centrally cleared triparty repo is a … market players, the requirement for repo transactions will cover a set of market participants that already have built most of the necessary processes and infrastructure to comply with the rule. 423

Self-Regulatory Organizations; New York Stock Exchange LLC and the National Association of Securities Dealers, Inc.; Notice of Filing of Proposed Rule Changes To Amend NYSE Rules 472 and 344, and NASD Rules 1050 and 2711 Relating to Research Analyst Conflicts of Interest

Federal Register · Notice · Jan 17, 2007

Sales material regarding investment companies is already subject to a separate regulatory regime, including NASD Rule 2210 and Securities Act Rule 482, 16 and all advertisements and sales literature … According to NASD, sales material regarding investment companies is already subject to a separate regulatory regime, including NASD Rule 2210 and SEC Rule 482, and all advertisements and sales literature

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.

Request for Comments on Measures To Improve Disclosure of Mutual Fund Transaction Costs

Federal Register · Proposed Rule · Dec 24, 2003

For example, at hearings held on March 12 and November 4, 2003 by the U.S. … The benefit of reduced impact cost may be reduced or eliminated by an increase in opportunity cost. 14   See Harris supra note 6 at 422-423.