Documents

Precidian ETFs 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%.

Securities Transactions Settlement

Federal Register · Proposed Rule · Mar 18, 2004

The SRO confirmation rules include: American Stock Exchange (“AMEX”) Rule 423(5); Chicago Stock Exchange Article XV, Rule 5; New York Stock Exchange (“NYSE”) Rule 387(a)(5); Pacific Stock Exchange Rule … During the 1990's, non-U.S. investors played an increasing role in the U.S. securities markets.

Conformed to Federal Register Version

Agency decision · Agency decision

See U.S. … The U.S.

Commission Legal Brief: Sunbeam Securities Litigation (Camden Asset Management, L.P., et al., v. Arthur Andersen LLP et al.)

Agency decision · Agency decision

United States , 445 U.S. 222, 230 (1980). … Supp. 482, 487 (N.D. Cal. 1988); See also Rocky Mountain Helicopters, Inc. v. Bell Helicopters Textron , 805 F.2d 907, 918 (10th Cir. 1986). D.

Securities and Exchange Commission

Agency decision · Agency decision

The statutory provisions relating to the dating of the prospectus apply equally to the dating of the SAI for purposes of Rule 423 under the Securities Act [17 CFR 230.423]. … if the company to be acquired is a private fund, then the required financial statements may comply with U.S. Generally Accepted Accounting Principles and only Article 12 of Regulation S-X; 3.

Covered Clearing Agency Resilience and Recovery and Orderly Wind-Down Plans

Federal Register · Rule · Nov 18, 2024

423  DTCC at 12. … Redesigning the U.S.

Application of Certain Title VII Requirements to Security-Based Swap Transactions Connected With a Non-U.S. Person's Dealing Activity That Are Arranged, Negotiated, or Executed by Personnel Located in a U.S. Branch or Office or in a U.S. Branch or Office of an Agent

Federal Register · Proposed Rule · May 13, 2015

Market observers will be able to incorporate information from the security-based swap market to derive valuations for other assets that are more accurate. 423 423   See Regulation SBSR Adopting … 482   See Section V.E, supra.

Fund of Funds Arrangements

Federal Register · Rule · Nov 19, 2020

A foreign fund may conduct a private U.S. offering in the United States without violating section 7(d) of the Act if the foreign fund conducts its activities with respect to U.S. investors in compliance … As of December 2019, there were 59.7 million U.S. households and 103.9 million individuals that owned U.S. registered investment companies. 574 574   See 2020 ICI Fact Book, supra footnote

Self-Regulatory Organizations; Notice of Filing of Proposed Rule Change by the National Association of Securities Dealers, Inc., Relating to Fees and Hearing Session Deposits for the Arbitration of Claims by Public Investors, Members and Associated Persons

Federal Register · Notice · Dec 1, 1997

McMahon, 482 U.S. 220, 96 L.Ed.2d 185, 107 S.Ct. 2332, affirming the enforceability of customer predispute arbitration agreements, the arbitration caseload grew rapidly and the program now handles more

Transfer Agent Regulations

Federal Register · Proposed Rule · Dec 31, 2015

Liberty Transfer Co., 2006 U.S. Dist. LEXIS 91568 (E.D.N.Y. … Should the Commission's transfer agent rules apply with equal force to U.S. and non-U.S. transfer agents (or non-U.S. subsidiaries of U.S.

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 United Kingdom

Federal Register · Notice · Aug 6, 2021

(2) Exchange Act rule 15Fh-5;  424 (3) Exchange Act rule 15Fh-6;  425 (4) Exchange Act rule 18a-2;  426 (5) Exchange Act rule 18a-4; and (6) Regulation SBSR. 427 423  17 … 482   Compare para.

Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Amendment No. 2 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendments Nos. 1 and 2, To Amend the Codes of Arbitration Procedure To Modify the Current Process Relating to the Expungement of Customer Dispute Information

Federal Register · Notice · Apr 19, 2023

422   See supra note 390. 423   See proposed Rule 13805(a)(2)(A)(v). … Commenters both supporting and opposing the proposed rule change recommended modifications to these provisions. 482 One commenter who opposed the proposed rule change objected to the participation

Self-Regulatory Organizations; National Association of Securities Dealers, Inc.; Order Granting Approval to Proposed Rule Change Relating to Fees and Hearing Session Deposits for the Arbitration of Claims by Public Investors, Members and Associated Persons

Federal Register · Notice · Mar 1, 1999

McMahon, 482 U.S. 220 (1987) (``McMahon''). --------------------------------------------------------------------------- Commenters also argue that the increase in the allocation of fees is significant … Metropolitan Edison Co., 419 U.S. 345, 357 (1974).

Use of Electronic Media by Broker-Dealers, Transfer Agents, and Investment Advisers for Delivery of Information; Additional Examples Under the Securities Act of 1933, Securities Exchange Act of 1934, and Investment Company Act of 1940

Federal Register · Rule · May 15, 1996

\10\ For example, Rule 15a-6 requires U.S. registered broker- dealers, under certain circumstances, to obtain certain foreign persons' consent to service of process. 17 CFR 240.15a- 6(a)(3)(iii)(D … By contrast, an advertisement satisfying the requirements of Securities Act Rule 134 or 482 need not be preceded or accompanied by a prospectus.

Exemptions To Facilitate Intrastate and Regional Securities Offerings

Federal Register · Rule · Nov 21, 2016

See U.S. … \427\ See U.S.

SECURITIES AND EXCHANGE COMMISSION

Agency decision · Agency decision

Howey Co., 328 U.S. 293 (1946). … Turner Enterprises, 474 F.2d 476, 482 n.7 (9th Cir. 1978), cert denied, 414 U.S. 821, 945 S. Ct. 117, 38 L.Ed.2d 53 (1973).

Clearing Agency Governance and Conflicts of Interest

Federal Register · Rule · Dec 5, 2023

Registered clearing agencies in the U.S. are an essential part of the infrastructure of the U.S. securities markets due to their role as intermediaries for clearing and settling securities transactions … Redesigning the U.S.

Amendments to Financial Disclosures About Acquired and Disposed Businesses

Federal Register · Rule · Aug 31, 2020

See U.S. … The titles for the affected collections of information are:  482 482  A number of forms could require Rule 3-05, Rule 3-14, and other disclosure impacted by the amendments such that the amendments

Division of Investment Management

Agency decision · Agency decision

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

Division of Investment Management

Agency decision · Agency decision

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