Documents

Daily Computation of Customer and Broker-Dealer Reserve Requirements Under the Broker-Dealer Customer Protection Rule

Federal Register · Rule · Jan 13, 2025

Notification requirements for broker-dealers generally range from immediate, promptly (but within 24 hours), within 24 hours, and within 48 hours. … Reduction of the Aggregate Debit Items Charge From 3% to 1% The Commission could have implemented a debit-items charge reduction from 3% to 1%, as suggested by some commenters. 399 This change

Electronic Submission of Certain Materials Under the Securities Exchange Act of 1934; Amendments Regarding the FOCUS Report

Federal Register · Proposed Rule · Apr 18, 2023

24   See infra sections VII.A and X.C. … 399  17 CFR 232.11. 15.

Accredited Investor Definition

Federal Register · Rule · Oct 9, 2020

Letter”); Conduit Investment Advisers, LLC dated Dec. 30, 2019 (“Conduit Letter”); Stuart Kuzik dated Apr. 24, 2020 (“S. … Annual Survey of Entrepreneurs, 28.4% of Black entrepreneurs and 17.5% of Hispanic entrepreneurs cited limited access to financial capital as having a negative impact on their firms' profitability. 399

SECURITIES AND EXCHANGE COMMISSION

Agency decision · Agency decision

Alternatives ................................................................................................... 399 D. … As a result, we are adopting Form N-PORT’s swaps reporting section substantially as proposed. 399 Finally, for derivatives that do not fall into the categories enumerated in Form N-PORT, we proposed that

Large Trader Reporting

Federal Register · Rule · Aug 3, 2011

See Securities Exchange Act Release No. 29593 (August 22, 1991), 56 FR 42550 (August 28, 1991) (S7-24-91) (“1991 Proposal”). … See Securities Exchange Act Release No. 33608 (February 9, 1994), 59 FR 7917 (February 17, 1994) (S7-24-91) (“1994 Reproposal”).

Regulation NMS: Minimum Pricing Increments, Access Fees, and Transparency of Better Priced Orders

Federal Register · Proposed Rule · Dec 29, 2022

See Securities Exchange Act Release Nos. 94310 (Feb. 24, 2022), 87 FR 11748 (Mar. 2, 2022); 94309 (Feb. 24, 2022), 87 FR 11763 (Mar. 2, 2022); 94308 (Feb. 24, 2022), 87 FR 11755 (Mar. 2, 2022); 94307 … See supra note 328. 409   See supra note 399 and accompanying text.

Cybersecurity Risk Management, Strategy, Governance, and Incident Disclosure

Federal Register · Rule · Aug 4, 2023

(Oct. 24, 2022) and U.S. Chamber of Commerce (Nov. 1, 2022). … Sec. 24, 25 (2015) (“Firms in the private sector of many countries own a large share of critical infrastructure assets.

Joint Industry Plan; Order Approving an Amendment to the National Market System Plan Governing the Consolidated Audit Trail, as Modified by the Commission, Regarding Implementation of a Revised Funding Model

Federal Register · Notice · Mar 19, 2026

at 24. 575   See CAT LLC July 2023 Response Letter, at 25. … at 24-25.

Universal Proxy

Federal Register · Rule · Dec 1, 2021

We discuss the final amendments in greater detail below. 24 24  In addition to the substantive final amendments, we are making technical amendments to: (i) Rule 14a-3 (punctuational and related … 398   See letters from BM; SIFMA; ABC; BR; CCMC; CGCIV; Davis Polk. 399   See letter from BR.

Exemptions To Facilitate Intrastate and Regional Securities Offerings

Federal Register · Rule · Nov 21, 2016

\239\ 15 U.S.C. 80a-24(d). \240\ See 1961 Release at note 1. \241\ See Rule 147A(a). … \399\ See 2003 FRB Survey, note 397 (estimating that 34% of small businesses use lines of credit).

Consolidated Audit Trail

Federal Register · Proposed Rule · Jun 8, 2010

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)). … These include the move to multiple listing, 397 the extension of the Commission's Quote Rule to options, 398 the prohibition against trading outside of the national best bid and offer, 399

Pay Ratio Disclosure

Federal Register · Rule · Aug 18, 2015

”), Sarah McKee (Sep. 24, 2013) (“McKee”), Thomas Motes (Sep. 24, 2013) (“Motes”), Karl David Reinhardt (Sep. 24, 2013) (“Reinhardt”), Cynthia Sommer (Sep. 24, 2013) (“Sommer”), Cody Spann (Sep. 24, 2013 … 398   See letter from CII. 399   Id.

Updated Disclosure Requirements and Summary Prospectus for Variable Annuity and Variable Life Insurance Contracts

Federal Register · Proposed Rule · Nov 30, 2018

(a), 24(g), 30, and 38 of the Investment Company Act [15 U.S.C. 80a-8, 80a-24(a), 80a-24(g), 80a-29, and 80a-37]. … (a), 24(g), 30, and 38 of the Investment Company Act [15 U.S.C. 80a-8, 80a-24(a), 80a-24(g), 80a-29, and 80a-37].

Conformed to Federal Register version

Agency decision · Agency decision

See also Rule 614; 17 CFR 242.614. 262 See Rule 600(b)(24); 17 CFR 242.600(b)(24). 263 See Rule 600(b)(26); 17 CFR 242.600(b)(26). 264 See Rule 600(b)(89); 17 CFR 242.600(b)(89). 265 See Rule 600 … The 399 See id. They examine how wholesalers adjust the price improvement they offer as they approach the time period when the retail broker reallocates order flow among wholesalers.

Electronic Filing and Revision of Form D

Federal Register · Rule · Feb 27, 2008

No. 33-7301 (May 31, 1996) [61 FR 30405]. 23  SEC Task Force on Disclosure Simplification, Final Report 17 (Mar. 5, 1996), available at http://www.sec.gov/news/studies/smpl.txt. 24 … No. 33-8766 (Dec. 27, 2006) [72 FR 399], another commenter stated that it believed it would be useful to the Commission and investors if Form D would require information on pooled investment funds' assets

Regulation NMS: Minimum Pricing Increments, Access Fees, and Transparency of Better Priced Orders

Federal Register · Rule · Oct 8, 2024

A 10 mil access fee cap is at a level that will allow the exchanges to maintain their current net capture for executions of NMS stocks priced $1.00 or greater. 399 399   See infra sections … at n.399 and accompanying text. 962   See Proposing Release, supra note 11, at 80298.

The Trade-Through Rule and Locked and Crossed Markets Provisions of Regulation NMS

Federal Register · Proposed Rule · Jun 17, 2026

See also Rule 614; 17 CFR 242.614. 262   See Rule 600(b)(24); 17 CFR 242.600(b)(24). 263   See Rule 600(b)(26); 17 CFR 242.600(b)(26). 264   See Rule 600(b)(89); … (discussing how retail brokers adjust their order flow based on wholesaler execution quality). 399   See id.

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

-person status of the counterparties. 240 238   See SIFMA/FIA/FSR Letter at A-24. 239   See id. at A-24 to A-25. 240   See id. at A-25. E. … Programmer at 8 hours) + (Compliance Manager at 24 hours) + (Compliance Attorney at 24 hours) + (Compliance Clerk at 24 hours) + (Sr.

Disclosure of Order Execution Information

Federal Register · Proposed Rule · Jan 20, 2023

at 75414. 24   See id. at 75419. … at 24.

Regulation Systems Compliance and Integrity

Federal Register · Rule · Dec 5, 2014

a manner that the Commission believes is responsive to commenters' concerns regarding the breadth of the definition of systems disruption (while stopping short of including a materiality standard). 399 … materiality threshold, the adopted definition of SCI systems further focuses the scope of the definition of systems disruption. 400 398   See supra note 347 and accompanying text. 399