Documents

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

Division of Investment Management

Agency decision · Agency decision

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

Financial Disclosures About Guarantors and Issuers of Guaranteed Securities and Affiliates Whose Securities Collateralize a Registrant's Securities

Federal Register · Rule · Apr 20, 2020

See U.S. Sec. & Exch. … (F) The third party is a U.S.

Supplemental Information and Reopening of Comment Period for Amendments Regarding the Definition of “Exchange”

Federal Register · Proposed Rule · May 5, 2023

See U.S. … As an alternative, the Commission could adopt the proposed changes to Rule 3b-16(a), but delay applying the changes to New Rule 3b-16(a) Systems that trade crypto asset securities. 423 423  

Share Repurchase Disclosure Modernization

Federal Register · Rule · Jun 1, 2023

. exchanges (including financial industry issuers and U.S. … . disclosure requirements that can discourage a U.S. listing).

Further Definition of “As a Part of a Regular Business” in the Definition of Dealer and Government Securities Dealer in Connection With Certain Liquidity Providers

Federal Register · Rule · Feb 29, 2024

Using TRACE data for U.S. … the final rules described in section I.B largely respond to commenters' concerns by reducing the number of entities that the final rules would potentially require to newly register as dealers. 423

Commission Guidance Regarding Client Commission Practices Under Section 28(e) of the Securities Exchange Act of 1934

Federal Register · Proposed Rule · Oct 25, 2005

See U.S. v. Deutsch, 451 F.2d 98, 110-11 (2d Cir. 1971), cert. denied, 404 U.S. 1019 (1972). … Donaldson, Chairman, U.S.

Self-Regulatory Organizations; EDGX Exchange, Inc.; Notice of Filing of a Proposed Rule Change To Amend the Certificate of Incorporation and Bylaws of the Exchange's Ultimate Parent Company, BATS Global Markets, Inc.

Federal Register · Notice · Feb 22, 2016

Emerald Partners, 552 A.2d 482 (Del. 1988). e. … Section 11.01(b) of the Current Bylaws, for example, states that notices to directors may be given through U.S. mail, facsimile, telex or telegram, except that such notice, other than one which is delivered

Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing of a Proposed Rule Change To Amend the Certificate of Incorporation and Bylaws of the Exchange's Ultimate Parent Company, BATS Global Markets, Inc.

Federal Register · Notice · Feb 23, 2016

Emerald Partners, 552 A.2d 482 (Del. 1988). e. … Section 11.01(b) of the Current Bylaws, for example, states that notices to directors may be given through U.S. mail, facsimile, telex or telegram, except that such notice, other than one which is delivered

Application of “Security-Based Swap Dealer” and “Major Security-Based Swap Participant” Definitions to Cross-Border Security-Based Swap Activities

Federal Register · Rule · Jul 9, 2014

-based holding company, or all affiliates of any U.S. person generally, should have to count their dealing activity against the thresholds. 482 481  Although the data available to the Commission … that the data does not enable us to identify which positions of non-U.S. persons are subject to guarantees by U.S. persons). 713   See section 0 and notes 481 and 482, supra.

Form PF; Reporting Requirements for All Filers

Federal Register · Proposed Rule · Apr 24, 2026

, U.S. creditors that are not U.S. depository institutions, and non-U.S. creditors. … institutions, U.S. creditors that are not U.S. depository institutions, and non-U.S. creditors).

Self-Regulatory Organizations; BATS Y-Exchange, Inc.; Notice of Filing of a Proposed Rule Change To Amend the Certificate of Incorporation and Bylaws of the Exchange's Ultimate Parent Company, BATS Global Markets, Inc.

Federal Register · Notice · Feb 23, 2016

Emerald Partners, 552 A.2d 482 (Del. 1988). e. … Section 11.01(b) of the Current Bylaws, for example, states that notices to directors may be given through U.S. mail, facsimile, telex or telegram, except that such notice, other than one which is delivered

Temporary Rule Regarding Principal Trades With Certain Advisory Clients

Federal Register · Proposed Rule · Aug 18, 2014

Kahl, Assistant Director, at (202) 551-6787 or IArules@sec.gov, Investment Adviser Regulation Office, 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

Self-Regulatory Organizations; EDGA Exchange, Inc.; Notice of Filing of a Proposed Rule Change To Amend the Certificate of Incorporation and Bylaws of the Exchange's Ultimate Parent Company, BATS Global Markets, Inc.

Federal Register · Notice · Feb 22, 2016

Emerald Partners, 552 A.2d 482 (Del. 1988). e. … Section 11.01(b) of the Current Bylaws, for example, states that notices to directors may be given through U.S. mail, facsimile, telex or telegram, except that such notice, other than one which is delivered

Investment Company Names

Federal Register · Rule · Oct 11, 2023

U.S. Generally Accepted Accounting Principles (“U.S. … . government securities such as U.S.

Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of a Proposed Rule Change To Amend the Codes of Arbitration Procedure To Adopt FINRA Rules 12808 and 13808 (Accelerated Processing) To Accelerate the Processing of Arbitration Proceedings for Parties Who Qualify Based on Their Age or Health Condition

Federal Register · Notice · Dec 26, 2024

C 12-80104, 2012 U.S. Dist. LEXIS 64554, at *1-4 (N.D. Cal. … McMahon, 482 U.S. 220 (1987), the courts would not enforce predispute arbitration agreements relating to federal securities law claims.

Conformed to Federal Register version and consolidated with correction 33-11238A

Agency decision · Agency decision

U.S. Generally Accepted Accounting Principles (“U.S. … . government securities such as U.S.

Conformed to Federal Register version

Agency decision · Agency decision

U.S. Generally Accepted Accounting Principles (“U.S. … We also agree that expanding the permissible deduction to encompass all U.S.

Money Market Fund Reform

Federal Register · Rule · Mar 4, 2010

On September 19, 2008, the U.S. … Comment Letter”); Comment Letters of the U.S.