Documents

Clearing Agency Governance and Conflicts of Interest

Federal Register · Rule · Dec 5, 2023

financial markets. 398 Multiple commenters agreed that the incentives of registered clearing agencies and their stakeholders can diverge from the interest of the broader financial markets. 399 … financial stability generally.”); Menkveld & Vuillemey, supra note 382, at 22 (“Network externalities create a role for regulators to coordinate investors on a socially desirable equilibrium.”). 399

Disclosure of Payments by Resource Extraction Issuers

Federal Register · Rule · Sep 12, 2012

See Implementing the EITI, at 23-24. … 24  15 U.S.C. 78m(q)(2)(F).

Further Definition of “As a Part of a Regular Business” in the Definition of Dealer and Government Securities Dealer

Federal Register · Proposed Rule · Apr 18, 2022

No. 258, 99th Cong., 1st Sess. 24 (1985). S. Rep. … 24.

Universal Proxy

Federal Register · Proposed Rule · Nov 10, 2016

Rev. 520 (1990). 347   See Fos Study, at 24-26. … S7-24-16. Requests for materials submitted to OMB by the Commission with regard to the collection of information should be in writing, refer to File No. S7-24-16, and be submitted to the U.S.

Regulation ATS for ATSs That Trade U.S. Government Securities, NMS Stock, and Other Securities; Regulation SCI for ATSs That Trade U.S. Treasury Securities and Agency Securities; and Electronic Corporate Bond and Municipal Securities Markets

Federal Register · Proposed Rule · Dec 31, 2020

Request for Comment 24. … 24.

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

Federal Register · Proposed Rule · May 5, 2023

See Proposing Release at 15580. 24. … 397   See supra section V.C.2.a. 398   See supra sections V.C.2.a and V.C.2.c. 399   See supra section II.B.

Amendments to Regulation SHO

Federal Register · Proposed Rule · Apr 20, 2009

Please provide empirical data in support of any arguments and/or analyses. 24. … First, we believe that the fact that either proposed price test alternative, if adopted, would apply a uniform price test  399 might help to reduce compliance costs for market participants.

Political Contributions by Certain Investment Advisers

Federal Register · Rule · Jul 14, 2010

For the MSRB's approach to this definition, see MSRB Rule G-37 Q&A, Question IV.24. … (Aug. 24, 2009) (“Thomas Letter”); Comment Letter of Stephen R.

Corrected to conform to Federal Register version

Agency decision · Agency decision

DERA Study, supra note 24, at 37. 39 See, e.g., Comment Letter of MSCI Inc. … See infra note 80. 69 See generally DERA Study, supra note 24, at section 3.

Conformed to Federal Register version

Agency decision · Agency decision

We do not believe that 399 See Citadel Letter at 3. 400 See UBS Letter at 4. 401 See id. … (a) it will not be required to respond to Item 24(b), and if it responds “yes” to Item 24(a) but “no” to Item 24(b), it will not be required to provide any additional information in response to Item 24

Regulation SBSR-Reporting and Dissemination of Security-Based Swap Information

Federal Register · Rule · Aug 12, 2016

Activity Proposal. 399   See supra note 16. B. … Programmer at 8 hours) + (Compliance Manager at 24 hours) + (Compliance Attorney at 24 hours) + (Compliance Clerk at 24 hours) + (Sr.

Form ADV and Investment Advisers Act Rules

Federal Register · Rule · Sep 1, 2016

23  LPL Letter; MMI Letter. 24  IAA Letter. … Estimated Initial Hour Burden Based on IARD system data as of May 16, 2016, there are approximately 3,248 exempt reporting advisers currently filing reports with the SEC. 399 The paperwork burden

Share Repurchase Disclosure Modernization

Federal Register · Rule · Jun 1, 2023

This change became effective January 24, 2023. Id. … (Oct. 24, 2022) and U.S. Chamber of Commerce (Nov. 1, 2022) (“Chamber IV”).

Conformed to Federal Register version

Agency decision · Agency decision

The Commission also encourages any interested party that prepares an analysis of the Pilot to submit it to the Commission for posting on the Commission’s website. 399 e. … The first commenter estimated costs of $24 million per year.

Standards for Covered Clearing Agencies

Federal Register · Rule · Oct 13, 2016

398   See ISDA at 4. 399   See infra Part III.B.3.a.viii (discussing the economic effects of Rule 17Ad-22(e)(13)). … Counsel for 25 hours) + (Compliance Attorney for 18 hours) + (Senior Risk Management Specialist for 7 hours) + (Computer Operations Manager for 7 hours)) = 57 hours × 7 respondent clearing agencies = 399

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

Federal Register · Rule · Jan 21, 2025

The Commission received comment supporting this amendment  401 and for the reasons discussed above, is adopting it as proposed. 402 399   See 17 CFR 240.3b-12. 400   See … (e) * * * (3) * * * (v) * * * (B) The details of any issues arising during the 24 months (or the period of the engagement, if less than 24 months) preceding the termination or new engagement relating

Transaction Fee Pilot for NMS Stocks

Federal Register · Rule · Feb 20, 2019

The Commission also encourages any interested party that prepares an analysis of the Pilot to submit it to the Commission for posting on the Commission's website. 399 399   See supra note … The first commenter estimated costs of $24 million per year.

Conformed to Federal Register version

Agency decision · Agency decision

Ross, Non-Centrally Cleared Bilateral Repo, THE OFR BLOG (Aug. 24, 2022) (“Hempel et al. (2022)”), available at https://www.financialresearch.gov/the-ofr-blog/2022/08/24/non-centrally-cleared-bilateral-repo … These dealers include all 24 financial institutions currently designated by the Federal Reserve Bank of New York (N.Y.

Standards for Covered Clearing Agencies

Federal Register · Proposed Rule · Mar 26, 2014

The expected PRA burden for the proposed rules is discussed in detail below. 399 399   See infra Parts 0 (estimated burdens under proposed Rule 17Ad-22(e)(15)) and 0 (estimated burdens under … , 24 J. Applied Corp.

Form PF; Reporting Requirements for All Filers and Large Hedge Fund Advisers

Federal Register · Proposed Rule · Sep 1, 2022

24. Should proposed Question 6 include more, fewer, or different categories of private funds? … the Financial Stability Oversight Council (FSOC) to monitor for emerging systemic risks that could significantly impact our financial markets and American consumers. 400 399  Public Law 111