Documents

Exemptions From the Proxy Rules for Proxy Voting Advice

Federal Register · Rule · Sep 3, 2020

See U.S. … SEC, 472 U.S. 181 (1985). The U.S.

Conformed to Federal Register Version

Agency decision · Agency decision

See U.S. … Borak, 377 U.S. at 432; see also S. Rep.

Revision of the Commission's Auditor Independence Requirements

Federal Register · Rule · Dec 5, 2000

Shrink Missouri Government, 528 U.S. 377 (2000) (relying on the seminal case of Buckley v. Valeo, 424 U.S. 1 (1976)). … Res., at 482-496 (Autumn 1982) (“Scheiner & Kiger); J. H.

Proposed Rule Amendments and Guidance Addressing Cross-Border Application of Certain Security-Based Swap Requirements

Federal Register · Proposed Rule · May 24, 2019

. 423 Nevertheless, this competitive effect may be attenuated by the condition that makes the exception available only to non-U.S. persons that are subject to the margin and capital requirements of … a listed jurisdiction. 422   See part VII.B.2, infra. 423   See part III.A, supra.

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

Federal Register · Rule · Aug 12, 2014

-based holding company, or all affiliates of any U.S. person generally, should have to count their dealing activity against the thresholds.\482\ -------------------------------------------------------- … \482\ The available data does not include information about the single-name security-based swap transactions of non-U.S. domiciled persons (including non-U.S. affiliates of U.S.

Modernization of Property Disclosures for Mining Registrants

Federal Register · Proposed Rule · Jun 27, 2016

Wood, Jr et. al., U.S. Geological Survey, U.S. Dep't of the Interior, Coal Resource Reclassification System of the U.S. … U.S. Geological Survey & U.S. Bureau of Mines, U.S.

Joint Industry Plan; Order Approving, as Modified, a National Market System Plan Regarding Consolidated Equity Market Data

Federal Register · Notice · Nov 29, 2024

Nasdaq, NYSE, and Cboe then petitioned the U.S. Court of Appeals for the District of Columbia Circuit (“D.C. … The Commission has recognized that investors must have this core data “to participate in the U.S. equity markets.”

Optional Internet Availability of Investment Company Shareholder Reports

Federal Register · Rule · Jun 22, 2018

According to the most recent U.S. census data, approximately 77.2% of U.S. households had some form of internet access in their home in 2015 and 86.8% have a computer ( e.g., desktop, laptop, tablet … Rule 498 and Form N-1A Estimates We estimate that there are 11,181 funds that file Form N-1A, 423 including 10,063 funds that will rely on rule 30e-3, of which 9,057 funds also rely on rule 498

As a filer, you will first need to determine whether you must meet your filing obligation via

Agency decision · Agency decision

with certain EDGARLink tender offers, business combinations and rights Online offerings, in which the subject company is a foreign private issuer of which less than 10% of its securities are held by U.S … filed in connection with certain tender offers, business combinations and rights offerings, in which the subject company is a foreign private issuer of which less than 10% of its securities are held by U.S

Pay Ratio Disclosure

Federal Register · Rule · Aug 18, 2015

One commenter recommended delaying compliance with “the most onerous parts of this rule,”  422 and a further commenter requested that we phase in various requirements of the rule. 423 Neither … See letter from WorldatWork II. 482   See S. Rep.

Rules Implementing Amendments to the Investment Advisers Act of 1940

Federal Register · Rule · Jul 19, 2011

A non-U.S. fund that has never used U.S. jurisdictional means in the offering of the securities it issues would not be a private fund. … SEC, 482 F.3d 481 (DC Cir. 2007). III. Effective and Compliance Dates A.

Retail Foreign Exchange Transactions

Federal Register · Rule · Jul 15, 2011

Supp. 2d 482, 495 (S.D.N.Y. 2004) (distinguishing between foreign exchange futures contracts and spot contracts in foreign exchange, and noting that spot transactions—unlike futures contracts—ordinarily … Greene et al., U.S. Regulation of International Securities and Derivatives Markets § 14.08[2] (8th ed. 2006).

Division of Investment Management

Agency decision · Agency decision

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

Further Definition of “Swap,” “Security-Based Swap,” and “Security-Based Swap Agreement”; Mixed Swaps; Security-Based Swap Agreement Recordkeeping

Federal Register · Rule · Aug 13, 2012

However, swaps on U.S. … the U.S.

Prohibition Against Conflicts of Interest in Certain Securitizations

Federal Register · Rule · Dec 7, 2023

The U.S. … U.S.

Electronic Delivery of Information Under the Federal Securities Laws

Federal Register · Proposed Rule · Jul 21, 2026

See Occupational Employment and Wage Statistics, U.S. BUREAU OF LABOR STATISTICS, https://www.bls.gov/oes/ ; see also Standard Occupational Classification, U.S. … See Gross Output by Industry, U.S. BUREAU OF ECONOMIC ANALYSIS, https://www.bea.gov/data/industries/gross-output-by-industry ; Occupational Employment and Wage Statistics, U.S.

[Corrected to conform to Federal Register version]

Agency decision · Agency decision

See U.S. … Ernst & Young, Inc., 494 U.S. 56 (1990), where the U.S.

Regulation S-P: Privacy of Consumer Financial Information and Safeguarding Customer Information

Federal Register · Proposed Rule · Apr 6, 2023

See U.S. … The U.S.

Conformed to Federal Register version

Agency decision · Agency decision

See, e.g., U.S. … The source for the total number of households is the U.S.

The Regulation of Securities Offerings

Federal Register · Proposed Rule · Dec 4, 1998

U.S. … U.S.