Documents

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

Generally Accepted Accounting Principles (“U.S. … See U.S. Sec. & Exch.

Holding Foreign Companies Accountable Act Disclosure

Federal Register · Rule · Apr 5, 2021

3430, in the Office of Rulemaking, Division of Corporation Finance; or Blair Burnett, Senior Counsel, at (202) 551-6792, in the Investment Company Regulation Office, Division of Investment Management; U.S … Res. 482 (2013) (showing that earnings quality reduces information asymmetry); Partha Sengupta, Corporate Disclosure Quality and the Cost of Debt, 73 Account.

The Regulation of Securities Offerings

Federal Register · Proposed Rule · Dec 4, 1998

U.S. … U.S.

Amendments to Regulation D, Form D and Rule 156

Federal Register · Proposed Rule · Jul 24, 2013

We estimate that at least 8.7 million U.S. households, or 7.4% of all U.S. households, qualified as accredited investors in 2010, based on the net worth standard in the definition of “accredited investor … Foreign issuers should calculate revenues in U.S. dollars and state them in accordance with U.S. GAAP, home country GAAP or International Financial Reporting Standards.

Shortening the Securities Transaction Settlement Cycle

Federal Register · Rule · Mar 6, 2023

ET in the U.S.) and the time when U.S. … The T+1 Playbook was most recently updated in December 2022. 482   See DTCC, DTCC T+1 Test Approach: Detailed Testing Framework (Jan. 2023), https://www.dtcc.com/ust1/-/media/Files/PDFs/

Conformed to Federal Register version

Agency decision · Agency decision

Generally Accepted Accounting Principles (“U.S. … Under U.S.

Division of Investment Management

Agency decision · Agency decision

Pension Plans Insurance Companies Non-Profits U.S. Individuals Non-U.S. Individuals Banking/Thrift Inst. State/Muni. Govt. Entities Unknown Non-U.S. … Pension Plans Insurance Companies Non-Profits U.S. Individuals Non-U.S. Individuals Banking/Thrift Inst. State/Muni. Govt. Entities Unknown Non-U.S.

Pay Versus Performance

Federal Register · Rule · Sep 8, 2022

Generally Accepted Accounting Principles (“U.S. … Under U.S.

Division of Investment Management

Agency decision · Agency decision

Entities U.S. … Entities U.S.

Public Company Accounting Oversight Board; Notice of Filing of Proposed Rules on Firm and Engagement Metrics and Related Amendments to PCAOB Standards

Federal Register · Notice · Dec 11, 2024

U.S. firms. … At the firm level, U.S.

Exchange-Traded Funds

Federal Register · Rule · Oct 24, 2019

During the first quarter of 2019, for example, trading in U.S. … U.S.

Investment Adviser Marketing

Federal Register · Rule · Mar 5, 2021

See Staff of the U.S. … . clients even if the non-U.S. client is a fund with U.S. investors. 197 This commenter and others also asked the Commission to clarify the application of the proposals to communications with non-U.S

U.S. Securities and Exchange Commission

Agency decision · Agency decision

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

3. INDEX TO FORMS AND SUBMISSION TYPES

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

Exemption for Certain Exchange Members

Federal Register · Rule · Sep 7, 2023

U.S. … Furthermore, because all non-FINRA member firms are members of at least one exchange, 423 they will have already completed a Form U4, to register associated persons. 424 Non-FINRA member firms

Further Definition of “Swap Dealer,” “Security-Based Swap Dealer,” “Major Swap Participant,” “Major Security-Based Swap Participant” and “Eligible Contract Participant”

Federal Register · Rule · May 23, 2012

See note 482, supra. … U.S.

3. INDEX TO FORMS AND SUBMISSION TYPES

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

Temporary Rule Regarding Principal Trades With Certain Advisory Clients

Federal Register · Rule · Dec 23, 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

Regulation Best Interest

Federal Register · Proposed Rule · May 9, 2018

SEC., 482 F.3d 481 (D.C. … See also U.S.