Documents

Conformed To Federal Register Version

Agency decision · Agency decision

Overview of the Final Rules ..................................................................................24 1. … Final Rules’ Principal Elements ........................................................................24 2.

Clearing Agency Standards

Federal Register · Rule · Nov 2, 2012

Kaswell and Carlotta King, Managed Funds Association, dated March 24, 2011 (“MFA (Kaswell/King) Letter”); letter from Stuart J. … We believe that these issues are appropriately addressed by individual clearing agencies through the submission of proposed rule changes to the Commission for review and public comment. 399

Regulation NMS

Federal Register · Proposed Rule · Dec 27, 2004

Securities Exchange Act Release No. 14661 (Apr. 14, 1978), 43 FR 17419 (Apr. 24, 1978). … today would make conforming changes to the following rules:  394 § 200.30-3;  395 § 200.800, Subpart N;  396 § 201.101;  397 Rule 144  398 under the Securities Act of 1933;  399

Amendments for Small and Additional Issues Exemptions Under the Securities Act (Regulation A)

Federal Register · Rule · Apr 20, 2015

Riley & Co., March 24, 2014 (“B. … Hartnett, Missouri Commissioner of Securities, March 24, 2014 (“MCS Letter”).

Regulation NMS

Federal Register · Rule · Jun 29, 2005

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)). … Katz, Secretary, Commission, dated June 24, 2004 (“NAIC Letter”) at 1. B.

Joint Industry Plan; Notice of Filing of the National Market System Plan Governing the Consolidated Audit Trail

Federal Register · Notice · May 17, 2016

24. … (b)(ii)(B)(2)), while the Commission estimates 69 (24 floor brokers, 31 Options Market Makers, and 14 ELPs).

Joint Industry Plan; Order Approving the National Market System Plan Governing the Consolidated Audit Trail

Federal Register · Notice · Nov 23, 2016

at 24. … at 21, 22, 24. 958   Id. at 24.

Conformed to Federal Register Version

Agency decision · Agency decision

See Instruction 4.g to Item 24 of Form N-2; Item 27A(d)(2) of Form N-1A. … Tobacco Products Fabricated Products Shipbuilding, Railroad Equipment Business Supplies TOTAL b. 25 24 24 23 19 19 19 19 19 18 18 15 14 13 13 13 12 9 8 8 7 7 7 6 5 5 4 4 3 2 2 2 1 1 1 1 1,068 Other

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

Federal Register · Rule · Apr 20, 2020

that affiliate would be included in the Summarized Financial Information presented pursuant to proposed Rule 13-02(a)(4), even if the securities of those subsidiaries are not pledged as collateral. 399 … 398   See Section V of the Proposing Release. 399  Proposed Rule 13-01 would prohibit combining the financial information of non-issuer and non-guarantor subsidiaries of issuers

Order Granting Conditional Substituted Compliance in Connection With Certain Requirements Applicable to Non-U.S. Security-Based Swap Dealers and Major Security-Based Swap Participants Subject to Regulation in the United Kingdom

Federal Register · Notice · Aug 6, 2021

Accordingly, the Commission is retaining the references to these provisions. 399   See SIFMA 5/3/2021 Letter at 21 and Appendix A part (e)(5). … (24) “PRA Certification Rules” means the Certification Part of the PRA Rulebook for CRR Firms, as amended from time to time.

Conformed to Federal register version

Agency decision · Agency decision

See Form TA-2 Question 5(a). 399 See Form TA-2 Item 4(a). 400 See Form TA-2 Item 4(b). 401 See infra Section V.B.7. 223 a. … 13% 8% 54% 24% 11% 9% 56% 22% 10% 10% 57% 23% 10% 9% 58% 23% 11% 10% 56% c.

Business and Financial Disclosure Required by Regulation S-K

Federal Register · Proposed Rule · Apr 22, 2016

Request for Comment 24. … This requirement is virtually identical to paragraph 24 of Schedule A of the Securities Act. [15 U.S.C. 77aa(24)]. i. Comments Received S-K Study.

Disclosure of Payments by Resource Extraction Issuers

Federal Register · Proposed Rule · Dec 23, 2015

24   Id. … Request for Comment 24.

Disclosure of Payments by Resource Extraction Issuers

Federal Register · Rule · Jan 15, 2021

S7-24-19] RIN 3235-AM06 Disclosure of Payments by Resource Extraction Issuers AGENCY: Securities and Exchange Commission. ACTION: Final rule. … the entity level rather than on a per project basis, a resource extraction issuer may disclose that payment at the entity level. 401 Both instructions were also included in the 2016 Rules. 399

Use of Derivatives by Registered Investment Companies and Business Development Companies

Federal Register · Rule · Dec 21, 2020

S7-24-15) are available at https://www.sec.gov/comments/s7-24-15/s72415.shtml. … The final rule does not restrict a fund from issuing senior securities subject to the limits in section 18 to the full extent permitted by the Investment Company Act. 399 399  For purposes

Oversight of Credit Rating Agencies Registered as Nationally Recognized Statistical Rating Organizations

Federal Register · Rule · Jun 18, 2007

Nazareth, Director, Division of Market Regulation, Commission, to Mari-Anne Pisarri, Pickard and Djinis LLP (February 24, 2003); letter from Mark M. … McDaniel, President, Moody's Investor Services (“Moody's 2nd Letter”); letter dated April 24, 2007 from Jeanne M.

Tailored Shareholder Reports for Mutual Funds and Exchange-Traded Funds; Fee Information in Investment Company Advertisements

Federal Register · Rule · Nov 25, 2022

See Exchange-Traded Funds, Investment Company Act Release No. 33646 (Sept. 25, 2019) [84 FR 57162 (Oct. 24, 2019)]. … 80a-29(e)(1) through (4)], and section 30(e)(6) of the Investment Company Act [15 U.S.C. 80a-29(e)(6)]. 398   See section 30(g) of the Investment Company Act [15 U.S.C. 80a-29(g)]. 399

Money Market Fund Reforms

Federal Register · Proposed Rule · Feb 8, 2022

(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

Comments: Definition of “De-SPAC Transaction” ....................................................... 24 3. … 52 Letter from Vinson & Elkins (June 13, 2022) (“Vinson & Elkins”). 24 3.

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

Federal Register · Rule · May 1, 2020

Absent satisfaction of the Section 5(b)(2) obligation by other available means, a Section 5(b)(2) violation will result. 399 399  As discussed below, the rule also includes additional requirements … (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].