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Briefs, oral arguments, agency decisions and the Federal Register.
523 results
1.02s
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].
85 FR 25964Securities and Exchange CommissionFederal Register · Proposed Rule · Feb 28, 2020
Question 24. … Small Business Administration, SBIC Program Overview, available at https://www.sba.gov/partners/sbics. 399 See supra note 331.
85 FR 12120Treasury DepartmentComptroller of the CurrencyFederal Register · Proposed Rule · May 23, 2011
24. … the Commodity Exchange Act (7 U.S.C. 1a(24))
76 FR 29818Commodity Futures Trading CommissionSecurities and Exchange CommissionFederal Register · Proposed Rule · Nov 17, 2004
Spencer (available September 24, 1982). … (a) Except as provided in sections 24(e)(1) and 24(f) of the Investment Company Act of 1940 (15 U.S.C. 80a-24(e)(1) and 80a-24(f)) and in paragraph (b) of this section, where a registration statement is
69 FR 67392Securities and Exchange CommissionFederal 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
87 FR 72758Securities and Exchange CommissionFederal Register · Proposed Rule · May 9, 2018
Regulation Best Interest Proposal, supra note 24, section II.C.4. … See Regulation Best Interest Proposal, supra note 24.
83 FR 21416Securities and Exchange CommissionConforming Version (To Conform to Release Published in the Federal Register)
Agency decision · Agency decision
proposal, we determined that the information collected in Form D filings was still useful to us “in conducting economic and other analyses of the private placement market” and retained the requirement.24 … No. 33-8766 (Dec. 27, 2006) [72 FR 399], another commenter stated that it believed it would be useful to the Commission and investors if Form D would require information on pooled investment funds’ assets
Securities and Exchange CommissionRegulation of NMS Stock Alternative Trading Systems
Federal Register · Rule · Aug 7, 2018
at 24. … (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
83 FR 38768Securities and Exchange CommissionModernization of Property Disclosures for Mining Registrants
Federal Register · Rule · Dec 26, 2018
adopting the definition of exploration results, as proposed. 398 Although some commenters objected to the definition because it does not include all activities related to exploration programs, 399 … similar to the activities mentioned in the definition of “exploration information” under Canada's NI 43-101. 401 398 See the definition of “exploration results” in 17 CFR 229.1300. 399
83 FR 66344Securities and Exchange CommissionConformed to Federal Register Version
Agency decision · Agency decision
Comm’n (Apr. 24, 2014), available at https://www.sec.gov/about/divisions-offices/divisioncorporation-finance/revised-statement-well-known-seasoned-issuer-waivers-april-24-2014 (elaborating on application … 24.
Securities and Exchange CommissionConformed to Federal Register Version
Agency decision · Agency decision
by that affiliate would be included in the Summarized Financial Information presented pursuant to proposed Rule 1302(a)(4), even if the securities of those subsidiaries are not pledged as collateral. 399 … affiliates that are pledged as collateral are subject to a contractual or statutory delay from being transferred to the holder of the collateralized security in 398 See Section V of the Proposing Release. 399
Securities and Exchange CommissionFederal Register · Proposed Rule · May 9, 2018
Faber, Exchange Act Release No. 49216 at 23-24 (Feb. 10, 2004); In re Powell & McGowan, Inc., Exchange Act Release No. 7302 (Apr. 24, 1964). … SEC, 444 F.2d 399 (2d. Cir. 1971); Arleen W. Hughes, Exchange Act Release No. 4048 (Feb. 18, 1948) (Commission Opinion), aff'd sub nom. Hughes v. SEC, 174 F.2d 969 (DC Cir. 1949).
83 FR 21574Securities and Exchange CommissionConformed to Federal Register Version
Agency decision · Agency decision
Should we adopt a specific timeframe, such as 24 hours or four business days? Is there another specific timeframe we should consider? d. … Order No. 14215 (Feb. 18, 2025), 90 FR 10447, 10448 (Feb. 24, 2025) (requiring independent agencies to comply with Exec. Order No. 12866).
Securities and Exchange CommissionFederal Register · Rule · Nov 3, 2023
See id. 398 See final Rule 10c-1a(g). 399 Some commenters stated that requiring public disclosure of securities lending activity on a transaction-by-transaction basis, especially … can facilitate conversations between beneficial owners and their lending agents or end borrowers with their brokers or dealers regarding the terms of their loan. 580 See, e.g., supra note 399
88 FR 75644Securities and Exchange CommissionRegulation of Exchanges and Alternative Trading Systems
Federal Register · Rule · Dec 22, 1998
public,\397\ both have provisions governing the entry of participants to the plans,\398\ and allow any national securities exchange or registered national securities association to become a participant.\399 … \399\ See Securities Exchange Act Release No. 37191 (May 9, 1996), 61 FR 24842 (May 16, 1996).
63 FR 70844Securities and Exchange CommissionFederal Register · Rule · Apr 9, 2021
See NYSE Letter II at 24. … See Cboe Letter at 24.
86 FR 18596Securities and Exchange CommissionFederal Register · Notice · Apr 21, 2021
Second, this proposed change would address comments that treating Execution Venue ATSs like Participants would act as a barrier to entry for smaller ATSs. 24 Whether or not such a potential would … 392 0.0000087 125.28 393 0.00 125.28 394 0.0000086 125.28 395 0.00 125.28 396 0.00001 125.28 397 0.00001 125.28 398 0.000008 125.28 399
86 FR 21050Securities and Exchange CommissionFederal Register · Proposed Rule · Dec 31, 2015
Please provide a full explanation. 24. … shares to obtain transfer agent services). 396 See, e.g., id. 397 Exchange Act Section 10, 15 U.S.C. 78j. 398 Exchange Act Rule 10b-5, 17 CFR 240.10b-5. 399
80 FR 81948Securities and Exchange CommissionFederal Register · Rule · Jul 31, 2020
One commenter argued that requiring compliance with the requirements of all of § __.14 would eliminate the utility of this exclusion. 399 The same commenter supported the condition, as proposed, stating … continue to believe that this condition will help ensure that banking entities and their affiliates' exposure to risk remains appropriately limited. 398 Final rule § __.10(c)(18)(ii)(C)(5). 399
85 FR 46422Treasury DepartmentComptroller of the CurrencyRegulation S-P: Privacy of Consumer Financial Information and Safeguarding Customer Information
Federal Register · Rule · Jun 3, 2024
addition to an initial notice in the same 12-month period. 398 Public Law 114-94, Sec. 75001, 129 Stat. 1312 (2015) (adding section 503(f) to the GLBA, codified at 15 U.S.C. 6803(f)). 399 … [FR Doc. 2024-11116 Filed 5-31-24; 8:45 am] BILLING CODE 8011-01-P
89 FR 47688Securities and Exchange Commission
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