Documents

Division of Investment Management

Agency decision · Agency decision

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

Regulation Best Execution

Federal Register · Proposed Rule · Jan 27, 2023

Howey Co., 328 U.S. 293 (1946). … Table 9—U.S.

Conformed to Federal Register version

Agency decision · Agency decision

See U.S. … Levinson, 485 U.S. 224, 231-32 (1988) (noting that the U.S.

Conformed to Federal Register Version

Agency decision · Agency decision

institutions, U.S. creditors that are not U.S. depository institutions, and non-U.S. creditors). … (C) Non-U.S. creditors (ii) Secured borrowing (A) U.S. depository institutions (B) U.S. creditors that are not U.S. depository institutions (C) Non-U.S. creditors 58.

Conformed to Federal Register

Agency decision · Agency decision

We do not have data on the number of qualifying FFIs. 423 Deloitte, “The evolution of core financial service. … See U.S.

Insider Trading Arrangements and Related Disclosures

Federal Register · Rule · Dec 29, 2022

Council, Inc., 467 U.S. 837, 843-44 (1984)), cert. denied, 558 U.S. 934, and 558 U.S. 935 (2009); see also United States v. … O'Hagan, 521 U.S. at 673 (quoting Chevron, 467 U.S. at 844).

Form PF; Event Reporting for Large Hedge Fund Advisers and Private Equity Fund Advisers; Requirements for Large Private Equity Fund Adviser Reporting

Federal Register · Rule · Jun 12, 2023

of the U.S. private equity industry in the near future. … See supra section II.A. 423  SIFMA Comment Letter; AIMA Comment Letter. See supra section IV.C.1.a.

Commission Guidance Regarding Client Commission Practices Under Section 28(e) of the Securities Exchange Act of 1934

Federal Register · Rule · Jul 24, 2006

See U.S. v. Deutsch, 451 F.2d 98, 110-11 (2d Cir. 1971), cert. denied, 404 U.S. 1019 (1972). … Donaldson, Chairman, U.S.

Security-Based Swap Data Repository Registration, Duties, and Core Principles

Federal Register · Rule · Mar 19, 2015

by such non-U.S. person. … The Commission estimates that the average burden to respond to Form SDR will be between 12 and 482 hours depending upon the purpose for which the form is being filed.

Modernization of Property Disclosures for Mining Registrants

Federal Register · Rule · Dec 26, 2018

U.S. Geological Survey & U.S. Bureau of Mines, U.S. … See supra note 423 and accompanying text.

Mutual Fund Distribution Fees; Confirmations

Federal Register · Proposed Rule · Aug 4, 2010

Lasker, 441 U.S. 471 (1979). … Dealers, Inc., 422 U.S. at 729.

SECURITIES AND EXCHANGE COMMISSION

Agency decision · Agency decision

%~- ~~#W~ Committ on Energy and Commerce U.S. … IOLetters from Arthur Levitt, Chairman, U.S.

Public Company Accounting Oversight Board; Notice of Filing of Proposed Rules on Auditing Standards Related to the Auditor's Assessment of and Response to Risk and Related Amendments to PCAOB Standards

Federal Register · Notice · Sep 27, 2010

423  Section II.C.6.g. … This release includes additional discussion regarding the objective of the standard. 482 482  Section II.C.10.c.

Broker-Dealer Reports

Federal Register · Rule · Aug 21, 2013

The fifth location identified in the chart is a U.S. bank. … These categories included: (1) U.S. Equity Securities; (2) Foreign Equity Securities; (3) U.S.

Application of the Federal Securities Laws to Certain Types of Crypto Assets and Certain Transactions Involving Crypto Assets

Federal Register · Rule · Mar 23, 2026

Turner Enterprises, Inc., 474 F.2d 476, 482 (9th Cir. 1973). … See U.S.

Conformed to Federal Register version

Agency decision · Agency decision

Turner Enterprises, Inc., 474 F.2d 476, 482 (9th Cir. 1973). … See U.S.

Regulation Crypto Assets

Federal Register · Proposed Rule · Aug 21, 2026

U.S. … See U.S.

Fair Administration and Governance of Self-Regulatory Organizations; Disclosure and Regulatory Reporting by Self-Regulatory Organizations; Recordkeeping Requirements for Self-Regulatory Organizations; Ownership and Voting Limitations for Members of Self-Regulatory Organizations; Ownership Reporting Requirements for Members of Self-Regulatory Organizations; Listing and Trading of Affiliated Securities by a Self-Regulatory Organization

Federal Register · Proposed Rule · Dec 8, 2004

By that time, the U.S. … See also U.S. v.

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

Federal Register · Proposed Rule · Nov 30, 2018

Also, according the U.S. Census Bureau, in 2016 72% of households had incomes of less than $100,000, 60% had incomes of less than $75,000, and 43% had incomes of less than $50,000. See U.S. … Rule 423 under the Securities Act [17 CFR 230.423] applies to the dates of the prospectuses and the SAI.

Cybersecurity Risk Management Rule for Broker-Dealers, Clearing Agencies, Major Security-Based Swap Participants, the Municipal Securities Rulemaking Board, National Securities Associations, National Securities Exchanges, Security-Based Swap Data Repositories, Security-Based Swap Dealers, and Transfer Agents

Federal Register · Proposed Rule · Apr 5, 2023

Howey Co., 328 U.S. 293 (1946). … See U.S.