Documents

Conformed to Federal Register version

Agency decision · Agency decision

filed with the Commission within 60 days of the end of the twelve-month period covered by the report, and the twelve month period covered by each report must commence on January 1 of the calendar year.399 … s experience in requiring other types of clearing agencies to provide financial statements within sixty days of the end of the year,400 the Commission believes a 60-day period would provide the CMSP 399

Prohibitions and Restrictions on Proprietary Trading and Certain Interests in, and Relationships With, Hedge Funds and Private Equity Funds

Federal 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

Conformed to Federal Register version

Agency decision · Agency decision

filed with the Commission within 60 days of the end of the twelve-month period covered by the report, and the twelve month period covered by each report must commence on January 1 of the calendar year.399 … s experience in requiring other types of clearing agencies to provide financial statements within sixty days of the end of the year,400 the Commission believes a 60-day period would provide the CMSP 399

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

We expect that most of the costs will arise from the requirements for large private equity fund advisers to report additional information on Form PF, 399 as well as new current reporting requirements … for advisers to qualifying hedge funds as well as new quarterly and annual reporting requirements for private equity funds on the occurrence of reporting events. 399  These costs will be substantially

Financial Responsibility Rules for Broker-Dealers

Federal Register · Rule · Aug 21, 2013

See also Exchange Act Release No. 63961 (Feb. 24, 2011), 76 FR 11542 (Mar. 2, 2011). 4. … Bernard Financial Services Letter; American Bar Association Letter; Cornell Letter. 399   See St. Bernard Financial Services Letter.

Money Market Fund Reform; Amendments to Form PF

Federal Register · Rule · Aug 14, 2014

See, e.g., Comment Letter of Investment Company Institute (Jan. 24, 2013) (available in File No. FSOC-2012-0003) (“ICI Jan. 24 FSOC Comment Letter”). … Alternative 2 at $1,697,000.”) 399  SIFMA Comment Letter.

Conformed to Federal Register version

Agency decision · Agency decision

24. … See 1995 Guidance at text accompanying n.24.

Registered Offering Reform

Federal Register · Proposed Rule · May 26, 2026

We discuss those proposed amendments in section II.G below. 24 24  We also are proposing certain conforming and technical amendments to some of our rules and forms that are intended to simplify … 24.

Shortening the Securities Transaction Settlement Cycle

Federal Register · Rule · Mar 6, 2023

filed with the Commission within 60 days of the end of the twelve-month period covered by the report, and the twelve month period covered by each report must commence on January 1 of the calendar year. 399 … day period would provide the CMSP sufficient time to compile and complete the remaining portions of the report and seek the appropriate internal approval to file the report with the Commission. 399

UNITED STATES DEPARTMENT OF LABOR

Agency decision · Agency decision

D.R. 4-101-c 24, 25-26 Ohio Rule 1.6(b) (5) .1 18 Okla. Rule 1.6 (b) (3) 18 Or. Rule 1.6(b) (4) 18 Pa. Rule 1.6(b) (4) ' 18 R.I. Rule 1.6 (b) (2) 18 S.C. Rule 1.6(b) (2) 18 S.D. … Blue Cross & Blue Shield of Montana/ Inc., 314 F.3d 390, 399 (9th Cir. 2002) (where federal law preempts claim, court need not look to federal common law); Waymire v. Norfolk & W. Ry.

Good Faith Determinations of Fair Value

Federal Register · Rule · Jan 6, 2021

, the Commission stated in ASR 113 and ASR 118 that the board need not itself perform each of the specific tasks required to calculate fair value in order to perform its role under section 2(a)(41). 399 … from individuals who are not directors, the findings of such individuals must be carefully reviewed by the directors in order to satisfy themselves that the resulting valuations are fair. 402 399

Enhancement of Emerging Growth Company Accommodations and Simplification of Filer Status for Reporting Companies

Federal Register · Proposed Rule · May 21, 2026

See Instruction 4.g to Item 24 of Form N-2; Item 27A(d)(2) of Form N-1A. … No. 14215 (Feb. 18, 2025), 90 FR 10447, 10448 (Feb. 24, 2025) (requiring independent agencies to comply with E.O. No. 12866).

Standards for Covered Clearing Agencies for U.S. Treasury Securities and Application of the Broker-Dealer Customer Protection Rule With Respect to U.S. Treasury Securities

Federal Register · Rule · Jan 16, 2024

Letter, supra note 85, at 23-24. … [FR Doc. 2023-27860 Filed 1-12-24; 8:45 am] BILLING CODE 8011-01-P

Electronic Delivery of Information Under the Federal Securities Laws

Federal Register · Proposed Rule · Jul 21, 2026

24. … 399   See proposed note to rule 14d-5.

Capital, Margin, and Segregation Requirements for Security-Based Swap Dealers and Major Security-Based Swap Participants and Capital and Segregation Requirements for Broker-Dealers

Federal Register · Rule · Aug 22, 2019

Blass, General Counsel, Investment Company Institute (Nov. 24, 2014) (“ICI 11/24/2014 Letter”); ICI 11/19/2018 Letter; Letter from Tim Buckley, Managing Director and Chief Investment Officer, and John … Peirce, regarding an April 24, 2018 meeting with representatives of Citigroup (April 26, 2018) (“Citigroup 4/24/2018 Meeting”).

Fund of Funds Arrangements

Federal Register · Rule · Nov 19, 2020

398 Another commenter requested that the Commission clarify the applicable exemptive relief referenced in the exception, since the Commission also proposed to rescind relevant exemptive relief. 399 … Comment Letter (acquiring funds may make investments pursuant to rule 12d1-1 for the purpose of complying with asset coverage requirements and other legitimate portfolio management purposes). 399

Revision of the Commission's Auditor Independence Requirements

Federal Register · Rule · Dec 5, 2000

at 24. At our public hearings and in comment letters, we also heard a great deal about the “loss leader” phenomenon. … Houle, CPA, Chair, Oregon Board of Accountancy (Sept. 24, 2000). 221   See, e.g., Testimony of K.

SECURITIES AND EXCHANGE COMMISSION

Agency decision · Agency decision

Some commenters supported the disclosure of any agreement that may influence a broker-dealer’s routing decisions, including oral agreements or arrangements. 399 One commenter explicitly supported the disclosure … broker-dealer and a Specified Venue where the level of execution quality is negotiated for an increase or decrease in payment for order flow. 398 See Rule 606(a)(1); see also supra Section III.B.1.b. 399

Regulation Best Execution

Federal Register · Proposed Rule · Jan 27, 2023

, 1971) (Comm'n op.), aff'd, 444 F2d. 399 (2d Cir. 1971) (order clerk in OTC department of broker-dealer interposed a broker-dealer between his firm and best available market price in return for split … Please explain. 24.

Facilitating Capital Formation and Expanding Investment Opportunities by Improving Access to Capital in Private Markets

Federal Register · Rule · Jan 14, 2021

See, e.g., CFA Letter and CFA Institute Letter. 399   See ABA Letter. 400   See Carta Letter. 401   See Ketsal Letter. … Form N-4 Item 24. Financial Statements and Exhibits (b) Exhibits: Instructions 5.