Documents

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.

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.

Office of the Advocate

Agency decision · Agency decision

71 U.S. private companies raised 36% ($840 billion) U.S. public companies raised of all capital raised by U.S. companies. 64% ($1.5 trillion) of all capital raised by U.S. companies. … See U.S.

Form ADV and Investment Advisers Act Rules

Federal Register · Rule · Sep 1, 2016

Most of the substantive provisions of the Advisers Act are not applied to the non-U.S. clients of a non-U.S. adviser registered with the Commission but non-U.S. advisers registered with the Commission … must comply with the Advisers Act and the Commission's rules thereunder with respect to any U.S. clients (and any prospective U.S. clients) they may have.

Request for Public Comment

Federal Register · Notice · Nov 12, 1996

Department of Commerce, 14th Street and Constitution Avenue, N.W., Washington, D.C. 20230; telephone (202) 482-5253. … . repacking material expenses, and U.S. repacking labor expenses, all of which represent expenses incurred by NBCA on its sales to U.S. customers and are properly allocated on the basis of total U.S. sale

Conformed to Federal Register version

Agency decision · Agency decision

ET in the U.S.) and the time when U.S. … The Canadian Securities Authorities proposed 482 See DTCC, DTCC T+1 Test Approach: Detailed Testing Framework (Jan. 2023), https://www.dtcc.com/ust1/-/media/Files/PDFs/T2/UST1-Detailed-Test-Document

Short Position and Short Activity Reporting by Institutional Investment Managers

Federal Register · Rule · Nov 1, 2023

Comments To Limit Scope to Equity Securities of U.S. … Transparency regarding short selling by Managers of securities of U.S. and non-U.S. issuers is important regardless of where those sales occur.

Business and Financial Disclosure Required by Regulation S-K

Federal Register · Proposed Rule · Apr 22, 2016

423   See Off-Balance Sheet and Contractual Obligations Adopting Release at 5982. 130. … • Focused on the “most significant” or “principal” factors that make a registrant's securities speculative or risky, 482 482  “Principal” was the term used in the 1982 Integrated Disclosure

Use of Derivatives by Registered Investment Companies and Business Development Companies

Federal Register · Proposed Rule · Dec 28, 2015

For example, should we permit funds to segregate any U.S. government security ( i.e. any security issued or guaranteed as to principal and interest by the U.S. government)? … Miller, Associate Director, Division of Investment Management, U.S.

Conformed to Federal Register version

Agency decision · Agency decision

provide redemption rights in the ordinary course can be 422 See, e.g., AIC Comment Letter I; CFA Institute Comment Letter; Ropes & Gray Comment Letter; Schulte Comment Letter; SIFMA Comment Letter. 423 … Discussion Series No. 2017-121 (Dec. 15, 2017), available at https://www.federalreserve.gov/econres/feds/investor-concentration-flows-and-cash-holdings-evidencefrom-hedge-funds.htm. 482 See supra section

Conformed to Federal Register version

Agency decision · Agency decision

Treasury securities CCA, including FICC.423 The Commission addressed similar comments in the discussion in part II.B.2.b supra. … Treasury securities positions cleared, settled, and novated at the qualified clearing agency at the time the margin requirement arose.482 Thus, the broker-dealer is limited to using proprietary U.S.

Joint Industry Plan; Order Approving an Amendment to the National Market System Plan Governing the Consolidated Audit Trail; Notice

Federal Register · Notice · Sep 12, 2023

at 6. 423   See Citadel July Letter at 20. See also id. at 3, 30, 31. … Ass'n, U.S. (Feb. 27, 2023), casts doubt on the constitutionality of CAT.

Reporting of Securities Loans

Federal Register · Rule · Nov 3, 2023

Angel Letter, at 4. 482   See, e.g., IIB Letter, at 8. … Moreover, the exclusion of non-U.S. persons suggested by the commenters could cause competitive harm to U.S. market participants as it would allow non-U.S. persons engaging in the same activities as U.S

Division of Investment Management

Agency decision · Agency decision

Government Agency Debt (if categorized as no-coupon-paying notes) Treasury/Agency Agency Debt U.S. Treasury Debt Treasury/Agency Treasury Debt U.S. … Government Agency Repurchase Agreement Repo Agency Repo U.S.

Regulation of Exchanges and Alternative Trading Systems

Federal Register · Rule · Dec 22, 1998

See U.S. Department of the Treasury, U.S. … \482\ See Section 6(b)(2) of the Exchange Act, 15 U.S.C. 78f(2).

Cross-Border Security-Based Swap Activities; Re-Proposal of Regulation SBSR and Certain Rules and Forms Relating to the Registration of Security-Based Swap Dealers and Major Security-Based Swap Participants

Federal Register · Proposed Rule · May 23, 2013

at 70304. 423   See id. at 70245-46. … As discussed above, 482 the proposed rule would define “foreign branch” as any branch of a U.S. bank if: 482   See Section III.B.7, supra.

Division of Investment Management

Agency decision · Agency decision

Government Agency Debt (if categorized as no-coupon-paying notes) Treasury/Agency Agency Debt U.S. Treasury Debt Treasury/Agency Treasury Debt U.S. … Government Agency Repurchase Agreement Repo Agency Repo 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.

Financial Responsibility Rules for Broker-Dealers

Federal Register · Rule · Aug 21, 2013

Though SIFMA initially raised concerns about the proposed definition, it later withdrew its recommendation that proprietary accounts of affiliated non-U.S. broker-dealers and non-U.S. banks be excluded … 423   See SIFMA 2 Letter.