Documents

Safeguarding Advisory Client Assets

Federal Register · Proposed Rule · Mar 9, 2023

) of the Advisers Act [15 U.S.C. 80b-2(a)(24)] … Alternatively would 24 months be necessary?

Investment Company Names

Federal Register · Rule · Oct 11, 2023

daily basis for name rule compliance—which would de facto be a necessary corollary of the proposed reporting requirement—would be operationally onerous and should not be required by the final rule. 399 … Morgan Asset Management Comment Letter; Capital Group Comment Letter; MFS Comment Letter. 399   See, e.g., J.P. Morgan Asset Management Comment Letter.

Conformed to Federal Register version

Agency decision · Agency decision

impact on net income, and only 25% of “little r” restatements had a negative impact on net income. 398 Thus, not every restatement would trigger a recovery of compensation that is tied to net income. 399 … HORIZONS 667 (2015) (finding that 11.8% of “little r” restatements revise net income downwards). 399 Incentive-based compensation is more likely to be recovered if it is tied to more reported items on

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

Federal Register · Rule · Mar 19, 2015

, 2011 (“MFA 1”); Managed Funds Association dated March 24, 2011 (“MFA 2”); Markit North America Inc. … from the relevant authority to indemnify the SDR and the Commission; and (11) designate a CCO who must comply with specified duties. 398  Exchange Act Section 13(n), 15 U.S.C. 78m(n). 399

Disclosure of Order Handling Information

Federal Register · Rule · Nov 19, 2018

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 … Operations Manager for 2 hours at $358 per hour) + (Systems Analyst for 1 hour at $257 per hour) = 24 hours and $6,826.

Conformed to Federal Register version

Agency decision · Agency decision

generally opposed the proposed amendment to Rule 13d-2(c) recommended that the Commission require that Schedule 13G amendments pursuant to that rule 397 See letter from MSBA. 398 See letter from EEI. 399 … See DERA Memorandum at nn.3 & 24.

Use of Derivatives by Registered Investment Companies and Business Development Companies; Required Due Diligence by Broker-Dealers and Registered Investment Advisers Regarding Retail Customers' Transactions in Certain Leveraged/Inverse Investment Vehicles

Federal Register · Proposed Rule · Jan 24, 2020

S7-24-15. … 6 months-12 months 12 months-18 months 18 months-24 months >24 months [ ] [ ] [ ] [ ] (2.)

Investment Company Reporting Modernization

Federal Register · Rule · Nov 18, 2016

As a result, we are adopting Form N-PORT's swaps reporting section substantially as proposed. 399 398   See supra footnote 392. 399   See Item C.11.f of Form N-PORT. … third month of each fund's fiscal quarter publicly available. 500 499   See also supra footnote 360 and accompanying text (non-public indexes and custom baskets); supra footnotes 395-399

Disclosure of Payments by Resource Extraction Issuers

Federal Register · Rule · Jul 27, 2016

See EITI Standard at 24. … See also note 388 and accompanying text. 398  17 CFR 240.0-12. 399  For example, an issuer claiming that a foreign law prohibits the required payment disclosure under Section 13(q

Conformed to Federal Register version

Agency decision · Agency decision

have chosen a reporting threshold of equal to or exceeding either (1) five percent of net asset value or (2) $1 billion to be consistent with the thresholds for other counterparty exposure questions,399 … In the case of the proposed estimates, Private Funds Statistics show 24 large liquidity fund advisers filed Form PF in the third quarter of 2021. (24 large liquidity fund advisers x $600 total filing fees

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

year. 401 398   See section II.A.1. of this release (discussing the definition of “covered entity” and why certain broker-dealers would not be included within the definition). 399 … Grossman, The Informational Role of Warranties and Private Disclosure about Product Quality, 24 J. L.

Public Company Accounting Oversight Board; Notice of Filing of Proposed Rules on a Firm's System of Quality Control and Related Amendments to PCAOB Standards

Federal Register · Notice · Jun 11, 2024

No. 105-2022-002 (Feb. 24, 2022); In the Matter of KPMG, PCAOB Rel. … [FR Doc. 2024-12692 Filed 6-10-24; 8:45 am] BILLING CODE 8011-01-P

Listing Standards for Recovery of Erroneously Awarded Compensation

Federal Register · Rule · Nov 28, 2022

on net income, and only 25% of “little r” restatements had a negative impact on net income. 398 Thus, not every restatement would trigger a recovery of compensation that is tied to net income. 399 … Horizons 667 (2015) (finding that 11.8% of “little r” restatements revise net income downwards). 399  Incentive-based compensation is more likely to be recovered if it is tied to more reported

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

Federal Register · Notice · Mar 21, 2023

Based on CAT costs incurred to date, however, CAT LLC believes that the Historical Recovery Period should not be less than 24 months or more than five years. … 15.43 393 3,654,035.00 50.91 394 521,279.00 7.26 395 410,769.00 5.72 396 2,622,813.00 36.54 397 554,541.44 7.73 398 179,200.00 2.50 399

Form PF; Reporting Requirements for All Filers

Federal Register · Proposed Rule · Apr 24, 2026

DATES: This proposal was published in the Federal Register on April 24, 2026. Comments should be received on or before June 23, 2026. … 24. Are there certain types of reference assets that are easy to report on a “look through” basis? If so, which ones and why? 25.

Regulation Crypto Assets

Federal Register · Proposed Rule · Aug 21, 2026

For example, securities issued pursuant to the Commission's existing exemptions may be restricted securities  398 or otherwise subject to resale restrictions. 399 Those exemptions also may limit … 230.144(a)(3)(ii) (providing that the term “restricted securities” incudes “[s]ecurities acquired from the issuer that are subject to the resale limitations of § 230.502(d) under Regulation D”). 399

Order Competition Rule

Federal Register · Proposed Rule · Jan 3, 2023

Securities Exchange Act Release Nos. 94310 (Feb. 24, 2022), 87 FR 11748 (Mar. 2, 2022); 94309 (Feb. 24, 2022), 87 FR 11763 (Mar. 2, 2022); 94308 (Feb. 24, 2022), 87 FR 11755 (Mar. 2, 2022); 94307 (Feb. … 24, 2022), 87 FR 11787 (Mar. 2, 2022).

Amendments Regarding the Definition of “Exchange” and Alternative Trading Systems (ATSs) That Trade U.S. Treasury and Agency Securities, National Market System (NMS) Stocks, and Other Securities

Federal Register · Proposed Rule · Mar 18, 2022

24. … 399  17 CFR 242.1001(c).

Modernization of Beneficial Ownership Reporting

Federal Register · Rule · Nov 7, 2023

For example, several commenters disagreed with the Commission's technological advancement-based justifications for the proposed amendments, 399 some of whom raised many of the same concerns that they … See DERA Memorandum at nn.3 & 24.

Conformed to Federal Register version

Agency decision · Agency decision

See, e.g., Comment Letter of Freeman Capital Management (July 24, 2022) (“Freeman Capital Management Comment Letter”); Invesco Comment Letter; T. … Morgan Asset Management Comment Letter; Capital Group Comment Letter; MFS Comment Letter. 399 See, e.g., J.P. Morgan Asset Management Comment Letter.