Documents

Temporary Rule Regarding Principal Trades With Certain Advisory Clients

Federal Register · Rule · Sep 28, 2007

Plaze, Associate Director, Division of Investment Management, U.S. … Lewis, 444 U.S. 11, 17 (1979).

Accredited Investor Definition

Federal Register · Rule · Oct 9, 2020

Employer Firms,” a study for the Office of Advocacy, U.S. Small Bus. Admin. … Foreign Firms Leave 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.

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.

Plain English Disclosure

Federal Register · Proposed Rule · Jan 21, 1997

Rev. 31 423 (1983). … We will offer our aggregate principal amount of up to notes, in one or more series, U.S. $6,428,598,500, or the equivalent in U.S., foreign, and thereof in other currencies, including composite

OFFICE OF THE INVESTOR ADVOCATE

Agency decision · Agency decision

U.S. … Shearson/American Express, Inc., 482 U.S. 220, 229-30 (1987) (parties to arbitration trade “the procedures and opportunity for review of the courtroom for the simplicity, informality and expedition of

Self-Regulatory Organizations; KalshiEX LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Listing Standards for Security Futures Products

Federal Register · Notice · Sep 23, 2026

Supp. 2d 482, 498 (S.D.N.Y. 2004) (“As a matter of law, defendants wrongly characterize certain indicia of futures contract [ sic ] as essential features of such contracts. … Pursuant to Rule 14.10(e), at the scheduled close of each regular trading session in the U.S. equity cash market (ordinarily 4:00 p.m.

Safeguarding Advisory Client Assets

Federal Register · Proposed Rule · Mar 9, 2023

482  Proposed rule 223-1(a)(1)(ii). … See U.S.

Shortening the Securities Transaction Settlement Cycle

Federal Register · Proposed Rule · Feb 24, 2022

proposed amendment to Rule 204-2 that are provided to the Commission in the context of its regulatory and examination program would be kept confidential subject to the provisions of applicable law. 423 … 423   See Section 210(b) of the Advisers Act, 15 U.S.C. 80b-10(b).

SECURITIES AND EXCHANGE COMMISSION

Agency decision · Agency decision

(emphasis added). 11 See Standard Forex II, 1996 WL 435440, at *10, 1996 U.S. Dist. LEXIS 14778, at *29 (E.D.N.Y. 1996). See also CFTC v. Intern. Fin. Servs., 323 F. … Supp. 2d 482, 498 (S.D.N.Y. 2004) (“As a matter of law, defendants wrongly characterize certain indicia of futures contract [sic] as essential features of such contracts.

Rules Relating to Security-Based Swap Execution and Registration and Regulation of Security-Based Swap Execution Facilities

Federal Register · Proposed Rule · May 11, 2022

an SBS is guaranteed by a U.S. person; or a non-U.S. person who, in connection with its SBS dealing activity, uses U.S. personnel located in a U.S. branch or office, or personnel of an agent of such non-U.S … non-U.S. member.

Standards for Covered Clearing Agencies

Federal Register · Proposed Rule · Mar 26, 2014

423   See supra Part 0 (discussing proposed Rule 17Ad-22(e)(17)) and infra Part 0 (providing the proposed rule text). 7. … Proposed Rule 17Ad-22(e)(9) Proposed Rule 17Ad-22(e)(9) contains substantially similar provisions to Rule 17Ad-22(d)(5). 482 As a result, a respondent clearing agency would already have written

Regulation Systems Compliance and Integrity

Federal Register · Proposed Rule · Mar 25, 2013

See U.S. … , as of February 4, 2013. 547 U.S. exchanges face competition from other U.S. exchanges and from non-U.S. exchanges. 547   See NASDAQ Company List, available at: http://www.nasdaq.com

Form CRS Relationship Summary; Amendments to Form ADV; Required Disclosures in Retail Communications and Restrictions on the Use of Certain Names or Titles

Federal Register · Proposed Rule · May 9, 2018

Securities and Exchange Commission, 482 F.3d 481 (D.C. … The majority of SEC-registered investment advisers report that they provide portfolio management services for individuals and small businesses. 482 482  Of the approximately 12,700 SEC-registered

Amendments for Small and Additional Issues Exemptions Under the Securities Act (Regulation A)

Federal Register · Rule · Apr 20, 2015

Letter; U.S. … David Schweikert, et al, 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.

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

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.

Joint Industry Plan; Order Approving, as Modified, a National Market System Plan Regarding Consolidated Equity Market Data

Federal Register · Notice · Aug 11, 2021

The U.S. Court of Appeals for the D.C. … The U.S. Court of Appeals for the D.C.

Disclosure Regarding Market Timing and Selective Disclosure of Portfolio Holdings

Federal Register · Proposed Rule · Dec 17, 2003

least once daily, Monday through Friday, at a specific time or times as determined by their boards. 7 Typically, mutual funds calculate their NAVs once each day at or near the close of the major U.S … add 35,545 hours to the burden of completing Forms N-1A, N-3, N-4, and N-6. 75 We estimate that this additional burden would equal total internal costs of $1,608,411 annually, or approximately $423