Documents

Amendments to Regulation SHO

Federal Register · Rule · Mar 10, 2010

Vulpi, dated Sept. 24, 2008; letter from Maureen Christensen, dated Oct. 9, 2008; letter from Peter B. … (discussing short sale orders marked “short exempt”). 398   See infra Section III.B.; see also Rules 201(c) and 201(d) As discussed in the Proposal, 399 a trading center must

Proposed Rule Amendments for Small and Additional Issues Exemptions Under Section 3(b) of the Securities Act

Federal Register · Proposed Rule · Jan 23, 2014

DATES: Comments should be received by March 24, 2014. … Any amendments to the form would have to comply with the requirements of the applicable items and be filed under cover of Form 1-K/A. 401 398   See Section II.C.3.b(2). above. 399

Regulation Best Interest: The Broker-Dealer Standard of Conduct

Federal Register · Rule · Jul 12, 2019

398  Proposing Release at 21600. 399   Id. … at 23-24 and footnote 41. b.

[Corrected to conform to Federal Register version]

Agency decision · Agency decision

with respect to investment strategies that are not plans or programs for the investment of the proceeds of municipal securities or the recommendation of and brokerage of municipal escrow investments. 399 … for the investment of proceeds of municipal securities that are not municipal derivatives or guaranteed investment contracts, and the recommendation of and brokerage of municipal escrow investments”). 399

Conflict Minerals

Federal Register · Rule · Sep 12, 2012

Lee”), Société Minière du Maniema SPRL (Mar. 21, 2012) (“Somima”), Verizon Communications (Jun. 24, 2011) (“Verizon”), and WGC II. … A number of commentators recommended and described specific phase-in periods that focused on issuers unable to determine the origins of their conflict minerals. 399 Although each of these approaches

Publication or Submission of Quotations Without Specified Information

Federal Register · Proposed Rule · Oct 30, 2019

years, the SEC has issued orders suspending or revoking the registrations of over 1,100 issuers pursuant to its authority under Section 12(j) of the Exchange Act for issuers with delinquent filings. 24 … In contrast, only 26 (two percent) of listed securities cases involved delinquent filings, 43 (four percent) involved pump-and-dumps, 278 (24 percent) involved financial fraud, 399 (34 percent) involved

Proposed Amendments to the National Market System Plan Governing the Consolidated Audit Trail To Enhance Data Security

Federal Register · Notice · Oct 16, 2020

been affected, as well as to the Participants and the Commission, promptly after any responsible Plan Processor personnel have a reasonable basis to conclude that a systems or data breach has occurred. 399 … and would not be required if the Plan Processor reasonably estimates the systems or data breach would have no or a de minimis impact on the Plan Processor's operations or on market participants. 399

Tailored Shareholder Reports, Treatment of Annual Prospectus Updates for Existing Investors, and Improved Fee and Risk Disclosure for Mutual Funds and Exchange-Traded Funds; Fee Information in Investment Company Advertisements

Federal Register · Proposed Rule · Nov 5, 2020

assets and liabilities, a schedule of investments that shows the amount and value of each security owned by the fund on that date, a statement of operations, and a statement of changes in net assets. 399 … See 17 CFR 210.3-18 and 210.6-10 [rules 3-18 and 6-10 of Regulation S-X]. 399   See sections 30(e)(1) through (4) of the Investment Company Act [15 U.S.C. 80a-29(e)(1) through (4)], and

Updated to include Federal Register corrections dated 10/14/14

Agency decision · Agency decision

See 2013 Staff Report on Credit Rating Agency Independence, pp. 21-24. … OF ECONOMIC PERSPECTIVES (Spring 2010), Volume 24, Number 2, p. 211–226; Daniel M.

Volume-Based Exchange Transaction Pricing for NMS Stocks

Federal Register · Proposed Rule · Nov 6, 2023

24. … Journal of Financial Economics 134.2 (2019): 381-399.

Private Fund Advisers; Documentation of Registered Investment Adviser Compliance Reviews

Federal Register · Rule · Sep 14, 2023

One commenter suggested that we should require additional detail in the statement of contributions and distributions. 399 We believe that it is important that the statement of contributions and distributions … in the statement of contributions and distributions, such as information about how each contribution and distribution was used and the dates of drawdowns from fund-level subscription facilities. 399

Disclosure of Order Handling Information

Federal Register · Proposed Rule · Jul 27, 2016

24. Do commenters believe that the rule should cover institutional orders placed both directly and indirectly with a broker-dealer? … The benefits and costs associated with this requirement are discussed in Section V.C.4. 399   See supra Section III.A.3.

Conformed to Federal Register Version

Agency decision · Agency decision

disruptions that the proposed review and feedback mechanism, with its specified time frames for each step of the process, would have caused in the context of M&A transactions or contested solicitations. 399 … On average, proxy research reports were delivered to clients 14 days before the meeting date [in] M&A transactions and 13 days in contested situations.”). 398 399 See supra note 279 and accompanying

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

Federal Register · Rule · Nov 14, 2019

AFR; Bean; Better Markets; Center for American Progress (CAP); Public Citizen; Volcker Alliance; and Data Boiler. 398   See, e.g., Bean; Better Markets; CAP; and Public Citizen. 399 … (d) * * * (3) Any purchase or sale of a security, foreign exchange forward (as that term is defined in section 1a(24) of the Commodity Exchange Act (7 U.S.C. 1a(24)), foreign exchange swap (as that term

Public Company Accounting Oversight Board; Notice of Filing of Proposed Rules on Firm Reporting

Federal Register · Notice · Dec 5, 2024

at VII:24, VIII:11. 21   Id. at D:3, II:5. … at 24. 27   See id. at 23-24 (footnote omitted).

Investment Adviser Marketing

Federal Register · Rule · Mar 5, 2021

Lauer, 2008 WL 4372896, at 24 (S.D. Fla. … [Used in: Part 1A, Items 1, 11, DRPs; Part 2A, Item 9; Part 2B, Item 3] 24.

Form CRS Relationship Summary; Amendments to Form ADV

Federal Register · Rule · Jul 12, 2019

See Exchange Act rules 17a-3(a)(24) and 17a-4(e)(10) as amended. … Persp. 24-10 (Dec. 2018), available at https://www.ici.org/pdf/per24-10.pdf . 933   See id.

Conformed to Federal Register Version

Agency decision · Agency decision

DATES: This proposal was published in the Federal Register on April 24, 2026. Comments should be received on or before June 23, 2026. … entries and cash lending entries, as is currently required, could lead to advisers having to complete Questions 42(b) and 43(b) for a larger number of counterparties, thereby increasing their costs. 399

Exemptions From the Proxy Rules for Proxy Voting Advice

Federal Register · Rule · Sep 3, 2020

disruptions that the proposed review and feedback mechanism, with its specified time frames for each step of the process, would have caused in the context of M&A transactions or contested solicitations. 399 … On average, proxy research reports were delivered to clients 14 days before the meeting date [in] M&A transactions and 13 days in contested situations.”). 399   See supra note 279 and accompanying

Regulation of NMS Stock Alternative Trading Systems

Federal Register · Proposed Rule · Dec 28, 2015

Please support your arguments. 24. … Please be specific. 399.