Documents

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

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.

The Enhancement and Standardization of Climate-Related Disclosures for Investors

Federal Register · Rule · Mar 28, 2024

See also U.S. … See, e.g., U.S.

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

Federal Register · Rule · Jan 14, 2021

and non-U.S. issuers are excluded from Rule 504 proceeds used in this estimate. … and non-U.S. issuers are excluded from Rule 504 proceeds used in this estimate.

Regulation Best Interest: The Broker-Dealer Standard of Conduct

Federal Register · Rule · Jul 12, 2019

See U.S. … (Papers & Proc.) 423 (2011).

SECURITIES AND EXCHANGE COMMISSION

Agency decision · Agency decision

Treasury, U.S. government agency, U.S. government sponsored entity, municipal, non-U.S. sovereign, private fund, registered fund, other).268 We are also adopting a modification from the proposal to add … See Concept Release on the U.S.

Consolidated Audit Trail

Federal Register · Rule · Aug 1, 2012

Under this definition, the non-U.S. broker-dealer referred to above is the “customer” of the U.S. broker-dealer for purposes of the rule. … Because the Rule as adopted does not require a non-U.S. broker-dealer placing orders in NMS securities through a U.S. broker-dealer to provide information about its customers to the consolidated audit

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

Federal Register · Rule · Jan 31, 2014

Trading) (Feb. 2012); BoA. 423   See BoA; RBC; LSTA (Feb. 2012). … An obligation guaranteed by the U.S. or an agency of the U.S. is, in effect, an obligation of the U.S. or that agency.

Conflict Minerals

Federal Register · Rule · Sep 12, 2012

See also U.S. … The 2009 Statistics of U.S. Businesses from the U.S.

Regulation Systems Compliance and Integrity

Federal Register · Proposed Rule · Apr 14, 2023

Using daily reports of U.S. … Id. 423   See paragraph (d)(1) of proposed Rule 10. 424   See section II.B.3.b (discussing these proposed requirements in more detail).

Conformed to Federal Register version

Agency decision · Agency decision

Among other things, the amendments require covered clearing agencies for U.S. … Compliance by the direct participants of a U.S.

Asset-Backed Securities

Federal Register · Proposed Rule · May 3, 2010

See U.S. … U.S.

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

For U.S. … See NMS Stock ATS Adopting Release, supra note 2, at 38791. 423   See Rule 304(a)(1)(i).

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

The U.S. … See 2023 U.S.

Initial Decision: J.W. Barclay & Co., Inc., John A. Bruno, Michael J. Wills, Edgar B. Alacan, Emmanuel P. Cube, Mayer Dallal, Danoo Noor, Sr, Emanuele A. Scarso, Michael B. Scott; Initial Decision Release No. 239; File No. 3

Agency decision · Agency decision

Kerlikowske liked to deal with different brokers to get investment ideas from multiple sources (Tr. 423). … Naftalin , 441 U.S. 768, 773 n.4 (1979).

Note: This document was created by the Staff of the Division of Investment

Agency decision · Agency decision

(C) Non-U.S. creditors (ii) Secured borrowing (A) U.S. depository institutions (B) U.S. creditors that are not U.S. depository institutions (C) Non-U.S. creditors 58. … Individual counterparty exposure table The tables at Questions 412 and 423 that collect the reporting fund’s borrowing and collateral received and lending and posted collateral for each identified creditors

Procedural Requirements and Resubmission Thresholds Under Exchange Act Rule 14a-8

Federal Register · Proposed Rule · Dec 4, 2019

The U.S. … For related statistics, see letters in response to the Proxy Process Roundtable from U.S.

Recordkeeping and Reporting Requirements for Security-Based Swap Dealers, Major Security-Based Swap Participants, and Broker-Dealers

Federal Register · Rule · Dec 16, 2019

Paragraph (c) references instruments such as U.S. Defense Savings Stamps and U.S. … See U.S.

Updated Disclosure Requirements and Summary Prospectus for Variable Annuity and Variable Life Insurance Contracts

Federal Register · Rule · May 1, 2020

Office of Investor Education and Advocacy of the U.S. … internet and 73 percent of U.S. adults 65 and older using the internet.

Standards for Covered Clearing Agencies

Federal Register · Rule · Oct 13, 2016

by FSOC is a U.S. … U.S. Treasury securities would not fall under the definition of qualifying liquid resources. The Commission understands that U.S.