Documents
Briefs, oral arguments, agency decisions and the Federal Register.
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Federal Register · Rule · Jan 7, 2005
(Jun. 24, 1996). This letter related to non-ABS rather than ABS, but the concept has been subsequently extended to ABS by the staff. … Apart from the two conditions for the exemption, we also are clarifying, as proposed and consistent with a similar provision in our communications exemptions for business combination transactions, 399
70 FR 1506Securities and Exchange CommissionThe Enhancement and Standardization of Climate-Related Disclosures for Investors
Federal Register · Proposed Rule · Apr 11, 2022
24. … • Scope 1 emissions as direct GHG emissions from operations that are owned or controlled by a registrant; 399 399 See proposed 17 CFR 229.1500(p).
87 FR 21334Securities and Exchange CommissionFederal Register · Proposed Rule · Nov 23, 2012
These issues have been the focus of numerous comments to the Commission and other regulators, Congressional inquiries, and other public dialogue. 24 24 See, e.g., letter from Senator Tim … Settlement Procedures And Counterparty Risk Management at 11-15. 398 See OTC Derivatives Dealers, Exchange Act Release No. 39454 (Dec. 17, 1997), 62 FR 67940 (Dec. 30, 1997). 399
77 FR 70214Securities and Exchange CommissionFederal Register · Rule · Aug 12, 2014
conducted through a foreign branch.\398\ The final rule has been revised from the proposal to further provide that the person should [[Page 47324]] count all dealing transactions of its conduit affiliates.\399 … \399\ See Exchange Act rule 3a71-3(b)(2)(ii).
79 FR 47278Securities and Exchange CommissionExecutive Compensation and Related Person Disclosure
Federal Register · Rule · Sep 8, 2006
Item 403 also requires disclosure of arrangements known to the company that may result in a change in control of the company. 400 397 Item 403(a). 398 Item 403(b). 399 … Revising the cite “Item 18.15” to read “Item 18.16” in Instruction 8.a. to Item 24.
71 FR 53158Securities and Exchange CommissionFederal Register · Proposed Rule · Nov 5, 2013
104 17 CFR 230.405. 105 17 CFR 240.3b-2. 106 17 CFR 230.405. 107 17 CFR 240.3b-7. 24. … We believe requiring intermediaries to provide updated material on this basis, rather than at any regular intervals, should help to minimize the ongoing burden on intermediaries. 399 Pursuant
78 FR 66428Securities and Exchange CommissionFederal Register · Rule · Aug 3, 2023
The compliance date for the tailored shareholder report requirements ends 18 months after the effective date of Jan. 24, 2023. … additional reporting costs as a result of this amendment, as one commenter suggested, we believe these costs will generally be related to funds adjusting their systems to a different data language. 399
88 FR 51404Securities and Exchange CommissionFederal Register · Rule · Jul 9, 2014
conducted through a foreign branch. 398 The final rule has been revised from the proposal to further provide that the person should count all dealing transactions of its conduit affiliates. 399 … to mean the direct or indirect power to direct or cause the direction of the management and policies of a person, whether through the ownership of voting securities, by contract or otherwise. 399
79 FR 39068Securities and Exchange CommissionFederal Register · Rule · Dec 15, 2023
See CFTC No Action Letter 17-17 (Mar. 24, 2017) (issued by the CFTC's Division of Market Oversight). … An SBSEF generally should produce records within 24 hours unless there are unusual circumstances.
88 FR 87156Securities and Exchange CommissionSecurities Whistleblower Incentives and Protections
Federal Register · Rule · Jun 13, 2011
In re Iannochino, 242 F.3d 36, 46 (1st Cir. 2001) (quoting Restatement (Second) of Judgments § 24 (1982)) (internal quotation marks omitted). See also Airframe Systems, Inc. v. … One commenter noted that the proposed rule is especially important because many firms require employees to sign confidentiality agreements. 399 399 See letter from POGO.
76 FR 34300Securities and Exchange CommissionFederal Register · Proposed Rule · Dec 8, 2004
DATES: Comments should be submitted on or before January 24, 2005. … Question 24.
69 FR 71126Securities and Exchange CommissionNationally Recognized Statistical Rating Organizations
Federal Register · Rule · Sep 15, 2014
See 15 U.S.C. 78o-7(d)(2)(B). 399 See 15 U.S.C. 78u-3. … at 24. 885 See id. at 27-37. See also id.
79 FR 55078Securities and Exchange CommissionThe Enhancement and Standardization of Climate-Related Disclosures for Investors
Federal Register · Rule · Mar 28, 2024
California Air Resources Board, No. 2:24-cv-00801 (D. C.D. Cal. Jan. 30, 2024). … Reform, Sunrise Project et al.; CalSTRS; Eni SpA; PRI; TotalEnergies; and Wellington Mgmt. 399 See, e.g., letters from Amer. for Fin.
89 FR 21668Securities and Exchange CommissionRegistration and Regulation of Security-Based Swap Execution Facilities
Federal Register · Proposed Rule · Feb 28, 2011
swap product's terms and conditions; (2) the documentation relied on to establish the basis for compliance with the Exchange Act and rules and regulations thereunder, including the Core Principles; 399 … registered SB SEF has published on its Web site a notice of pending request for approval with the Commission and a copy of the submission, concurrent with the filing of a submission with the Commission. 399
76 FR 10948Securities and Exchange CommissionNationally Recognized Statistical Rating Organizations
Federal Register · Proposed Rule · Jun 8, 2011
preliminary credit rating” includes any credit rating, any range of ratings, or any other indications of a credit rating published prior to the assignment of an initial credit rating for a new issuance. 399 … Reform and Consumer Protection Act, 76 FR at 4503-4505 (Jan. 26, 2011). 396 Id. 397 15 U.S.C. 78o-7(s). 398 See proposed new paragraph (a) of Rule 17g-7. 399
76 FR 33420Securities and Exchange CommissionFacilitating Shareholder Director Nominations
Federal Register · Rule · Sep 16, 2010
note that once a nominee is elected to the board of directors, that director will be subject to State law fiduciary duties and owe the same duty to the corporation as any other director on the board. 399 … shareholder or group and the nominee that we are adopting, combined with the fact that any nominee elected will be subject to fiduciary duties, should help address any “special interest” concerns. 399
75 FR 56668Securities and Exchange CommissionRegistration of Municipal Advisors
Federal Register · Rule · Nov 12, 2013
24 See infra Section III.A.1.c.iii. … on those activities related to investment of the proceeds of municipal securities and related escrow investments, with respect to which there has been significant enforcement activity. 403 399
78 FR 67468Securities and Exchange CommissionIncentive-Based Compensation Arrangements
Federal Register · Proposed Rule · Jun 10, 2016
policy_area%5B%5D=24 . … Journal of Financial Intermdiation 24, 487-513.
81 FR 37670Treasury DepartmentComptroller of the CurrencyFederal Register · Rule · Aug 13, 2012
A final determination has not yet been issued. 509 See section 1a(24) of the CEA, 7 U.S.C. 1a(24). 510 See section 1a(25) of the CEA, 7 U.S.C. 1a(25). … Rule 1.3(xxx)(2) increases legal certainty that these types of agreements, contracts, and transactions are swaps. 1177 CEA section 1a(24), 7 U.S.C. 1a(24)(definition of a “foreign exchange forward
77 FR 48208Commodity Futures Trading CommissionSecurities and Exchange CommissionFederal Register · Rule · Nov 16, 2015
and others opposing it. 25 24 See, e.g., AngelList Letter; Arctic Island Letter 4; Campbell R. … The Commission expects that only in unusual circumstances would a funding portal be permitted to delay furnishing records for more than 24 hours.
80 FR 71388Securities and Exchange Commission
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