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Briefs, oral arguments, agency decisions and the Federal Register.
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Federal Register · Rule · Aug 22, 2019
ICI 2/4/2013 Letter. 422 See American Council of Life Insurers 11/19/2018 Letter; ICI 2/4/2013 Letter; ICI 5/11/2015 Letter; ICI 11/19/2018 Letter; SIFMA AMG 11/19/2018 Letter. 423 … See End-User Exception to Mandatory Clearing of Security-Based Swaps; Proposed Rule, Exchange Act Release No. 63556 (Dec. 15, 2010), 75 FR 79992 (Dec. 21, 2010). 482 See paragraphs (b)
84 FR 43872Securities and Exchange CommissionConformed to Federal Register version
Agency decision · Agency decision
O’Hagan, 521 U.S. at 673 (quoting Chevron, 467 U.S. at 844). … Dudenhoeffer, 573 U.S. 409, 429 (2014).
Securities and Exchange CommissionFederal Register · Proposed Rule · Jul 27, 2022
company's annual or special meeting, and it facilitates the ability of all shareholders to consider and vote on such proposals.”); Alan Palmiter & Frank Partnoy, Corporations: A Contemporary Approach 482 … For example, the proposed amendment could have a greater effect on U.S. public companies relative to those that are not subject to the federal proxy rules, namely foreign companies and U.S. private companies
87 FR 45052Securities and Exchange CommissionConformed to Federal Register version
Agency decision · Agency decision
See, e.g., Letter to John Coates, Acting Director, Division of Corporation Finance, U.S. … For example, the proposed amendment could have a greater effect on U.S. public companies relative to those that are not subject to the federal proxy rules, namely foreign companies and U.S. private companies
Securities and Exchange CommissionFederal Register · Proposed Rule · Jun 30, 2004
Bancorp (“U.S. … 422 15 U.S.C. 78c(f). 423 15 U.S.C. 78w(a)(2).
69 FR 39682Securities and Exchange CommissionFederal Register · Rule · Nov 16, 2015
One commenter suggested that nonresident funding portals be required to clearly indicate on their Web sites that they are organized and operating outside of the U.S. and indicate whether a U.S. or non-U.S … See also U.S.
80 FR 71388Securities and Exchange CommissionRegulation of NMS Stock Alternative Trading Systems
Federal Register · Proposed Rule · Dec 28, 2015
Please be specific. 423. What mechanisms are available for NMS Stock ATSs to perform outbound routing? … Please be specific. 482.
80 FR 80998Securities and Exchange CommissionReport to Congress on Regulation A / Regulation D Performance
Agency decision · Agency decision
Kothari, DERA Economic and Risk Outlook, U.S. SEC. … Historical Returns of U.S.
Securities and Exchange CommissionSpecial Purpose Acquisition Companies, Shell Companies, and Projections
Federal Register · Rule · Feb 26, 2024
482 Proposing Release, supra note 7, at 29477. … While U.S.
89 FR 14158Securities and Exchange CommissionFederal Register · Rule · Jan 13, 2025
Among other things, the amendments require covered clearing agencies for U.S. … Compliance by the direct participants of a U.S.
90 FR 2790Securities and Exchange CommissionFederal Register · Rule · Jun 29, 2005
The best execution obligation requires a broker-dealer to seek for its customer's transaction the most favorable terms reasonably available under the circumstances. 482 This standard is premised on … the practical ability of the broker-dealer to determine whether a displayed price is reasonably obtainable under the circumstances. 482 See Securities Exchange Act Release No. 37619A (Sept
70 FR 37496Securities and Exchange CommissionPrivate Fund Advisers; Documentation of Registered Investment Adviser Compliance Reviews
Federal Register · Rule · Sep 14, 2023
We continue to believe that U.S. GAAP is well understood by U.S. investors. U.S. … U.S.
88 FR 63206Securities and Exchange CommissionAgency decision · Agency decision
As a result, the aff,rliate acquired I,423 shares of Class B-1 Common Stock, 1,423 shates of Class B-2 Common Stock, 2,849 shares of Class B-3 Common Stock, and 313,789 shares of Class B-4 Common Stock … Indian Head, lnc,,559F.2d1202 (2d Cir'), cert, denied,434 u.s. 897 (t977).
Securities and Exchange CommissionPublication or Submission of Quotations Without Specified Information
Federal Register · Rule · Oct 27, 2020
Thirty-one percent of issuers followed the Exchange Act, Regulation A, or the U.S. … The U.S. Bank reporting standard applies to companies in the OTCQX U.S.
85 FR 68124Securities and Exchange CommissionFederal Register · Proposed Rule · Dec 27, 2004
See reproposed Rule 600(b)(78). 423 See Section III.G.1. of the Proposing Release. 424 See supra Section II.A.4. … Currently, private linkages are widely used in the equity markets, particularly for trading in Nasdaq stocks. 482 Moreover, the Commission understands that the ITS facilities that currently provide
69 FR 77424Securities and Exchange CommissionFederal Register · Notice · Jul 2, 2024
Fox Television Stations, Inc., 556 U.S. 502 (2009). … Comment Letter from U.S. Chamber of Commerce at 4.
89 FR 54895Securities and Exchange CommissionFederal Register · Rule · Dec 15, 2023
481 See Letter from Chris Barnard to Commission at 2 (May 21, 2022) (submitted under cover email dated June 6, 2022). 482 See id. … a U.S. person.
88 FR 87156Securities and Exchange CommissionFederal Register · Rule · Jan 21, 2025
See, e.g., 15 U.S. … by personnel of an agent of such non-U.S. person located in a U.S. branch or office (“ANE Activity”).
90 FR 7250Securities and Exchange CommissionTransaction Fee Pilot for NMS Stocks
Federal Register · Rule · Feb 20, 2019
421 See Proposing Release, supra note 2, at 13033. 422 See id. 423 See id. … Table 2—Summary of Transaction-Based Fee Schedules for U.S.
84 FR 5202Securities and Exchange CommissionFederal Register · Notice · Apr 21, 2021
0.000 125.23 417 0.0000069 125.23 418 0.00001 125.22 419 0.0000068 125.22 420 0.000007 125.22 421 0.0000068 125.22 422 0.00 125.22 423 … 0.00000 125.14 476 0.0000043 125.14 477 0.00000 125.14 478 0.000004 125.14 479 0.000004 125.14 480 0.000004 125.14 481 0.00 125.14 482
86 FR 21050Securities and Exchange Commission
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