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Briefs, oral arguments, agency decisions and the Federal Register.
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Duties of Brokers, Dealers, and Investment Advisers
Federal Register · Notice · Mar 7, 2013
Capital Gains Research Bureau, Inc., 375 U.S. 180, 194 (1963). … SEC, 482 F.3d 481 (DC Cir. 2007).
78 FR 14848Securities and Exchange CommissionFAST Act Modernization and Simplification of Regulation S-K
Federal Register · Rule · Apr 2, 2019
423 The need for, and objectives of, the final rules are discussed in more detail throughout this release, particularly in Sections I and II, supra. … Except as provided in the Commission's rules or by U.S.
84 FR 12674Securities and Exchange CommissionConformed to Federal register version
Agency decision · Agency decision
SUMMARY: The U.S. … Non-U.S. Transfer Agents Country # TAs Canada 16 India 4 Germany 1 Hong Kong 1 China 1 Philippines 1 Colombia 1 All Non-U.S.
Securities and Exchange CommissionAsset-Backed Securities Disclosure and Registration
Federal Register · Rule · Sep 24, 2014
See U.S. … outside the U.S. as ABS backed by assets originated within the U.S.
79 FR 57184Securities and Exchange CommissionInvestment Company Reporting Modernization
Federal Register · Proposed Rule · Jun 12, 2015
The U.S. … Issuer type (corporate, U.S. Treasury, U.S. government agency, U.S. government sponsored entity, municipal, non-U.S. sovereign, private fund, registered fund, other).
80 FR 33590Securities and Exchange CommissionFederal Register · Notice · Dec 30, 2015
The terms “U.S. … SEC, 482 F.3d 481 (D.C. Cir. 2007).
80 FR 81614Securities and Exchange CommissionRegulation NMS: Minimum Pricing Increments, Access Fees, and Transparency of Better Priced Orders
Federal Register · Rule · Oct 8, 2024
482 IEX Letter V at 7. … Werner, U.S.
89 FR 81620Securities and Exchange CommissionFederal Register · Proposed Rule · Mar 24, 2020
For example, during 2014, trading in U.S. … See Cboe: U.S.
85 FR 16726Securities and Exchange CommissionFederal Register · Proposed Rule · Jan 24, 2020
The assets held by U.S. … 423 See supra notes 29-32 and accompanying text. 240.
85 FR 4446Securities and Exchange CommissionDisclosure of Order Execution Information
Federal Register · Proposed Rule · Jan 20, 2023
Market centers may use the information to compete on the basis of execution quality. 482 See 17 CFR 242.600(b)(46). C. … See supra note 423.
88 FR 3786Securities and Exchange CommissionSecurities Whistleblower Incentives and Protections
Federal Register · Rule · Jun 13, 2011
Chamber of Commerce, U.S. … Green, 411 U.S. 792 (1973).
76 FR 34300Securities and Exchange CommissionFAST Act Modernization and Simplification of Regulation S-K
Federal Register · Proposed Rule · Nov 2, 2017
Matthew DeLesDernier, Investment Company Rulemaking Office, Division of Investment Management, at (202) 551-6792; U.S. … Levinson, 485 U.S. 224 (1998) at 231 quoting TSC Industries, Inc. v. Northway, Inc., 426 U.S. 438 (1976) at 448-449.
82 FR 50988Securities and Exchange CommissionFederal Register · Proposed Rule · Nov 10, 2016
In 2011, the U.S. … U.S.
81 FR 79122Securities and Exchange CommissionFederal Register · Rule · Jun 30, 2023
Aaron, 446 U.S. at 696. … Jones, 482 F.2d 1093 (5th Cir. 1973)); Stier v.
88 FR 42546Securities and Exchange CommissionFederal Register · Notice · Nov 24, 2014
Sales material regarding mutual funds is already subject to a separate regulatory regime, including FINRA Rule 2210 and Securities Act of 1933 (“Securities Act”) Rule 482, and, subject to certain exceptions … effectuate that mandate while minimizing the effect on information flow. 97 The remainder of the NVCA letter addressed more general matters concerning the strength and competitiveness of the U.S
79 FR 69939Securities and Exchange CommissionFederal Register · Proposed Rule · Feb 8, 2022
The U.S. … downgrades of U.S.
87 FR 7248Securities and Exchange CommissionInvestment Company Reporting Modernization
Federal Register · Rule · Nov 18, 2016
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 … See Concept Release on the U.S.
81 FR 81870Securities and Exchange CommissionDisclosure of Order Handling Information
Federal Register · Rule · Nov 19, 2018
The CRSP U.S. … While the XBRL format enables users to capture the rich complexity of financial information presented in accordance with U.S.
83 FR 58338Securities and Exchange CommissionFederal Register · Notice · Dec 31, 2001
Securities and Exchange Commission (the “SEC”) or any state, or [which] that is exempt from such registration, except that an investment company prospectus published pursuant to SEC Rule 482 … Please contact your representative for information on CMOs and how they react to different market conditions.] [$5,000 Minimum Income Paid Monthly Implied Rating/Volatility Rating U.S.
66 FR 67586Securities and Exchange CommissionDisclosure of Order Execution Information
Federal Register · Rule · Apr 15, 2024
Overview of Need for Rule Modernization The U.S. equity markets have evolved significantly in the last couple of decades. … Dunn Professor of Finance, Tepper School, Carnegie Mellon University and former Chief Economist, U.S.
89 FR 26428Securities and Exchange Commission
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