Documents

SECURITIES AND EXCHANGE COMMISSION

Agency decision · Agency decision

See id. 482 The total initial monetized hourly burden was estimated at $2,627,875. … The CRSP U.S.

Use of Derivatives by Registered Investment Companies and Business Development Companies

Federal Register · Rule · Dec 21, 2020

Money market funds, for example, will continue to be able to invest in when-issued U.S. … The most common type of when-issued trading involves U.S. Treasury securities. For example, on Monday, October 19th, the U.S.

A. Submission Types Accepted for Electronic Filing

Agency decision · Agency decision

Filing by certain investment companies of Rule 482 advertising in accordance with Rule 497 and the NOTE to Rule 482(c) 497AD 3 REGISTRATION OF SECURITIES BY CERTAIN INVESTMENT COMPANIES PURSUANT TO RULE … SEC U.S. Securities and Exchange Commission.

Filer Manual – Volume II

Agency decision · Agency decision

You may make the payment to U.S. Bank by wire transfer or check by mail. U.S. Bank does not support hand delivery. We cannot accept personal checks for payment of fees. U.S. Bank is the U.S. … The Commission‟s lockbox number with U.S.

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

Federal Register · Proposed Rule · Mar 31, 2020

Would the proposed amendments provide sufficient clarity to issuers using social media to make concurrent U.S. and non-U.S. offerings? … for Unregistered Securities Offerings, 2009-2017 (U.S.

Amendments to Regulation SHO

Federal Register · Proposed Rule · Apr 20, 2009

The Commission stated its belief that “trades negotiated in the U.S. on a U.S. exchange are domestic, not foreign trades. … . trades to U.S. regulatory and self-regulatory authorities and, where applicable, to U.S. reporting systems.”

Listing Standards for Recovery of Erroneously Awarded Compensation

Federal Register · Proposed Rule · Jul 14, 2015

Listed U.S. … McMahon, 482 U.S. 220, 228, 230 (1987)). 237   See Cohen v.

A. Submission Types Accepted for Electronic Filing

Agency decision · Agency decision

Filing by certain investment companies of Rule 482 advertising in accordance with Rule 497 and the NOTE to Rule 482(c) 497AD 3 REGISTRATION OF SECURITIES BY CERTAIN INVESTMENT COMPANIES PURSUANT TO RULE … SEC U.S. Securities and Exchange Commission.

Registration of Municipal Advisors

Federal Register · Proposed Rule · Jan 6, 2011

Dodd, U.S. Senate Committee on Banking, Housing and Urban Affairs, to Elizabeth M. Murphy, Secretary, Commission, dated February 2, 2010. … . state or the country outside the U.S.).

Order Competition Rule

Federal Register · Proposed Rule · Jan 3, 2023

86 FR at 18754. 482   See id. … The U.S.

Joint Industry Plan; Order Approving the National Market System Plan Governing the Consolidated Audit Trail

Federal Register · Notice · Nov 23, 2016

at Appendix C, Section C.10(d). 482   Id. at Section 6.10(c). … at 3-4 (citing U.S.

Executive Compensation and Related Person Disclosure

Federal Register · Rule · Sep 8, 2006

Beller, Director, Division of Corporation Finance, U.S. … Levinson , 485 U.S. 224 (1988) and TSC Industries v. Northway , 426 U.S. 438 (1976). The material factors that require disclosure will vary depending on the facts and circumstances.

EDGARLink Filer Manual

Agency decision · Agency decision

advertising in accordance with Securities Act Rule 497 and the Note to Rule 482(c) 497AD 3 Rule 482 February 2005 A-33 EDGAR Release 8.10 EDGARLink Filer Manual (Volume I) Filing Description Submission … SEC U.S. Securities and Exchange Commission.

Money Market Fund Reform

Federal Register · Proposed Rule · Jul 8, 2009

See U.S. … See rule 482(b)(4) under the Securities Act of 1933 [17 CFR 230.482]; rule 34b-1(a).

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

Federal Register · Notice · Oct 16, 2020

However, the Commission is not a party to the CAT NMS Plan. 423 By statute, the Commission is the regulator of the Participants, and the Commission oversees and enforces their compliance with the … 481   See proposed Section 6.1(v) and proposed Appendix D, Section 9.1 of the CAT NMS Plan. 482   See PII Exemption Order, supra note 5, at 16156.

Qualifications of Accountants

Federal Register · Rule · Dec 11, 2020

Mukerjee, Branch Chief, Investment Adviser Regulation Office, Division of Investment Management, at (202) 551-6792, U.S. … Nilabhra Bhattacharya, Frank Ecker, Per Olsson, and Katherine Schipper, Direct and Mediated Associations among Earnings Quality, Information Asymmetry and the Cost of Equity, 87, Acct Rev. (2012) 449-482

Conformed to Federal Register version

Agency decision · Agency decision

One commenter combined its support for transparency of ATSs that trade U.S. Government securities and Fixed Income ATSs. … Further, we revised Form ATS-N to remove certain terms that 481 See supra note 475 and accompanying text. 482 See Part II, Items 4, 5, 6, and 7 of adopted Form ATS-N; Part III, Items 2, 3, 5, 6, 11,

Credit Risk Retention

Federal Register · Rule · Dec 24, 2014

Yousuf, 560 U.S. 305, 316-17 (2010). … branch or office located in the United States or any U.S. state (an “unincorporated U.S.

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

Federal Register · Notice · Dec 5, 2024

. and non-U.S. laws. … Two U.S. GNFs compile revenue by service line.

Shareholder Approval of Executive Compensation and Golden Parachute Compensation

Federal Register · Proposed Rule · Oct 28, 2010

Compliance with the proposed amendments by affected U.S. issuers would be mandatory. … Filers 482 2 964 723 241 96,400 SRC Filers 100 0 0 0 0 $0 Reg.