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Division of Investment Management

Agency decision · Agency decision

18 18 326 44 18 15 *** *** 23 *** *** 3,408 2023Q2 1,135 512 576 45 12 1,216 455 220 238 305 218 69 19 221 123 57 24 18 18 329 46 21 15 10 0 24 *** *** 3,463 2023Q3 1,160 526 585 46 13 1,229 464 226 … 90 24 380 266 117 121 *** *** 314 223 47 69 110 3,190 2022Q4 1,084 604 392 *** *** 217 165 45 *** *** 924 294 60 139 29 87 24 378 269 112 125 *** *** 313 219 43 75 113 3,222 2023Q1 1,040 601 351 ***

Division of Investment Management

Agency decision · Agency decision

Exposure Including IRDs Excluding IRDs Ratio (0,1.5) [1.5,3) [3,5) [5,10) 10 or more (0,1.5) [1.5,3) [3,5) [5,10) 10 or more Sep 2024 502 51 31 24 61 534 47 24 24 40 Oct 2024 518 47 29 31 62 544 52 … 23 24 44 Nov 2024 509 53 31 29 64 534 62 24 24 42 Dec 2024 513 51 36 27 59 535 62 24 23 42 Jan 2025 507 52 35 31 54 530 60 29 18 42 29 Feb 2025 504 54 36 29 56 527 60 28 23 41 Mar 2025 507 54 37

Division of Investment Management

Agency decision · Agency decision

** *** 44 330 *** *** 23 3,407 2023Q2 506 578 45 12 1,131 1,218 220 238 455 123 24 57 18 18 221 218 69 19 305 21 15 *** *** 46 333 *** *** 24 3,462 24 2023Q3 520 587 46 13 1,156 1,231 226 241 464 130 … 24 60 533 47 24 24 39 Oct 2024 518 47 29 31 61 544 52 23 24 43 Nov 2024 509 53 31 29 63 534 62 24 24 41 Dec 2024 513 51 36 27 58 535 62 24 23 41 Jan 2025 506 52 34 31 53 529 60 28 18 41 Feb 2025

Division of Investment Management

Agency decision · Agency decision

54 523 55 25 25 33 Jul 2024 498 57 23 28 59 525 56 23 24 37 Aug 2024 496 60 26 25 60 532 51 25 23 36 Sep 2024 501 50 31 24 61 532 47 24 24 40 Oct 2024 519 47 29 31 62 545 52 23 24 44 Nov 2024 510 … 53 31 29 64 535 62 24 24 42 Dec 2024 514 51 36 27 59 536 62 24 23 42 Fourth Calendar Quarter 2024 7.2 Analytics Office Industry Concentration Table 7.7: Percent of Aggregate Hedge Fund Net Asset

t1-(cA)

Agency decision · Agency decision

Talley Industries, Inc., 399 F.2d 396, 403 (2d Cir. 1968), cert. denied, 393 U.S. 1015 (1969)). , f . \ -7 - example, when an investment company and its affiliate act in concert or otherwise combine … You argue that price affects all participants equally because every participant will seek to obtain the best price possible. 24 Exercise of Ownership Rights.

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

Lassiter estimated his net worth at $5 to $10 million, and his annual income at $500,000 (Tr. 399). … Lassiter told Alacan that his objective was to own "good growth stocks and some speculative stocks" (Tr. 399).

Insilco Holding Co.: No Action, Interpretive and/or Exemptive Letter of March 18, 2003

Agency decision · Agency decision

L.P. and its related investors and 399 Venture Partners, Inc. Currently there are four market makers in Holdings' Common Stock, which trades on the Over-The-Counter Bulletin Board. … Elia http://www.sec.gov/divisions/corpfin/cf-noaction/insilco031803.htm Home | Previous Page Modified: 03/24/2003

Division of Investment Management

Agency decision · Agency decision

2,665 1,767 1,330 1,264 824 587 312 242 182 160 143 91 51 24 24 26,090 Aug 2024 16,749 2,699 1,785 1,367 1,302 833 565 317 248 184 162 141 95 52 26 24 26,548 Sep 2024 16,982 2,741 1,824 1,362 1,327 847 … 15 13 11 10 9 5 4 4 2 552 Sep 2024 148 91 87 67 67 24 16 14 12 10 9 5 4 4 3 561 Oct 2024 145 93 85 68 65 24 17 13 11 10 9 5 4 4 3 558 Nov 2024 151 97 86 70 65 24 16 13 12 11 10 6 4 4 3 570 Dec 2024

Division of Investment Management

Agency decision · Agency decision

1 *** *** 3,116 2025Q1 747 1,750 168 24 1 *** *** 3,108 2025Q2 784 1,765 171 24 1 *** *** 3,160 2025Q3 725 1,783 171 24 1 *** *** 3,147 2025Q4 725 1,821 177 27 1 *** *** 3,219 Table 2.27: Aggregate … 29 18 42 Feb 2025 504 55 36 29 56 528 60 28 23 41 Mar 2025 507 55 37 28 54 532 58 28 24 39 Apr 2025 512 53 31 26 54 537 56 24 22 37 29 May 2025 514 46 33 26 58 537 51 29 21 39 Jun 2025 508 53 33

Division of Investment Management

Agency decision · Agency decision

3,388 2021Q1 1,457 1,760 367 693 388 177 165 568 37 24 3,393 2021Q2 1,460 1,765 369 691 389 176 166 590 37 24 3,397 2021Q3 1,458 1,761 369 682 388 176 165 594 37 24 3,388 2021Q4 1,632 1,856 433 735 … Pension Plans 2020Q3 93 55 77 11 *** 18 10 *** 5 3 2 *** *** 1 2020Q4 89 59 81 *** *** 20 10 *** 9 *** 3 *** *** 1 2021Q1 83 55 73 *** *** 24 11 *** 7 *** 3 *** *** 1 2021Q2 105 52 57 24 *** 25 11

Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Certain Fees Based on the Rate of Inflation

Federal Register · Notice · Dec 12, 2024

37  12.0 Trading Platform Fee Threshold 15,000 15,810 16,440 16,800 38  12/1/2014 39  12.0 Distribution Models Enhanced Display Solutions (EDS) (1-399 … [FR Doc. 2024-29151 Filed 12-11-24; 8:45 am] BILLING CODE 8011-01-P

ORAL ARGUMENT NOT YET SCHEDULED

Agency decision · Agency decision

Bridgestone, 399 F.3d 651 (6th Cir.), cert. denied, 126 S. Ct. 423 (2005) . . . . . . . . . . . . . . . . 57 City of Roseville v. Norton, 348 F.3d 1020 (D.C. … See supra pp. 22-24.

Division of Investment Management

Agency decision · Agency decision

3,392 2021Q2 1,460 1,764 369 691 389 176 166 589 37 24 3,396 2021Q3 1,458 1,760 369 682 388 176 165 594 37 24 3,387 2021Q4 1,637 1,859 434 737 427 233 176 618 39 24 3,673 2022Q1 1,635 1,858 435 737 … Individuals 2021Q1 83 73 55 *** *** 24 11 7 *** *** *** 3 1 *** 2021Q2 105 57 52 24 *** 25 11 8 4 *** *** 3 1 *** 2021Q3 101 50 50 *** *** 27 9 7 3 *** *** 3 1 *** 2021Q4 96 60 57 *** *** 23 9 7 **

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Agency decision · Agency decision

Jun. 24, 1992). 21 PAGL. HASTINGS. … L0L~u ~~ --0 .. ./ wendeii' M. .~, for Paul, Hastings, Janofsky & Walker 24

Self-Regulatory Organizations; International Securities Exchange, Inc.; Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Change and Amendment Nos. 1 and 2 Thereto Relating to the Preferencing of Orders to Exchange Market Makers

Federal Register · Notice · Jun 16, 2005

The Commission has previously approved rules that guarantee a Primary Market Maker a portion of each order when the Primary Market Maker's quote is equal to the NBBO. 24 The Commission has closely … SEC, 444 F.2d 399 (2d Cir. 1971); Arleen Hughes, 27 SEC 629.636 (1948), aff'd sub nom. Hughes v. SEC. 174 F.2d 969 (D.C. Cir. 1949)).

Division of Investment Management

Agency decision · Agency decision

18 18 326 44 18 15 *** *** 23 *** *** 3,408 2023Q2 1,135 512 576 45 12 1,216 455 220 238 305 218 69 19 221 123 57 24 18 18 329 46 21 15 10 0 24 *** *** 3,463 2023Q3 1,160 526 585 46 13 1,229 464 226 … 90 24 380 266 117 121 *** *** 314 223 47 69 110 3,190 2022Q4 1,084 604 392 *** *** 217 165 45 *** *** 924 294 60 139 29 87 24 378 269 112 125 *** *** 313 219 43 75 113 3,222 2023Q1 1,040 601 351 ***

Division of Investment Management

Agency decision · Agency decision

2,911 1,776 1,410 977 924 619 378 260 246 214 232 174 133 86 22,960 Oct 2025 12,758 2,939 1,779 1,425 991 928 629 402 264 245 222 236 180 134 88 23,220 Nov 2025 12,762 2,946 1,796 1,444 998 938 618 399 … 22 4,903 Mar 2025 2,680 1,080 225 265 169 136 144 23 24 20 4,767 Apr 2025 2,668 1,072 228 253 163 149 158 21 23 20 4,756 May 2025 2,770 1,124 242 255 167 143 147 26 24 20 4,918 Jun 2025 2,866 1,176

Division of Investment Management

Agency decision · Agency decision

20 4,756 May 2025 2,770 1,124 243 255 167 143 146 26 25 20 4,918 Jun 2025 2,866 1,176 238 261 168 143 129 28 24 21 5,054 Jul 2025 2,862 1,121 239 263 180 139 127 72 24 20 5,048 Aug 2025 2,917 1,144 … 256 262 193 143 135 77 24 21 5,173 Sep 2025 2,980 1,174 255 268 185 144 132 91 24 21 5,274 Oct 2025 3,012 1,195 265 267 189 143 131 94 24 22 5,340 Nov 2025 3,019 1,210 274 269 198 149 137 78 23 22

Via Electronic Mail (Secretarys-Office@SEC.gov)

Agency decision · Agency decision

Clayton Cnty., Ga., 590 U.S. 644 (2020). 24 Compare 42 U.S.C. § 2000e-2, with 42 U.S.C. § 1981. … Perry, 548 U.S. 399, 511 (2006) (Roberts, C.J., concurring in part). 9 consideration of “diversity”—a term that in practice frequently encompasses race, sex, and other demographic characteristics.

Division of Investment Management

Agency decision · Agency decision

** 1 2 *** 2018Q1 94 52 57 *** 24 13 9 *** 4 5 *** 1 1 *** 2018Q2 109 52 55 *** 24 17 12 *** 4 3 *** *** *** *** 2018Q3 105 51 57 *** 23 17 12 *** 4 4 *** 2 1 *** 2018Q4 97 54 55 *** 18 *** 9 *** 5 … See Figure 24 for an explanation of each feature. Figure 24: How to Read a Boxplot 10 Form PF has no requirement to inform the SEC if a fund liquidates or otherwise terminates operations.