Documents

Proposed Collection; Comment Request

Federal Register · Notice · Oct 2, 2014

SECURITIES AND EXCHANGE COMMISSION Proposed Collection; Comment Request Upon Written Request, Copies Available From: U.S. … SEC File No. 270-423, OMB Control No.3235-0472 Notice is hereby given that pursuant to the Paperwork Reduction Act of 1995 (“PRA”) (44 U.S.C. 3501 et seq. ), the Securities and Exchange Commission

Proposed Collection; Comment Request

Federal Register · Notice · Aug 18, 2020

SECURITIES AND EXCHANGE COMMISSION Proposed Collection; Comment Request Upon Written Request, Copies Available From: U.S. … Securities and Exchange Commission, Office of FOIA Services, 100 F Street NE, Washington, DC 20549-2736 Extension: Rule 15c1-6; SEC File No. 270-423, OMB Control No.3235-0472 Notice is hereby

In the Supreme Court of the United States

Agency decision · Agency decision

Drexel Firestone, Inc., 519 F.2d 974, 984 (2d Cir.), cert. denied, 423 U.S. 1018 (1975). … Id. at 425; see id. at 423.

UNITED STATES COURT OF APPEALS

Agency decision · Agency decision

Co., 423 U.S. 232, 243 (1976); accord Morales v. … Foremost-McKesson, Inc., 423 U.S. at 255; see also Perine v.

Calculation of Yield by Certain Unit Investment Trusts

Federal Register · Proposed Rule · Nov 29, 1995

See Statistical Abstracts of the United States, U.S. Department of Commerce, 525 (1994) (based on annual averages of monthly data for interest rates between 1980 and 1990). … Most UITs that invest their assets in corporate, municipal, or U.S. government bonds invest almost exclusively in these securities.

Submission for OMB Review; Comment Request

Federal Register · Notice · Dec 23, 2011

SECURITIES AND EXCHANGE COMMISSION Submission for OMB Review; Comment Request Upon Written Request, Copies Available From: U.S. … Extension: Rule 15c1-6, SEC File No. 270-423, OMB Control No. 3235-0472.

Securities Offering Reform for Closed-End Investment Companies

Federal Register · Proposed Rule · Apr 10, 2019

Spratt, Assistant Director, at (202) 551-6921, Disclosure Review and Accounting Office; Division of Investment Management; U.S. … The requirements for dating the prospectus apply equally to dating the SAI for purposes of Rule 423 under the Securities Act.

Division of Investment Management

Agency decision · Agency decision

Collateral Deposits Commercial Paper U.S. Treasuries Asset-Backed Securities Other U.S. Govt. … Collateral Deposits Commercial Paper U.S. Treasuries Asset-Backed Securities Other U.S. Govt.

Division of Investment Management

Agency decision · Agency decision

Unknown Non-U.S. … Unknown Non-U.S.

Division of Investment Management

Agency decision · Agency decision

Pension Plans U.S. … Pension Plans U.S.

Tailored Shareholder Reports, Treatment of Annual Prospectus Updates for Existing Investors, and Improved Fee and Risk Disclosure for Mutual Funds and Exchange-Traded Funds; Fee Information in Investment Company Advertisements

Federal Register · Proposed Rule · Nov 5, 2020

Hillman, Director, Financial Markets and Community Investment before the U.S. … 433 instead of rule 482.

THE UNITED STATES COURT OF APPEALS

Agency decision · Agency decision

Provident Securities Co., 423 U.S. 232 (1976) 23, 24 GAP Corp. v. Milstein, 453 F.2d 709 (2d Cir. 1971), cert. denied, 406 U.S. 910 (1972) 16 Global Intellicom, Inc. v. … Provident Securities Co., 423 U.S. at 251. As to 10% beneficial ownership, the Commission has limited the term to persons who fit within the Section 13(d) and Rule 13d-3 defmition.

Self-Regulatory Organizations; The Depository Trust Company; Order Approving a Proposed Rule Change Relating to Enhancement of the Current Link With Deutsche Borse Clearing AG

Federal Register · Notice · Nov 18, 1998

agents that are not fully subject to U.S. regulation. … referenced National Association of Securities Dealers Rule 11860, New York Stock Exchange (``NYSE'') Rule 387(a)(5), Municipal Securities Rulemaking Board Rule G- 15(d)(ii), American Stock Exchange Rule 423

SECURITIES AND EXCHANGE COMMISSION

Agency decision · Agency decision

The Foreign Currency Funds also wil comply with the Commission's advertising rules (e.g., rule 482 under the Securities Act of 1933) in the same manner as conventional "money market funds" denominated … On1y securities issued or guaranteed by the U.S.

Division of Investment Management

Agency decision · Agency decision

Pension Plans U.S. Individuals Pension Plans Sov. Wealth Funds And For. Official Inst. Insurance Companies Non-U.S. Individuals State/Muni. Govt. Entities Unknown Non-U.S. … Pension Plans U.S. Individuals Pension Plans Sov. Wealth Funds And For. Official Inst. Insurance Companies Non-U.S. Individuals State/Muni. Govt. Entities Unknown Non-U.S.

Division of Investment Management

Agency decision · Agency decision

Analytics Office Registered Fund Statistics Form N-PORT and Form N-CEN Data, period ending June 2025 This is a report of the Staff of the Division of Investment Management’s Analytics Office of the U.S … 3,472 788 8 270 4,538 1,885 1,756 4 6 3,650 12 798 *** *** 810 26,866 Jun 2025 12,998 119 31 8 13,157 267 5,068 39 1 5,375 3,597 783 7 278 4,667 2,014 1,763 4 6 3,787 11 809 *** *** 820 27,805 See U.S

Division of Investment Management

Agency decision · Agency decision

Analytics Office Registered Fund Statistics Form N-PORT and Form N-CEN Data, period ending December 2025 This is a report of the Staff of the Division of Investment Management’s Analytics Office of the U.S … 3,745 872 9 295 4,922 2,187 1,865 4 6 4,061 13 843 *** *** 857 29,133 Dec 2025 13,746 192 53 7 13,997 265 5,278 47 2 5,592 3,737 875 10 296 4,917 1,572 2,521 4 6 4,103 13 842 *** *** 856 29,465 See U.S

Division of Investment Management

Agency decision · Agency decision

Analytics Office Registered Fund Statistics Form N-PORT and Form N-CEN Data, period ending March 2025 This is a report of the Staff of the Division of Investment Management’s Analytics Office of the U.S … 3,423 837 7 268 4,534 1,255 2,210 4 5 3,474 13 823 *** *** 837 26,863 Mar 2025 11,789 177 31 8 12,005 238 4,988 35 1 5,262 3,303 830 7 261 4,400 1,232 2,188 4 6 3,431 12 812 *** *** 824 25,922 See U.S

UNITED STATES DISTRICT COURT

Agency decision · Agency decision

Brown & Williams Tobacco Corporation, _ U.S. _, 120 S. Ct. 1291 (2000) 17 Foremost-McKesson, Inc~ v. Provident Securities Co., 423 U.S. 232 (1976) 4,21 GAP Corp. v. … Provident Securities Co., 423 U.S. 232, 243 (1976).

Securities Offering Reform for Closed-End Investment Companies

Federal Register · Rule · Jun 1, 2020

The institutional ownership of U.S. public equities was approximately 67% as of 2010. See Marshall E. Blume and Donald B. … The requirements for dating the prospectus apply equally to dating the SAI for purposes of Rule 423 under the Securities Act [17 CFR 230.423].