Documents

Registered Public-Utility Holding Companies and Internationalization

Federal Register · Proposed Rule · Dec 21, 1999

The Federal Aviation Act, for example, establishes percentage limitations on board membership and voting interests in determining whether an air carrier is considered a United States citizen.14 ------- … Areas for Comment 1.

Amendments To Rules On Shareholder Proposals

Federal Register · Rule · May 28, 1998

\54\ See, e.g., Air Products and Chemicals, Inc., Dec. 22, 1997; NationsBank, Nov. 21, 1997; BRT Letter; Sullivan & Cromwell Letter. … We received no Paperwork Reduction Act comments relating to the amendments.

Case 14-4626, Document 54, 02/06/2015, 1432420, Page1 of 72

Agency decision · Agency decision

Air Regulatory Grp. v. EPA, 134 S. … See also In re Air Cargo Shipping Servs.

Inet ATS, Inc.: No

Agency decision · Agency decision

("Inet" or "System") is an electronic communications network ("ECN"), as defined in Rule 600(b)(23) of Regulation NMS 1 under the Securities Exchange Act of 1934 ("Act"), and would be in compliance with … See Securities Exchange Act Release 51808 (June 9, 2005), 70 FR 37496, 37576 (June 29, 2005). Incoming Letter: October 12, 2005 Via E-Mail and Air Courier Robert L.D.

Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Amendment No. 4 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 4, To List and Trade Shares of the KFA Global Carbon ETF Under NYSE Arca Rule 8.600-E

Federal Register · Notice · Feb 26, 2020

and superseded the proposed rule change as originally filed. 4 On October 10, 2019, pursuant to Section 19(b)(2) of the Exchange Act, 5 the Commission designated a longer period within which … rule-comments@sec.gov.

INITIAL DECISION RELEASE NO. 1417

Agency decision · Agency decision

On October 25, 2024, Anthony amended Epic Capital’s application again in response to a comment letter from the Commission’s Division of Examinations. Div. Exs. 3, 38; Tr. 387-89. … (cleaned up) (collecting cases)), pet. denied, 773 F.3d 89 (D.C.

SECURITIES AND EXCHANGE COMMISSION

Agency decision · Agency decision

Form ADV . . . signals that the Commission had to find, based on substantial evidence, that at least one of TRG’s principals subjectively intended to omit material information from TRG’s Forms ADV” (cleaned … Because Respondents did not file amended Forms TA-1 correcting their principal office address within those periods—and have never done so—they violated Rule 17Ac2-1(c).24 18 See Services at the Roxbury

SECURITIES AND EXCHANGE COMMISSION

Agency decision · Agency decision

The PCAOB examined the Fund's financials and report thereon for the period ended February 28, 2006 and issued an affirming clean report thereon. … In fact, the PCAOB examined the Fund's auditor's finanCials and report thereon for the period ended February 28, 2006 and issued an affirming clean report thereon.

UNITED STATES OF AMERICA

Agency decision · Agency decision

of 1934 (“Exchange Act”) and Section 203(e) of the Investment Advisers Act of 1940 (“Advisers Act”) against UBS Financial Services Inc. … period of time.”

Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1, To List and Trade Shares of the Grayscale Bitcoin Mini Trust Under NYSE Arca Rule 8.201-E, Commodity-Based Trust Shares

Federal Register · Notice · Jun 12, 2024

Solicitation of Comments Interested persons are invited to submit written data, views and arguments concerning the foregoing, including whether the proposed rule change is consistent with the Act. … Comments may be submitted by any of the following methods: Electronic Comments • Use the Commission's internet comment form ( https://www.sec.gov/rules/sro.shtml ); or • Send an email to rule-comments

Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing and Extension of the Review Period of an Advance Notice, as Modified by Partial Amendment No. 1, To Establish a Guaranty Fund at the Government Securities Division

Federal Register · Notice · Aug 11, 2026

All prospective commenters should follow the Commission's instructions on How to Submit Comments, available at www.sec.gov/rules-regulations/how-submit-comment. … Comments may be submitted by any of the following methods: Electronic Comments • Use the Commission's internet comment form ( www.sec.gov/rules/sro.shtml ); or • Send an email to rule-comments

Self-Regulatory Organizations; New York Stock Exchange LLC; Order Approving Proposed Rule Change to the Co-Location Services Offered by the Exchange (the Offering of a Wireless Connection To Allow Users To Receive Market Data Feeds From Third Party Markets) and To Reflect Changes to the Exchange's Price List Related to These Services

Federal Register · Notice · Dec 30, 2015

The proposed rule change was published in the Federal Register on November 12, 2015. 4 No comment letters were received in response to the Notice. … the Act.

Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing of Proposed Rule Change, as Modified by Partial Amendment No. 1, To Establish a Guaranty Fund at the Government Securities Division

Federal Register · Notice · Aug 11, 2026

All prospective commenters should follow the Commission's instructions on how to submit comments, available at www.sec.gov/rules-regulations/how-submit-comment. … Comments may be submitted by any of the following methods: Electronic Comments • Use the Commission's internet comment form ( www.sec.gov/rules/sro.shtml ); or • Send an email to rule-comments

SECURITIES AND EXCHANGE COMMISSION

Agency decision · Agency decision

The PCAOB examined the Fund's financials and report thereon for the period ended February 28, 2006 and issued an affirming clean report thereon. … In fact, the PCAOB examined the Fund's auditor's financials and report thereon for the period ended February 28, 2006 and issued an affirming clean report thereon.

Self-Regulatory Organizations; NYSE Arca, Inc.; Order Approving Proposed Rule Change to the Co-Location Services Offered by the Exchange (the Offering of a Wireless Connection To Allow Users To Receive Market Data Feeds From Third Party Markets) and to Reflect Changes to the NYSE Arca Options Fee Schedule and the NYSE Arca Equities Schedule of Fees and Charges Related to These Services

Federal Register · Notice · Dec 30, 2015

The proposed rule change was published in the Federal Register on November 12, 2015. 4 No comment letters were received in response to the Notice. … of the Act.

Filings Under the Public Utility Holding Company Act of 1935, as amended (“Act”)

Federal Register · Notice · Aug 18, 2000

SECURITIES AND EXCHANGE COMMISSION [Release No. 35-27211] Filings Under the Public Utility Holding Company Act of 1935, as amended (“Act”) August 11, 2000. … Notice is hereby given that the following filing(s) has/have been made with the Commission pursuant to provisions of the Act and rules promulgated under the Act.

Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fees Schedule

Federal Register · Notice · Aug 5, 2026

Solicitation of Comments Interested persons are invited to submit written data, views and arguments concerning the foregoing, including whether the proposed rule change is consistent with the Act. … Comments may be submitted by any of the following methods: Electronic Comments • Use the Commission's internet comment form ( https://www.sec.gov/rules/sro.shtml ); or • Send an email to rule-comments

Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing of Amendment No. 2 to Proposed Rule Change To Modify the Amended and Restated Stock Options and Futures Settlement Agreement and Make Certain Revisions to the NSCC Rules

Federal Register · Notice · Jan 31, 2024

of 1934 (“Act” or “Exchange Act”)  1 and Rule 19b-4 thereunder. 2 The Filing was published for comment in the Federal Register on August 30, 2023. … Comments may be submitted by any of the following methods: Electronic Comments • Use the Commission's internet comment form ( https://www.sec.gov/rules/sro.shtml ); or • Send an email to rule-comments

Self-Regulatory Organizations; the Options Clearing Corporation; Notice of Filing of Proposed Rule Change by the Options Clearing Corporation Concerning the Amendment of Its Clearing Membership Standards

Federal Register · Notice · Mar 21, 2023

Comments may be submitted by any of the following methods: Electronic Comments • Use the Commission's internet comment form ( http://www.sec.gov/rules/sro.shtml ); or • Send an email to rule-comments … All comments received will be posted without change. Persons submitting comments are cautioned that we do not redact or edit personal identifying information from comment submissions.

ORAL ARGUMENT NOT YET SCHEDULED

Agency decision · Agency decision

First Petition for Review, Reopening of Comment Period, and Stay of Appellate Proceedings . . . . . . . . . . . . . . . . . . . . . . . . . . . 9 3. … The Commission then reopened the comment period and stated its intention to take final action by December 31, 2004.