Documents

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].

UNITED STATES COURT OF APPEALS

Agency decision · Agency decision

Credit Suisse First Boston (USA), Inc., 482 F.3d 372, 389 (5th Cir. 2007) (Br. 14, 45, 46), is likewise misplaced. … Co., 317 U.S. 173, 176 (1942); see Atherton v. FDIC, 519 U.S. 213, 218 (1997).

Division of Investment Management

Agency decision · Agency decision

Analytics Ofce Registered Fund Statistics Form N-PORT Data, period ending September 2023 April 18, 2024 This is a report of the Staf of the Division of Investment Management’s Analytics Ofce of the U.S … 245 43 2,526 12,595 Jul 2023 3,251 2,476 2,147 1,500 701 10,075 1,112 642 482 245 43 2,524 12,599 Aug 2023 3,263 2,459 2,145 1,500 701 10,068 1,117 645 482 240 43 2,527 12,595 Sep 2023 3,278 2,470

Enhanced Disclosure and New Prospectus Delivery Option for Registered Open-End Management Investment Companies

Federal Register · Rule · Jan 26, 2009

2(a)(10) of the Securities Act. 347 347  Rule 482(a) … Prospectus. 348 348  Rule 482(b)(1)

Division of Investment Management

Agency decision · Agency decision

Management Analytics Office Registered Fund Statistics Form N-PORT Data, period ending December 2024 This is a report of the Staff of the Division of Investment Management’s Analytics Office of the U.S … 2024 2,006 695 373 534 349 171 509 28 *** 146 2,606 Mar 2024 2,010 690 372 533 346 171 504 29 *** 132 2,602 Apr 2024 2,009 694 371 526 347 174 557 30 8 142 2,607 May 2024 2,018 692 373 510 352 171 482

Division of Investment Management

Agency decision · Agency decision

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

THE UNITED STATES COURT OF APPEALS

Agency decision · Agency decision

Provident Securities Co., 423 U.S. 232 (1976) 2 GAF Corp. v.Milstein, 453 F.2d 709 (2d Cir. 1971), cert. denied, 406 U.S. 916 (1972) " 11,20,22 passim Global Intellicom v. … Provident Securities Co., 423 U.S. 232, 243 (1976).

Regulation ATS for ATSs That Trade U.S. Government Securities, NMS Stock, and Other Securities; Regulation SCI for ATSs That Trade U.S. Treasury Securities and Agency Securities; and Electronic Corporate Bond and Municipal Securities Markets

Federal Register · Proposed Rule · Dec 31, 2020

Burden Annual burden Baseline burden related to Form ATS amendment Per ATS: 18 hours (6 hours × 3 Form ATS amendments). 482 Industry: 468 hours. … (Attorney at $423 × 1.5 hours) + (Compliance Clerk at $71 × 0.5 hours) = $670.

Registered Offering Reform

Agency decision · Agency decision

U.S. … U.S.

Prohibitions and Restrictions on Proprietary Trading and Certain Interests in, and Relationships With, Hedge Funds and Private Equity Funds

Federal Register · Rule · Nov 14, 2019

482   Id. … The U.S.

Conformed to Federal Register version

Agency decision · Agency decision

This approach was intended to maintain appropriate limits on proprietary trading by not 481 83 FR at 33464. 482 Id. … U.S. or organized under U.S. laws.

Solicitations of Interest Prior to a Registered Public Offering

Federal Register · Proposed Rule · Feb 28, 2019

Markets Association & Center for Capital Markets Competitiveness, U.S. … To the extent this is the case, the proposed rule could encourage additional registered offerings in the U.S.

UNITED STATES COURT OF APPEALS

Agency decision · Agency decision

Provident Securities Co., 423 U.S. 232 (1976) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 13 Gollust v. … Provident Securities Co., 423 U.S. 232, 252 (1976). 6/ “When Congress has so recognized the need to limit carefully the ‘arbitrary and sweeping coverage’ of §16(b) * * * courts should not be quick to determine

Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Establish Fees for Its Expanded Co-Location Services

Federal Register · Notice · Oct 11, 2024

The existing monthly cabinet fees range from approximately $475 per kW to $916 per kW, while the proposed ongoing monthly cabinet fee for the Ultra High Density Cabinet ranges from approximately $482 per … See Cboe Global Markets, U.S. Equities Market Volume Summary, Month-to-Date (Last updated July 3, 2024), available at https://www.cboe.com/us/equities/market_statistics/.

Regulatory Flexibility Agenda

Federal Register · Notice · Aug 14, 2026

The items listed in the Regulatory Flexibility Agenda reflect only the priorities of the Chairman of the U.S. … Title Regulation Identifier No. 481 Rule 144 Safe Harbor 3235-AM78 482 Foreign Private Issuer Eligibility Enhancements 3235-AN35 483 Crypto Assets (Reg Plan Seq No. 162

Registration for Index-Linked Annuities and Registered Market Value Adjustment Annuities; Amendments To Form N-4 for Index-Linked Annuities, Registered Market Value Adjustment Annuities, and Variable Annuities; Other Technical Amendments

Federal Register · Rule · Jul 24, 2024

Variable Annuity Life Insurance Co. of America, 359 U.S. 65, 77 (1959). … See Michael Martin, Computer and internet Usage in the United States: 2018, U.S.

Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Establish Fees for Its Expanded Co-Location Services

Federal Register · Notice · Jul 31, 2024

The existing monthly cabinet fees range from approximately $475 per kW to $916 per kW, while the proposed ongoing monthly cabinet fee for the Ultra High Density Cabinet ranges from approximately $482 per … See Cboe Global Markets, U.S. Equities Market Volume Summary, Month-to-Date (Last updated July 3, 2024), available at https://www.cboe.com/us/equities/market_statistics/.

Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Establish Fees for Its Expanded Co-Location Services

Federal Register · Notice · Jul 31, 2024

The existing monthly cabinet fees range from approximately $475 per kW to $916 per kW, while the proposed ongoing monthly cabinet fee for the Ultra High Density Cabinet ranges from approximately $482 per … See Cboe Global Markets, U.S. Equities Market Volume Summary, Month-to-Date (Last updated July 3, 2024), available at https://www.cboe.com/us/equities/market_statistics/.

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.

PULIO ' 'J \ ~i1~~ ­

Agency decision · Agency decision

(617) 482-8260 AV,d;'~. ..:-1,,1 1 "1 1940 Act/Sections 7(d) and 12(d)(1) Januar 10, 1997 Securties and Exchange Commission Office of Chief Counsel Division of Investment Management Judiciar Plaza … If you should have any questions ,or require any additional information concernng this request, please call the undersigned ~t Kikpatrck & Lockhar at (617)261~3156. (617)482-8260x540 or Philip J.