Documents
Briefs, oral arguments, agency decisions and the Federal Register.
10,000+ results
1.42s
Proposed Amendment to Rule 102(e) of the Commission's Rules of Practice
Federal Register · Proposed Rule · Jun 18, 1998
DATES: Comments must be received on or before July 20, 1998. ADDRESSES: Submit comments in triplicate to Jonathan G. … Compagnie Nationale Air France, 78 F.3d 664, 668 (D.C. Cir. 1996), citing Farmer v. Brennan, 511 U.S. 825, 836-37 (1994); see generally W.
63 FR 33305Securities and Exchange CommissionFederal Register · Notice · Feb 18, 1998
of 1934 (``Exchange Act'') \4\ and Rule 17ab2-1 thereunder.\5\ Notice of MGT-Brussels' application was published in the Federal Register on May 15, 1997.\6\ Six comment letters were received in response … which includes a procedure to solicit public comment on proposed rule changes.
63 FR 8232Securities and Exchange CommissionSECURIT I ES AND EXCHANGE COMMISSION
Agency decision · Agency decision
The Santander Spain Shares also are listed on the New York (in the form of the Santander Spain ADSs), Milan, Lisbon, Buenos Aires, London and Mexico Stock Exchanges. … The Spanish Brokerage Unit also must keep records relating to transactions in which they are acting as principals.
Securities and Exchange CommissionFederal Register · Rule · Jan 7, 2005
Several commenters urged eliminating any restrictions on revolving periods, regardless of the type of asset or the form of registration. 124 Revolving periods, these commenters argued, allow issuers … minimum level, with minor revisions to our proposal in response to comment. 309 Many ABS transactions include “clean up” calls whereby the securities are called and the trust terminated before
70 FR 1506Securities and Exchange Commission____________________________________________________________________________________
Agency decision · Agency decision
Air Regulatory Grp. v. EPA, 134 S. … Request for Comment on NASDAQ Petition, 68 Fed. Reg. 27,722, 27,722 (May 20, 2003).
Securities and Exchange CommissionFederal Register · Rule · Aug 13, 2012
air or greenhouse gas regulations. … , in turn decreasing demand for power to run the air conditioning.
77 FR 48208Commodity Futures Trading CommissionSecurities and Exchange CommissionFilings Under the Public Utility Holding Company Act of 1935, as Amended (“Act”)
Federal Register · Notice · May 7, 2004
Act Release No. 27456 and collectively, “Prior Orders”), the Commission authorized IP&L to: (1) Issue and sell through June 30, 2004 (“Prior Authorization Period”), in one or more series, any combination … June 30, 2007 (“Authorization Period”).
69 FR 25624Securities and Exchange CommissionAgency decision · Agency decision
Dirty pricing method is currently used but the Exchange intends to implement clean pricing in the near future. … The proposed new law was circulated to CASE, market participants as well as the public for their comments.
Securities and Exchange CommissionAgency decision · Agency decision
NO. 5 Page 1 of 9 Account No. 816280 Plan Term 07/01/09 to 06/30/12 For the Period 10/01 /09 to 1 2/31 /09 APPLIEn·f·~ UNDERWRITERS~ Questions? Changes? Comments? … NO. 6 Page 1of13 Account No. 816280 Plan Term 07/01/09 to 06/30/12 For the Period 01/01 /12 to 03/31 /12 APPLIEn·t·~ UNDERWRITERS ~ Questions? Comments?
Securities and Exchange CommissionRegulation Best Interest: The Broker-Dealer Standard of Conduct
Federal Register · Rule · Jul 12, 2019
While most commenters requested an implementation period of 18-24 months, 836 one commenter requested an implementation period of 12-18 months. 837 We believe the operational capability needed … See, e.g., James Chen, Clean Shares, Investopedia, available at https://www.investopedia.com/terms/c/clean-shares.asp , stating that “[t]he mutual fund industry introduced clean shares, along
84 FR 33318Securities and Exchange CommissionRequest for Comments on Fund Names
Federal Register · Notice · Mar 6, 2020
-1 (“rule 35d-1” or the “Names Rule”) under the Investment Company Act of 1940 (“Investment Company Act” or “Act”). … appear to treat “ESG” as a type of investment (which is subject to the Names Rule). 23 Based on EDGAR data, approximately 65 funds (excluding unit investment trusts) included the terms “ESG”, “Clean
85 FR 13221Securities and Exchange CommissionFederal Register · Notice · Dec 27, 2013
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. … rule-comments@sec.gov.
78 FR 79051Securities and Exchange CommissionSECURITIES AND EXCHANGE COMMISSION
Agency decision · Agency decision
Based on Decemer 7, 1994 market values, the Funds held tha following amounts of the saeurities: AM-General - $27,550,000 AIR-Tax Free - 6950,000; and 3. Final Maturity - July 19, 1995. … If you have any further questions or comments regarding this matter, please feel free to contact me at the telephone number set forth above or Ms. Emi11e wrapp at (202) 969-2154.
Securities and Exchange CommissionFilings Under the Public Utility Holding Company Act of 1935, as Amended (“Act”)
Federal Register · Notice · Jul 16, 2003
Interested persons wishing to comment or request a hearing on the application(s) and/or declaration(s) should submit their views in writing by August 4, 2003 to the Secretary, Securities and Exchange Commission … and rule 54 under the Act.
68 FR 42147Securities and Exchange CommissionModernization of Regulation S-K Items 101, 103, and 105
Federal Register · Rule · Oct 8, 2020
(“FAST Act”). … would not reduce burdens on registrants as the prior period disclosure has already been prepared. 37 Several other commenters expressed concern that the term “reporting period” limited the period
85 FR 63726Securities and Exchange CommissionDisclosure of Payments by Resource Extraction Issuers
Federal Register · Proposed Rule · Dec 23, 2010
Treatment for Purposes of the Securities Act and the Exchange Act G. Effective Date H. General Request for Comment III. Paperwork Reduction Act A. Background B. … specify that disclosure would be required for fees paid for environmental permits, water and surface use permits, and other land use permits; fees for construction and infrastructure planning permits, air
75 FR 80978Securities and Exchange CommissionFederal Register · Notice · Jan 28, 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. … rule-comments@sec.gov.
91 FR 3748Securities and Exchange CommissionFederal Register · Notice · Apr 3, 2023
Clean-Up Amendments Lastly, the proposal would make various non-substantive “clean-up” amendments throughout the Holdco LLC Agreement to correct minor drafting errors, update section references ( i.e … 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
88 FR 19694Securities and Exchange CommissionFilings Under the Public Utility Holding Company Act of 1935 (``Act'')
Federal Register · Uncategorized Document · May 13, 1994
SECURITIES AND EXCHANGE COMMISSION [Release No. 35-26047] Filings Under the Public Utility Holding Company Act of 1935 (``Act'') May 6, 1994. … `LLC Act'') or a limited partnership under the Pennsylvania or Delaware Revised Uniform Limited Partnership Act.
Securities and Exchange CommissionMarkman MultiFund Trust, et al; Notice of Application
Federal Register · Notice · Jul 30, 2001
and 17(b) of the Act for an exemption from section 17(a) of the Act. … Section 6(c) of the Act permits the Commission to exempt any person or transactions from any provisions of the Air if such exemption is necessary or appropriate in the public interest and consistent with
66 FR 39383Securities and Exchange Commission
Ask Donna what matters in the record.
She can read the source against your case and show you exactly where the answer came from.