Documents

SECURITIES 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.

CLEARY GOTTLIEB STEEN & HAMILTON LLP

Agency decision · Agency decision

Release No. 8591, Exchange Act Release No. 52,056, Investment Company Act Release No. 26,993, 70 Fed. … Citigroup regained WKSI status in late 2013 at the end of the three-year period specified in Securities Act Rule 405.

Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to the Exchange's Pricing Schedule at Options 7 To Adopt Pricing for Index Options on the Nasdaq 100 Micro Index

Federal Register · Notice · May 5, 2021

The Exchange also proposes non-substantive, clean-up changes in Options 7, Section 5 to restructure the existing rule text. … 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.

Modernization 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

Seilon, Inc.; Notice of Application

Federal Register · Notice · Jul 31, 1997

During the 1960's, Seilon acquired Thomas International (sugar cane harvesting equipment), Lockport (central pivot irrigation systems), and Air-Way Sanitizer (vacuum cleaner systems), among others. … Thus, the deregistration would allow Seilon the resumption of its historic posture, similar to that it assumed in the period from 1921 to 1983, and would further permit the acquisition of other concerns

Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Fees for Optional Wireless Connectivity for Co-located Clients

Federal Register · Notice · Sep 23, 2014

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 ( http://www.sec.gov/rules/sro.shtml ); or • Send an email to rule-comments

Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Amendment No. 2 to a Proposed Rule Change To List and Trade Shares of Grayscale Bitcoin Trust Under NYSE Arca Rule 8.201-E (Commodity-Based Trust Shares)

Federal Register · Notice · Jan 16, 2024

The proposed rule change was published for comment in the Federal Register on November 8, 2021. 3 On December 15, 2021, pursuant to Section 19(b)(2) of the Exchange Act, 4 the Commission … 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

SECURITIES AND EXCHANGE COMMISSION

Agency decision · Agency decision

Without a waiver, this period of suspension will continue until April 2, 2016, when Piper certifies its continued compliance with the undertakings on the second anniversary of the initial certification … Piper is the most active middle market investment bank in its core focus sectors, which include business services; clean technology and renewables; consumer; diversified industrials and services; financial

Joint Industry Plan; Notice of Filing of Amendment No. 1, and Order Instituting Proceedings To Determine Whether To Approve or Disapprove an Amendment to the National Market System Plan Regarding Consolidated Equity Market Data, as Modified by Amendment No. 1, To Adopt a Fee Schedule

Federal Register · Notice · Apr 3, 2026

In particular, “broadcast” dissemination of market data is no longer limited to traditional over-the-air television; it now commonly occurs through cable and satellite channels and streaming/internet-based … The proposed exemption, however, contains a requirement that the migration must take place over a reasonable period of time.

Part 248-Regulation S-P: Privacy of Consumer Financial Information and Safeguarding Personal Information

Federal Register · Proposed Rule · Mar 13, 2008

General Request for Comments IV. Paperwork Reduction Act V. Cost-Benefit Analysis VI. Initial Regulatory Flexibility Analysis VII. … to keep these records for the same period of time?

Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 3, To List and Trade Shares of the Grayscale Ethereum Mini Trust

Federal Register · Notice · Jun 3, 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

SECURITIES AND EXCHANGE COMMISSION

Agency decision · Agency decision

D.C. 20549 DIVISION OF INVESTMENT MANAGEMENT December 19, 1997 Am :rcA 8EOTIoN ----- VIA FACSTh1ILE AND AIR MAIL RULE , Mr. … Section 17(t) of the Investment Company Act of 1940 ("1940 Act") sets forth the custodial requirements for U~S>registered funds, Rule 17f-5 thereunder pe~.funds to maintain their assets with certain categories

Investment Company Governance

Federal Register · Rule · Jul 7, 2005

While the Chairman has refused to allow a public comment period for this proceeding, the public has not been silent in the past week. … Management's Reports on Internal Control Over Financial Reporting and Certification of Disclosure in Exchange Act Periodic Reports, Securities Act Release No. 8238 (June 5, 2003) [68 FR 36636 (June 18,

United Technologies Corporation for Kidde plc: No

Agency decision · Agency decision

Pursuant to Rule 14e-1(a) under the Exchange Act, the Initial Offer Period cannot be less than 20 U.S. business days from the mailing of the Offer Document and can be extended for such additional period … or periods as may be (i) determined by UTC (" Voluntary Extensions ") and (ii) required or necessary to comply in this respect with Section 14(e) of the Exchange Act and Regulation 14E thereunder or the

Administration of the Electronic Data Gathering, Analysis, and Retrieval System

Federal Register · Proposed Rule · Sep 17, 2020

an email to rule-comments@sec.gov. … Company Act”) and the Securities Exchange Act of 1934 (“Exchange Act”)); and Release No. 33-6986 (Apr. 9, 1993) [58 FR 18638] (adoption of the EDGAR Filer Manual).

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

Federal Register · Notice · Nov 5, 2004

SECURITIES AND EXCHANGE COMMISSION [Release No. 35-27907] Filings Under the Public Utility Holding Company Act of 1935, as Amended (“Act”) November 1, 2004. … Notice is hereby given that the following filings(s) has/have been made with the Commission pursuant to provisions of the Act and rules promulgated under the Act.

Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Amendment No. 1 to a Proposed Rule Change To List and Trade Shares of the Grayscale Ethereum Trust

Federal Register · Notice · Apr 8, 2024

Comments on the proposed rule change are available at: https://www.sec.gov/comments/sr-nysearca-2023-70/srnysearca202370.htm. … 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

RWE Aktiengesellschaft: No Action, Interpretive and/or Exemptive Letter of March 22, 2002

Agency decision · Agency decision

THE SUBSEQUENT OFFER PERIOD AND RULE 14D-11 Pursuant to Rule 14d-11 under the Exchange Act, offerors may elect to provide a Subsequent Offering Period of from three U.S. business days to 20 U.S. business … Act.

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

Federal Register · Notice · Feb 9, 2000

SECURITIES AND EXCHANGE COMMISSION [Release No. 35-27129] Filings Under the Public Utility Holding Company Act of 1935, as Amended (“Act”) February 2, 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; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1, To List and Trade Shares of the Grayscale Litecoin Trust Under NYSE Arca Rule 8.201-E (Commodity-Based Trust Shares)

Federal Register · Notice · Feb 12, 2025

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 … Paper Comments • Send paper comments in triplicate to Secretary, Securities and Exchange Commission, 100 F Street NE, Washington, DC 20549-1090.