Documents

CLEARY GOTTLIEB STEEN & HAMILTON LLP

Agency decision · Agency decision

.- MILAN - HONG KONG BEIJING - BUENOS AIRES . SAO PAULO . ABU DHABI . … More specifically, the findings here are unrelated to and do not call into question Citigroup's ability to have produced reliable Exchange Act disclosures during the Relevant Period or its ability to produce

Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Amendment No. 2 to a Proposed Rule Change To List and Trade Shares of the Grayscale Ethereum Trust

Federal Register · Notice · May 29, 2024

The proposed rule change was published for comment in the Federal Register on October 27, 2023. 3 On December 5, 2023, pursuant to Section 19(b)(2) of the Act, 4 the Commission designated … 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; 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

Prohibition Against Conflicts of Interest in Certain Securitizations

Federal Register · Proposed Rule · Sep 28, 2011

Please comment upon the types of risk that are hedged during the warehouse period ( e.g., credit risk, basis risk, default risk, etc. ) as well as the types of instruments used to hedge ( e.g., … incentives during the prohibited time period as required under the statute.

Self-Regulatory Organizations; NYSE Arca, Inc.; Order Disapproving a Proposed Rule Change, as Modified by Amendment No. 1, Relating to the Listing and Trading of Shares of the Bitwise Bitcoin ETF Trust Under NYSE Arca Rule 8.201-E

Federal Register · Notice · Oct 16, 2019

The Sponsor asserts that while Huobi might have taken action to clean up wash trading after the Sponsor's initial analysis became public, that “view is challenged” because Huobi's reported trade volume … did not meaningfully drop during that time period.

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.

SECURITIES AND EXCHANGE COMMISSION

Agency decision · Agency decision

I.A. 9 Northgate Nobles GreenhouseABE Foreign Grantor Tr., 2022 WL 2357047, at *4; see also Rule of Practice 160(b), 17 C.F.R. § 201.160(b) (providing that “three days shall be added to the prescribed period … 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

UNITED STATES OF AMERICA

Agency decision · Agency decision

prescribe upon motion for extension of time.”29 Applicants filed their motion to dismiss more than a year after the 2023 Order was served on them, never requested an extension of the reconsideration period … Act Rules, Exchange Act Release No. 18349, 1981 WL 317494, at *2 (Dec. 18, 1981).

Progress Report of the SEC Advisory Committee on Improvements to Financial Reporting.

Federal Register · Notice · Feb 28, 2008

Exchange Act reports. … Exchange Act reports.

AMENDED PETITION FOR RULEMAKING

Agency decision · Agency decision

(comments from ExxonMobil, NAM, Garmin, and U.S. … Commonwealth Equity Servs., LLC, 133 F.4th 152, 167 (1st Cir. 2025) (cleaned up).

SERENA Software, Inc.: No Action, Interpretive and/or Exemptive Letter of April 13, 2004

Agency decision · Agency decision

Companies Act 1985 (the "Companies Act") as it is required to do pursuant to the Companies Act. … is consistent with Re: Air Products and Chemicals, Inc. and L'Air Liquide S.A.

Investment Adviser Advertisements; Compensation for Solicitations

Federal Register · Proposed Rule · Dec 10, 2019

In that request for comment, we specifically sought comments with respect to rule 482 under the Securities Act. … We request comment on the following: • Do commenters agree that a one-year transition period following each rule's effective date is appropriate?

Filings Under the Public Utility Holding Company Act of 1935, as Amended (``Act'')

Federal Register · Notice · May 16, 1997

SECURITIES AND EXCHANGE COMMISSION [Release No. 35-26717] Filings Under the Public Utility Holding Company Act of 1935, as Amended (``Act'') May 9, 1997. … Interested persons wishing to comment or request a hearing on the application(s) and/or declaration(s) should submit their views in writing by June 2, 1997, to the Secretary, Securities and Exchange Commission

Optional Internet Availability of Investment Company Shareholder Reports

Federal Register · Rule · Jun 22, 2018

Experience and Disclosure Request for Comment, Investment Company Act Release No. 33113 (June 5, 2018) (“Disclosure Request for Comment”). … One commenter believed we should, but did not suggest a particular waiting period. See State Street Comment Letter.

Case 3:26-cv-01846-B

Agency decision · Agency decision

In a webinar that aired on or about December 22, 2022, PAH, through Nelson, stated: “In 2022, we paid out to our investors an annualized average distribution of a little bit over 12%.” … Throughout the Relevant Period, Nelson exercised control over PAH, was acting within the scope of his authority to direct the consulting firm on behalf of PAH, and directed the consulting firm to make

UNITED STATES COURT OF APPEALS

Agency decision · Agency decision

ARGUMENT Both the Securities Act and the Exchange Act define “security” as including an “investment contract.” … See also In re Abbondante, 1934 Act Rel.

Supplemental Information and Reopening of Comment Period for Amendments Regarding the Definition of “Exchange”

Federal Register · Proposed Rule · May 5, 2023

ACTION: Proposed rule; reopening of comment period. … SUMMARY: The Securities and Exchange Commission (“Commission”) is reopening the comment period for its proposal (“Proposed Rules”) to amend the rule under the Securities Exchange Act of 1934 (“Exchange

UNITED STATES COURT OF APPEALS

Agency decision · Agency decision

Although Safe Air for Everyone v. … See, e.g., Comment of Richard H.

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

period? … Investors purchasing and selling clean shares may be required to pay a commission to a broker.

Selective Disclosure and Insider Trading

Federal Register · Rule · Aug 24, 2000

Carriba Air, Inc., 681 F.2d 1318 (11th Cir. 1982). 56   See, Hollinger v. … periodic reporting obligations of companies.