Documents

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

Initial Decision Release No. 1416

Agency decision · Agency decision

Nano Magic—which specializes in nanotechnology-powered cleaning products—had its trading suspended from May 1, 2020, until May 14, 2020, on these grounds. … During the 10-day suspension period, Nano Magic’s only recourse from the trading suspension and the collateral consequences that could last for years was to file a Rule 550 petition.

SECURITIES AND EXCHANGE COMMISSION

Agency decision · Agency decision

PADLA ST LAWAEC NEW YORK ROME KERNETH L BACHMAN DANIEL B RIC LV PARIS MILAN HINDS RICBARD BE SARA D EBHOTL-ARD WILLIAM B M GURN III HONG KONG BRUSSELS JHN S MASSEY JAREVT BEIJING LONDON BUENOS AIRES … If BAC is deemed an ineligible issuer, BAC would be precluded, for a period of three years from entry of the Order, from qualifying as a WKSI and benefiting from automatic shelf registration and other

Investment Adviser Marketing

Federal Register · Rule · Mar 5, 2021

While we had proposed a one-year transition period, two commenters requested a longer transition period to prepare for the new rule's requirements. 838 One of these commenters argued that a two-year … Cain, et al., The Dirt on Coming Clean: Perverse Effects of Disclosing Conflicts of Interest, 34 J. L.

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?

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

Federal Register · Notice · Feb 28, 2008

Exchange Act reports. … Exchange Act reports.

Reporting by Investment Advisers to Private Funds and Certain Commodity Pool Operators and Commodity Trading Advisors on Form PF

Federal Register · Rule · Nov 16, 2011

Another commenter suggested that we revise the question to allow reporting as of the end of the reporting period rather than over the course of the period and to permit advisers to report based on capital … . 431 431  70,600 hours for periodic filings by smaller advisers + 153,000 hours for periodic filings by large hedge fund advisers + 23,200 hours for periodic filings by large liquidity fund

SECURITIES AND EXCHANGE COMMISSION

Agency decision · Agency decision

of 1933 (“Securities Act”). … DISCUSSION KCG has registered its securities pursuant to Sectиon 12(b) of the Exchange Act and files the required periodic disclosure repprts.

Investment Company Names

Federal Register · Proposed Rule · Jun 17, 2022

estimate that, as of December 31, 2019, nearly 300 funds included the terms “ESG,” “clean,” “environmental,” “impact,” “responsible,” “social” or “sustainable” in their names); Morningstar Comment Letter … We request comment on the proposed transition period. 97. Do commenters agree that a one-year transition period provides time for funds to come into compliance with the proposed names rule?

Self-Regulatory Organizations; Fixed Income Clearing Corporation; Order Approving Proposed Rule Change To Amend the Rules Regarding the GCF Repo Service To Adopt Changes Recommended by the Tri-Party Repo Infrastructure Reform Task Force

Federal Register · Notice · Aug 14, 2012

of 1934 (“Act”). 1 The proposed rule change was published for comment in the Federal Register on June 26, 2012. 2 The Commission received no comment letters. … Other Rule Changes FICC is also making technical clean-up changes to Section 7 of GSD Rule 20, which relate to the GCF Repo collateral process.

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

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.

Framework for Enhancing the Quality of Financial Information Through Improvement of Oversight of the Auditing Process

Federal Register · Proposed Rule · Jul 5, 2002

On occasion, firms have received “clean” peer review reports despite well-publicized problems within a firm. … If a different period is appropriate, what period should it be? We solicit comment on allowing a small number of accountants to be on a PAB.

Procedural Requirements and Resubmission Thresholds Under Exchange Act Rule 14a-8

Federal Register · Proposed Rule · Dec 4, 2019

Request for Comment VII. Small Business Regulatory Enforcement Fairness Act VIII. Statutory Authority I. Introduction A. … Paperwork Reduction Act A.

Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change To Adopt New NYSE Arca Rule 8.800-E To Provide for the Listing and Trading of Commodity- and Digital Asset-Based Investment Interests and To List and Trade Shares of the Grayscale Digital Large Cap Fund LLC

Federal Register · Notice · Nov 4, 2024

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@sec.gov.

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.

EDGAR Filer Access and Account Management

Federal Register · Rule · Dec 27, 2024

The comment period for the Proposing Release was open for 60 days, and we do not believe an extension of the comment period is necessary. … Further, for filers that have not reset their CCC for some period of time, changing the CCC upon enrollment represents a clean start, and assures that someone who possesses the legacy CCC but is not authorized

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

Federal Register · Notice · Feb 11, 2000

Interested persons wishing to comment or request a hearing on the applications(s) and/or declaration(s) should submit their views in writing by February 28, 2000, to the Secretary, Securities and Exchange … Capstone designs, fabricates and markets an air-bearing based microturbine that is capable of using various fuels to generate electric power.

Conflicts of Interest Associated With the Use of Predictive Data Analytics by Broker-Dealers and Investment Advisers

Federal Register · Proposed Rule · Aug 9, 2023

Request for Comment IV. Paperwork Reduction Act A. Introduction B. Proposed Conflicts Rules and Proposed Recordkeeping Amendments C. Request for Comment V. … If records should be preserved for different periods of time, which records should have different time periods and what should those periods of time be? 90.

Conformed to Federal Register Version

Agency decision · Agency decision

an estimate that, as of December 31, 2019, nearly 300 funds included the terms “ESG,” “clean,” “environmental,” “impact,” “responsible,” “social” or “sustainable” in their names); Morningstar Comment … We request comment on the proposed transition period. 97. Do commenters agree that a one-year transition period provides time for funds to come into compliance with the proposed names rule?