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MLX Corporation; Notice of Application
Federal Register · Notice · Dec 15, 1997
On May 19, 1997, MLX was granted an order (the ``Existing Order'') exempting it from most of the provisions of the Act during the period from the date of the Existing Order to December 31, 1997.\1\ However … During the period of time MLX is exempted from registration under the Act, MLX will not purchase or otherwise acquire any additional securities other than securities that are rated investment grade or
62 FR 65721Securities and Exchange CommissionFederal Register · Notice · Oct 4, 2018
ICC Treasury Operations Policies and Procedures (“Treasury Policy”). 3 The proposed rule change was published in the Federal Register on August 16, 2018. 4 The Commission did not receive comments … Changes Relating to Outside Investment Managements and Clean-Up Changes To reflect ICC's engagement of multiple outside investment managers the proposed rule change would remove reference to a specific
83 FR 50124Securities and Exchange CommissionAgency decision · Agency decision
Accordingly, during the Relevant Period, Defendants acted as investment advisers to the Funds within the meaning of Section 202(a)(11) of the Advisers Act, 15 U.S.C. § 80b2(a)(11), because they were persons … Document 1 Filed 04/24/26 Page 16 of 46 Another employee commented that, as was often the case, Lucas avoided her when she tried to raise the issue. 4. 65.
Securities and Exchange CommissionMJ't _ _..;;.j:_(;...:;Al--'~Lf_j)
Agency decision · Agency decision
D.C. 20549 February 25 , 1997 VIA FACSIMILE AND AIR MAIL Mr. … On July 27, 1995, the SEC proposed for pUblic comment amendments to Rule 17f-5 that would, among other things, amend the definition of "eligible foreign custodian."
Securities and Exchange CommissionFederal Register · Notice · Nov 13, 2003
The Act provides for public notice of these Constitutional amendments, for public comment, and for specific time periods for SEC action. … He is a Director of Air Liquide and previously General Motors Corporation and Merck & Co., Inc.
68 FR 64380Securities and Exchange CommissionFederal Register · Notice · Aug 29, 2019
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 … All comments received will be posted without change. Persons submitting comments are cautioned that we do not redact or edit personal identifying information from comment submissions.
84 FR 45557Securities and Exchange CommissionFilings Under the Public Utility Holding Company Act of 1935, as Amended (``Act'')
Federal Register · Notice · Aug 30, 1999
and rules 43 and 46 under the Act. … and rule 54 under the Act.
64 FR 47201Securities and Exchange CommissionFederal Register · Notice · Nov 20, 2018
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
83 FR 58649Securities and Exchange CommissionAdministration of the Electronic Data Gathering, Analysis, and Retrieval System
Federal Register · Rule · Feb 3, 2021
of the Securities Exchange Act of 1934 (“Exchange Act”), and Section 2(c) of the Investment Company Act of 1940 (“Investment Company Act”) require us, when engaging in rulemaking that requires us to consider … threats, there may be benefits to the users of EDGAR. 36 In particular, users, including investors, analysts, asset managers, and data collection companies, may incur fewer costs associated with cleaning
86 FR 7961Securities and Exchange CommissionFederal Register · Notice · Sep 18, 2017
Obvious Error Panel, Appeals—Clean-Up change Rule 6.87(k)(1)(B) describes the procedure for appealing decisions relating to obvious errors. … 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
82 FR 43578Securities and Exchange CommissionFederal Register · Notice · Nov 20, 2018
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
83 FR 58657Securities and Exchange CommissionFederal Register · Notice · Sep 18, 2017
Obvious Error Panel, Appeals—Clean-Up Change Rule 975NY(k)(1)(B) describes the procedure for appealing decisions relating to obvious errors. … 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
82 FR 43601Securities and Exchange CommissionSECURITIES AND EXCHANGE COMMISSION
Agency decision · Agency decision
Moriarty of Carter, Ledyard & Milburn, dated March 9, 2005; PowerShares WilderHill Clean Energy Portfolio, letter from James A. … The Index is available for periods back to December 31, 1977.
Securities and Exchange CommissionFederal Register · Notice · Nov 20, 2018
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
83 FR 58665Securities and Exchange CommissionAgency decision · Agency decision
Act. … Owner will provide its review and comments on the Initial Plans within ten (10) business days after receipt of the Initial Plans.
Securities and Exchange CommissionRegistration and Regulation of Security-Based Swap Execution Facilities
Federal Register · Proposed Rule · Feb 28, 2011
Proposed Rule 806(c)(2) would require the Commission to provide a 30-day public comment period within the 90-day period that the stay is in effect and to publish a notice of the 30-day comment period on … Proposed Rule 807(c) would require the Commission to provide a 30-day public comment period within the 90-day period that the stay is in effect and to publish a notice of the 30-day comment period on the
76 FR 10948Securities and Exchange CommissionAgency decision · Agency decision
the 1933 Act (if 9 Item 5(b)(2) of Form N-1A requires a fud to disclose its average annual total return for specifed periods calculated in accordance with Item 21(b)(1). … That "new" fud could then star with.a clean performance slate and no obligation to inform investors of its prior poor performance history.
Securities and Exchange CommissionProcedural Requirements and Resubmission Thresholds Under Exchange Act Rule 14a-8
Federal Register · Rule · Nov 4, 2020
Several commenters offered views that were specific to the proposed holding periods. … the Preliminary Staff Analysis was added to the comment file after the comment period closed in February 2020.
85 FR 70240Securities and Exchange CommissionFederal Register · Proposed Rule · Sep 20, 2013
and viewing the docket after the close of the comment period … period by the original B-piece holder, while one commenter suggested a one-year initial retention period.
78 FR 57928Treasury DepartmentComptroller of the CurrencyFederal Register · Proposed Rule · May 23, 2011
-day period described in paragraph (e)(1) of this section shall be stayed during the pendency of the comment period, but shall recommence with the business day after the public comment period ends … 120-day period described in paragraph (e)(1) of this section shall be stayed during the pendency of the comment period, but shall recommence with the business day after the public comment period ends
76 FR 29818Commodity Futures Trading CommissionSecurities and Exchange Commission
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