Documents

SECURITIES 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.

Conformed to Federal Register version

Agency decision · Agency decision

ADDRESSES: Comments may be submitted by any of the following methods: Electronic comments: • Use the Commission’s internet comment form (https://www.sec.gov/comments/s72026-20/amendments-regulation-nms … See also Norges Bank comment letter ‘‘Re: Notice of Proposed Rule on Market Data Infrastructure, Securities Exchange Act Release No. 88216 (Feb. 14, 2020) (File No.

RESPONSE OF THE OFFICE OF

Agency 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.

Registration 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

RUL 3'lb-' Ill.Â) j Ri &.

Agency 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.

Credit Risk Retention

Federal 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.

Credit Risk Retention

Federal Register · Proposed Rule · Apr 29, 2011

and related materials, and viewing the docket after the close of the comment period … Solicitation of Comments on Use of Plain Language VIII. Administrative Law Matters A. Regulatory Flexibility Act B. Paperwork Reduction Act C. Commission Economic Analysis D.

SECURITIES AND EXCHANGE COMMISSION

Agency decision · Agency decision

Moriarty, Carter, Ledyard & Milburn, dated March 9,2005; PowerShares WilderHill Clean Energy Portfolio, letter from James A. … during which the NYSE is closed other than customary weekend and holiday closings, (b) any period during which trading on the NYSE is restricted, (c) any period during which an emergency exists as a result

Disclosure of Payments by Resource Extraction Issuers

Federal Register · Proposed Rule · Dec 23, 2015

DATES: We are providing two comment periods for this proposal. Initial comments are due on January 25, 2016. … Reply comments, which may respond only to issues raised in the initial comment period, are due on February 16, 2016.

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

Federal Register · Notice · Aug 15, 2005

Authorization Period Applicants seek authorization under the Act to engage in various financing transactions discussed below through September 30, 2008 (“Authorization Period”) and to retain certain … payments for specified periods.

Self-Regulatory Organizations; Nasdaq GEMX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule General 8 Section 1 Related to Co-Location Services

Federal Register · Notice · Feb 2, 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. … 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

Case: 13-4385

Agency decision · Agency decision

Refco, Inc., 198 F.3d 37 (2d Cir. 1999) ...................................................17 In re Air Cargo Shipping Servs. … See In re Air Cargo Shipping Servs.

SEC.gov

Agency decision · Agency decision

Exchange Act Release No. 58775, 73 FR at 61699. … See Exchange Act Release No. 60388, 74 FR at 38277-78. The thirty-five calendar day close out period expires once the deemed to own security has actually been delivered.

SECURITIES AND EXCHANGE COMMISSION

Agency decision · Agency decision

Perres, Exchange Act Release No. 79858, 2017 WL 280080, at *4 (Jan. 23, 2017) (holding that violations that persisted “over a two-year period [are] recurrent—not isolated—misconduct”). 39 See, e.g., Navellier … SEC, 45 F.3d 1515, 1519 (11th Cir. 1995); Air Prods. & Chems., Inc. v. FERC, 650 F.2d 687, 709–10 (5th Cir. 1981). 53 2001).

UNITED STATES RULE l if -ÇC~'; J(/ / I

Agency decision · Agency decision

ACT X(l/I ~40 SEION UNITED STATES RULE l if -ÇC~'; J(/ / I . I t SECURITIES AND EXCHANGE =MMJSSION PULIC .... ~ WASHINGTON. … System development syste To facilta~.w-iodel, a new software is being develope by Andersen Consulting aecording to HonE-kong Clean~'~Jequirements.

Proposed Revisions to Prohibitions and Restrictions on Proprietary Trading and Certain Interests in, and Relationships With, Hedge Funds and Private Equity Funds

Federal Register · Proposed Rule · Jul 17, 2018

The docket may be viewed after the close of the comment period in the same manner as during the comment period. … A final regulatory flexibility analysis will be conducted after comments received during the public comment period have been considered. The Board welcomes comment on all aspects of its analysis.

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

Federal Register · Notice · Feb 15, 1996

[[Page 6046]] SECURITIES AND EXCHANGE COMMISSION [Release No. 35-26470] Filings Under the Public Utility Holding Company Act of 1935, as Amended (``Act'') February 9, 1996. … Interested persons wishing to comment or request a hearing on the application(s) and/or declaration(s) should submit their views in writing by March 4, 1996, to the Secretary, Securities and Exchange Commission

SECURITIES AND EXCHANGE COMMISSION

Agency decision · Agency decision

of the Offers does not exceed 40% of the average daily trading volume of Common Shares on a worldwide basis for the same period; 2 iii. … Based upon the foregoing, and subject to the assumptions and qualifications herein contained, we are of the opinion that, as of the date hereof: Buenos Aires Caracas Guadalajara Juarez Lima Mexico City

Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, To Adopt Rules To List and Trade FLEX Options

Federal Register · Notice · Nov 29, 2024

However, ISE will file a clean-up amendment so that subparagraph (5) will refer instead to Complex Options Orders. This clean-up will align ISE's rule to MRX Options 3, Section 15(a)(1)(C). … 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

Ingersoll-Rand Ingersoll-Rand, along with its consolidated subsidiaries, is a diversified, global company that provides products, services and solutions to enhance the quality and comfort of air in homes … upon are, among other things: The Companies Act contains numerous separate enactments implemented over a 50-year period and is due to be consolidated into a single piece oflegislation, the Companies