Documents

UNITED STATES DISTRICT COURT

Agency decision · Agency decision

During the Relevant Period, Delgado managed and controlled Goliath. … space for Goliath and donated approximately $4 million of investor Funds to charitable organizations so that Goliath could promote its purported investment opportunity through sponsorships and convey an air

Conformed to Federal Register version and consolidated with correction 34-97990A

Agency decision · Agency decision

The proposed retention periods also conform to existing retention periods for brokerdealers and investment advisers. … 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.

SECURITIES AND EXCHANGE COMMIS~WIP?

Agency decision · Agency decision

The Timing of the Subsequent Offering Period and Prompt Payment Thereunder Pursuant to Rule 14d-11 under the Exchange Act, offerors may elect to provide a Subsequent Offering Period of from three U.S. … Offer for lnnogy Holdings plc (available March 22, 2002); Schlumberger Limited Offer for Sema plc (available July 2, 2001); Amerada Hess Corporation Offer for LASMO plc (available December 13, 2000); and Air

Enhancement of Emerging Growth Company Accommodations and Simplification of Filer Status for Reporting Companies

Federal Register · Proposed Rule · May 21, 2026

Request for Comment VI. Congressional Review Act VII. Initial Regulatory Flexibility Act Analysis A. Reasons for, and Objectives of, the Proposed Action B. Legal Basis C. … Unresolved Staff Comments In an annual report, if the registrant has received written comments from the Commission staff regarding its periodic reports under the Exchange Act not less than 180 days before

Disclosure of Order Execution Information

Federal Register · Proposed Rule · Jan 20, 2023

Paperwork Reduction Act A. Summary of Collection of Information B. Proposed Use of Information C. Respondents D. Total PRA Burdens E. Request for Comment VII. Economic Analysis A. … If not, what grace period do commenters think would be appropriate? Would one month be sufficient in this context?

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

Conformed to Federal Register Version

Agency decision · Agency decision

Unresolved Staff Comments In an annual report, if the registrant has received written comments from the Commission staff regarding its periodic reports under the Exchange Act not less than 180 days before … If the registrant has received written comments from the Commission staff regarding its periodic or current reports under the Act not less than 180 days before the end of its fiscal year to which the annual

Public Company Accounting Oversight Board; Notice of Filing of Proposed Rules on Auditing Accounting Estimates, Including Fair Value Measurements, and Amendments to PCAOB Auditing Standards

Federal Register · Notice · Apr 4, 2019

It may only come into question if a `clean' audit report is followed by the collapse of the company.” … of Title I of the Act.

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

Federal Register · Notice · Jun 14, 1996

SECURITIES AND EXCHANGE COMMISSION [Release No. 35-26530] Filings Under the Public Utility Holding Company Act of 1935, as Amended (``Act'') June 7, 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 July 1, 1996, to the Secretary, Securities and Exchange Commission

Self-Regulatory Organizations; Order Approving Proposed Rule Changes by the National Association of Securities Dealers, Inc. and Amendment Nos. 1, 2, 3, 4, 5, 6, 7 and 8 Thereto and Notice of Filing and Order Granting Accelerated Approval of Amendment No. 9 Relating to the Establishment of the Nasdaq Order Display Facility and Order Collector Facility and Modifications of the Nasdaq Trading Platform

Federal Register · Notice · Jan 26, 2001

The Commission subsequently extended the comment period for the Agency Quote Proposal. See Securities Exchange Act Release No. 41243 (April 1, 1999), 64 FR 17428 (April 9, 1999). … , a trade-through could occur if that order is executed at a price outside of the displayed price. 328 This commenter recommended adding a “clean-up” feature for directed orders pursuant to which

Self-Regulatory Organizations; American Stock Exchange LLC; Notice of Filing of Proposed Rule Change and Amendments No. 1, 2, 3, 4, and 5 Thereto Relating to the New Amex Hybrid Market Structure

Federal Register · Notice · Jul 21, 2006

the Act. … rule-comments@sec.gov.

Further Definition of “Swap Dealer,” “Security-Based Swap Dealer,” “Major Swap Participant,” “Major Security-Based Swap Participant” and “Eligible Contract Participant”

Federal Register · Rule · May 23, 2012

See letters from Air Transport Association of America, Inc. … See, e.g., letter from Needham Oil & Air, LLC.

Self-Regulatory Organizations; Nasdaq BX, Inc.; 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

Self-Regulatory Organizations; The Nasdaq Stock Market 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

Self-Regulatory Organizations; Nasdaq ISE, 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

Conformed to Federal Register version

Agency decision · Agency decision

Four commenters stated that the comment period was inadequate and/or recommended extending the comment period. … To the extent one commenter appeared to suggest that the minimum dissemination period should be the same as the IPO “48 hour” rule of Exchange Act Rule 15c2-8,519 we do not believe a 48-hour period would

Disclosure of Order Handling Information

Federal Register · Rule · Nov 19, 2018

for orders handled during the grace period, as the grace period is not part of the Compliance Period. … of three years from the initial date of posting on the website. 448 While one commenter suggested a two-year posting period instead of a three-year period, the three-year period is consistent with

Special Purpose Acquisition Companies, Shell Companies, and Projections

Federal Register · Rule · Feb 26, 2024

Four commenters stated that the comment period was inadequate and/or recommended extending the comment period. … To the extent one commenter appeared to suggest that the minimum dissemination period should be the same as the IPO “48 hour” rule of Exchange Act Rule 15c2-8, 519 we do not believe a 48-hour period

Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing of Amendment No. 2 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 2, To Amend Rules 4702(b)(14) and (b)(15) Concerning Dynamic M-ELO Holding Period

Federal Register · Notice · Sep 13, 2023

The commenter states that Nasdaq did not describe how it determined the 5% of activity during that period to exclude from its analysis. 97 For example, the commenter states that it is not clear whether … the Act.

Public Company Accounting Oversight Board; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Delaying Implementation Schedule of Rule 3523, Tax Services for Persons in Financial Reporting Oversight Roles

Federal Register · Notice · Jun 2, 2008

of Title I of the Act. … rule-comments@sec.gov .