Documents
Briefs, oral arguments, agency decisions and the Federal Register.
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Covered Investment Fund Research Reports
Federal Register · Proposed Rule · Jun 8, 2018
(“non-482 performance information”)? … Approximately one-third of U.S. corporate equity issues, one-quarter of U.S. municipal securities, one-fifth of corporate debt, one-fifth of U.S. commercial paper, and one-tenth of U.S. treasury and agency
83 FR 26788Securities and Exchange CommissionInvestment Company Advertising: Target Date Retirement Fund Names and Marketing
Federal Register · Proposed Rule · Jun 23, 2010
Bovbjerg, Director, Education, Workforce, and Income Security, United States Government Accountability Office, before the U.S. … Securities and Exchange Commission and the U.S.
75 FR 35920Securities and Exchange CommissionProposed Amendments to Investment Company Advertising Rules
Federal Register · Proposed Rule · May 24, 2002
John Nuveen & Co., 619 F.2d 1222, 1225 (7th Cir. 1980), cert. denied, 450 U.S. 1005 (1981). … The Commission requests comment on the potential impact of the proposed amendments on the U.S. economy on an annual basis. Commenters are requested to provide empirical data to support their views.
67 FR 36712Securities and Exchange CommissionDisclosure of Mutual Fund After-Tax Returns
Federal Register · Proposed Rule · Mar 22, 2000
(Oct. 29, 1999) (Statement of the U.S. … (Sept. 29, 1998) (Statement of Arthur Levitt, Chairman, U.S.
65 FR 15500Securities and Exchange CommissionFederal Register · Proposed Rule · May 26, 2026
See U.S. … (i); proposed Rule 482(k)(3)(i). 423 See Item 7(e) of Form N-4.
91 FR 31022Securities and Exchange CommissionCalculation of Yield by Certain Unit Investment Trusts
Federal Register · Proposed Rule · Nov 29, 1995
See Statistical Abstracts of the United States, U.S. Department of Commerce, 525 (1994) (based on annual averages of monthly data for interest rates between 1980 and 1990). … Most UITs that invest their assets in corporate, municipal, or U.S. government bonds invest almost exclusively in these securities.
60 FR 61454Securities and Exchange CommissionSecurities Offering Reform for Closed-End Investment Companies
Federal Register · Proposed Rule · Apr 10, 2019
Spratt, Assistant Director, at (202) 551-6921, Disclosure Review and Accounting Office; Division of Investment Management; U.S. … The requirements for dating the prospectus apply equally to dating the SAI for purposes of Rule 423 under the Securities Act.
84 FR 14448Securities and Exchange CommissionFederal Register · Proposed Rule · Nov 5, 2020
Hillman, Director, Financial Markets and Community Investment before the U.S. … 433 instead of rule 482.
85 FR 70716Securities and Exchange CommissionFederal Register · Proposed Rule · Dec 31, 2020
Burden Annual burden Baseline burden related to Form ATS amendment Per ATS: 18 hours (6 hours × 3 Form ATS amendments). 482 Industry: 468 hours. … (Attorney at $423 × 1.5 hours) + (Compliance Clerk at $71 × 0.5 hours) = $670.
85 FR 87106Securities and Exchange CommissionSolicitations of Interest Prior to a Registered Public Offering
Federal Register · Proposed Rule · Feb 28, 2019
Markets Association & Center for Capital Markets Competitiveness, U.S. … To the extent this is the case, the proposed rule could encourage additional registered offerings in the U.S.
84 FR 6713Securities and Exchange CommissionProposed New Disclosure Option for Open-End Management Investment Companies
Federal Register · Proposed Rule · Mar 10, 1997
other things, require a fund with a name suggesting that it focuses on a particular type of investment (e.g., an investment company that calls itself the ABC Stock Fund, the XYZ Bond Fund, or the QRS U.S … Send copies to the following address: Assistant Director, Office of Disclosure and Review, Division of Investment Management, U.S. Securities and Exchange Commission, 450 5th St.
62 FR 10943Securities and Exchange CommissionFederal Register · Proposed Rule · Nov 30, 2007
Prospectus. 144 144 Proposed rule 482(b)(1) … 482(c).
72 FR 67790Securities and Exchange CommissionMoney Market Fund Reform; Amendments to Form PF
Federal Register · Proposed Rule · Jun 19, 2013
Current U.S. … See Note to paragraph (b)(4), proposed (FNAV) rule 482(b)(4).
78 FR 36834Securities and Exchange CommissionRequest for Comment on Fund Retail Investor Experience and Disclosure
Federal Register · Proposed Rule · Jun 11, 2018
Miller, Associate Director, Division of Investment Management, U.S. … 23 See, e.g., Mutual Funds and ETFs: A Guide for Investors, U.S.
83 FR 26891Securities and Exchange CommissionUse of Electronic Media for Delivery Purposes
Federal Register · Proposed Rule · Oct 13, 1995
Clarke, (202) 942-0721, Division of Investment Management, U.S. Securities and Exchange Commission, 450 Fifth Street NW., Washington, D.C. 20549. … Katz, Secretary, U.S. Securities and Exchange Commission, 450 Fifth Street NW., Washington, D.C., 20549.
60 FR 53468Securities and Exchange CommissionImproving Descriptions of Risk by Mutual Funds and Other Investment Companies
Federal Register · Proposed Rule · Apr 4, 1995
See Summary of Comment Letters Relating to Proposed Rule 482(g) Made in Response to Investment Company Act Release No. 19342, File No. … \8\See Testimony of Arthur Levitt, Chairman, U.S.
60 FR 17172Improving Descriptions of Risk by Mutual Funds and Other InvestmentSecurities and Exchange CommissionInvestment Adviser Advertisements; Compensation for Solicitations
Federal Register · Proposed Rule · Dec 10, 2019
SEC, 446 U.S. 680 (1980)). See also Steadman at 643, n.5. … 482 Proposed rule 206(4)-3(a)(3)(iii)(B)(3).
84 FR 67518Securities and Exchange CommissionMoney Market Fund Prospectuses
Federal Register · Proposed Rule · Jul 26, 1995
Conforming amendments are being proposed to rule 482 under the 1933 Act [17 CFR 230.482] and Form N-2 [17 CFR 239.14 and 274.11a-1], the registration form for closed-end management investment companies … Rule 482 advertisements may only include information the ``substance of which'' is included in the fund's statutory prospectus.
60 FR 38454Securities and Exchange CommissionFederal Register · Proposed Rule · Mar 31, 2021
The items listed in the Regulatory Flexibility Agenda for Fall 2020 reflect only the priorities of the Chairman of the U.S. … RIN: 235-AL84 482. Filing Fee Disclosure and Payment Methods Modernization E.O. 13771 Designation: Independent agency.
86 FR 17040Securities and Exchange CommissionFederal Register · Proposed Rule · Oct 13, 2023
See also Office of Investor Education and Assistance, U.S. … 482 See VASP Adopting Release.
88 FR 71088Securities and Exchange Commission
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