Documents

Covered Investment Fund Research Reports

Federal Register · Rule · Dec 13, 2018

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 … business or small organization. 422 As of December 31, 2017, the Commission estimates that there were approximately 1,043 broker-dealers that would be considered small entities as defined above. 423

Adoption of Updated EDGAR Filer Manual

Federal Register · Rule · Jan 20, 2000

• 497AD —Prospectus filed by certain investment companies under Rule 482  6 (482 ads). 7 Filers who are required to file 482 ads with us in accordance with Rule 497 and the NOTE … The January 24, 2000 edition of the EDGAR Filer Manual: Guide for Electronic Filing with the U.S.

Disclosure of Mutual Fund After-Tax Returns

Federal Register · Rule · Feb 5, 2001

(Oct. 29, 1999) (Statement of the U.S. … (Sept. 29, 1998) (Statement of Arthur Levitt, Chairman, U.S.

Acceleration of Effectiveness of Registration Statements of Issuers With Certain Mandatory Arbitration Provisions

Federal Register · Rule · Sep 19, 2025

McMahon, 482 U.S. 220, 228-38 (1987) (“ McMahon” ). 31   McMahon, 482 U.S. at 228-29. … U.S. at 228-29. 33  15 U.S.C. 78aa. 34   McMahon, 482 U.S. at 228.

Amendments to Investment Company Advertising Rules

Federal Register · Rule · Oct 6, 2003

John Nuveen & Co., 619 F.2d 1222, 1225 (7th Cir. 1980), cert. denied, 450 U.S. 1005 (1981). … Rule 420 applies to rule 482 advertisements. Note to rule 482(a) [17 CFR 230.482(a)].

Tailored Shareholder Reports for Mutual Funds and Exchange-Traded Funds; Fee Information in Investment Company Advertisements

Federal Register · Rule · Nov 25, 2022

Levinson, 485 U.S. 224, 231 (1988) (“ Basic v. … See Letter to Dalia Blass, Director, Division of Investment Management, U.S.

New Disclosure Option for Open-End Management Investment Companies

Federal Register · Rule · Mar 23, 1998

Northway, Inc., 426 U.S. 438, 449 (1976); Basic, Inc. v. Levinson, 485 U.S. 224, 231-32 (1988). … Litigation, 1996 U.S. Dist. LEXIS 14209 (S.D.N.Y. 1996) (same); Tabankin v. Kemper Short-Term Global Income Fund, 1994 U.S. Dist.

Cross-Border Application of Certain Security-Based Swap Requirements

Federal Register · Rule · Feb 4, 2020

/hour for national hourly rate for an attorney = $423. … per hour) and $50,760 (=4 × 30 hours × Attorney at $423 per hour).

Securities Offering Reform for Closed-End Investment Companies

Federal Register · Rule · Jun 1, 2020

The institutional ownership of U.S. public equities was approximately 67% as of 2010. See Marshall E. Blume and Donald B. … The requirements for dating the prospectus apply equally to dating the SAI for purposes of Rule 423 under the Securities Act [17 CFR 230.423].

Enhanced Disclosure and New Prospectus Delivery Option for Registered Open-End Management Investment Companies

Federal Register · Rule · Jan 26, 2009

2(a)(10) of the Securities Act. 347 347  Rule 482(a) … Prospectus. 348 348  Rule 482(b)(1)

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

Federal Register · Rule · Nov 14, 2019

482   Id. … The U.S.

Registration for Index-Linked Annuities and Registered Market Value Adjustment Annuities; Amendments To Form N-4 for Index-Linked Annuities, Registered Market Value Adjustment Annuities, and Variable Annuities; Other Technical Amendments

Federal Register · Rule · Jul 24, 2024

Variable Annuity Life Insurance Co. of America, 359 U.S. 65, 77 (1959). … See Michael Martin, Computer and internet Usage in the United States: 2018, U.S.

Use of Electronic Media for Delivery Purposes

Federal Register · Rule · Oct 13, 1995

McLaughlan, ``Wired Nations: Half of U.S. Homes Now Have a Computer,'' The Detroit News, July 21, 1995, Meet News section. … (41) A fund sends an e-mail with an attached file containing an advertisement satisfying the requirements of Securities Act Rule 482.\47\ \47\ Rule 482 [17 CFR 230.482] permits a registered investment

Ownership Reports and Trading by Officers, Directors and Principal Security Holders

Federal Register · Rule · Aug 9, 2005

Provident Securities Co. , 423 U.S. 232 (1976), at 243 (quoting Reliance Electric Co. v. Emerson Electric Co. , 404 U.S. 418, at 422 (1972). … Provident Securities Co. , 423 U.S. at 252. The expressed purpose of this provision is to prevent the unfair use of inside information.

Registration Process for Security-Based Swap Dealers and Major Security-Based Swap Participants

Federal Register · Rule · Aug 14, 2015

See 15 U.S.C. 78f(c)(2), 78o-3(g)(2), and 78q(f)(2), and 7 U.S.C. 6k(5) and 12a(1). 264  423 associated persons × 1 hour = 423. 265  423 associated persons × 2 hours = 846. … A U.S.

Solicitations of Interest Prior to a Registered Public Offering

Federal Register · Rule · Oct 4, 2019

Persons” (as defined in Rule 902(k)) who may purchase outside of the U.S. in a non-U.S. tranche of a registered offering. 108 This commenter also recommended, in the case of an offshore tranche offered … U.S. in a non-U.S. tranche of a registered offering); and SIFMA (recommending expanding the rule to include individual accredited investors).

Use of Electronic Media

Federal Register · Rule · May 4, 2000

Unger, Commissioner, U.S. … United States, 406 U.S. 128 (1972). a.

Ownership Reports and Trading by Officers, Directors and Principal Security Holders

Federal Register · Rule · Jun 14, 1996

(b)(3) and 423(b)(5), rather than an additional requirement. … (5) A Stock Purchase Plan shall mean an employee benefit plan that satisfies the coverage and participation requirements of sections 423(b)(3) and 423(b)(5), or section 410, of the Internal Revenue

Exemption From Section 101(c)(1) of the Electronic Signatures in Global and National Commerce Act for Registered Investment Companies

Federal Register · Rule · Aug 2, 2000

Likewise, for purposes of the Small Business Regulatory Enforcement Fairness Act of 1996, 17 the Commission is interested in receiving information regarding the potential effect of the proposals on the U.S … Here, we discuss the “adoption” theory only. 19  Our references to mutual fund advertisements and sales literature include rule 482 advertisements, 17 CFR 230.482, tombstone advertisements, 17

Technical Revisions to the Rules and Forms Regulating Money Market Funds

Federal Register · Rule · Dec 9, 1997

Two commenters suggested that the Commission exclude guarantees issued by the U.S. … Guarantees issued by the U.S. Government are deemed to be first tier securities.