Documents

The Enhancement and Standardization of Climate-Related Disclosures for Investors

Federal Register · Proposed Rule · Apr 11, 2022

See California Air Resources Board, States that have Adopted California's Vehicle Standards under Section 177 of the Federal Clean Air Act, available at https://ww2.arb.ca.gov/resources/documents … Air Res.

Exemption of Acquisition By Registered Public-Utility Holding Companies of Securities of Nonutility Companies Engaged in Certain Energy-Related and Gas-Related Businesses; Exemption of Capital Contributions and Advances to Such Companies

Federal Register · Proposed Rule · Jun 28, 1995

6) the production, conversion, and distribution of thermal energy products, such as process steam, heat, hot water, chilled water, air conditioning, compressed air and similar products; alternative fuels … by the system over recent periods, prior bankruptcies of system companies, and any other basis specified by the commenter.

Regulation Best Interest

Federal Register · Proposed Rule · May 9, 2018

to submit data and other information that may inform the Commission's analysis, including data covering periods since the 2013 solicitation of comment. 68  Chairman Jay Clayton, Public Comments … set the fee schedules according to neutral factors, retail customers purchasing clean shares could face higher costs compared to other share classes depending on the investors' holding period for the

Amendments to Regulation SHO

Federal Register · Proposed Rule · Jul 21, 2006

General Request for Comment The Commission seeks comment generally on all aspects of the proposed amendments to Regulation SHO under the Exchange Act. … We are seeking comment on an appropriate length of implementation period that should provide sufficient notice.

Rescission of Climate-Related Disclosure Rules

Federal Register · Proposed Rule · Jun 3, 2026

period for Proposing Release); Resubmission of Comments and Reopening of Comment Periods for Several Rulemaking Releases Due to a Technological Error in Receiving Certain Comments, Release No. 33- … Air Res.

Use of Form S-8 and Form 8-K by Shell Companies

Federal Register · Proposed Rule · Apr 21, 2004

Follow the instructions for submitting comments. Paper comments: • Send paper comments in triplicate to Jonathan G. … • Is the waiting period proposed in 1999 preferable? • Should the waiting period be tied to some event other than filing of Form 10-equivalent information?

Modernization of the Oil and Gas Reporting Requirements

Federal Register · Proposed Rule · Jul 9, 2008

Some of the commenters responding to the Concept Release expressed concerns regarding companies that carry alleged PUDs for lengthy time periods. 129 Long holding periods of such reserves raise the … —Calculation of Incremental Paperwork Reduction Act Burden Estimates for Exchange Act Periodic Reports Form Annual responses Incremental hours/form Incremental burden 75% Issuer 25%

Registered Public-Utility Holding Companies and Internationalization

Federal Register · Proposed Rule · Dec 21, 1999

The Federal Aviation Act, for example, establishes percentage limitations on board membership and voting interests in determining whether an air carrier is considered a United States citizen.14 ------- … Areas for Comment 1.

Enhanced Disclosures by Certain Investment Advisers and Investment Companies About Environmental, Social, and Governance Investment Practices

Federal Register · Proposed Rule · Jun 17, 2022

Proposed New Annual Reporting Requirements under Rule 30e-1 and Exchange Act Periodic Reporting Requirements for BDCs G. Form N-CEN H. Form N-CSR I. Form ADV J. Request for Comments V. … Should the period be shorter or longer? Should the transition period, as proposed be the same for ADV Parts 1 and 2? III. Economic Analysis A.

Proposed Amendment to Rule 102(e) of the Commission's Rules of Practice

Federal Register · Proposed Rule · Jun 18, 1998

DATES: Comments must be received on or before July 20, 1998. ADDRESSES: Submit comments in triplicate to Jonathan G. … Compagnie Nationale Air France, 78 F.3d 664, 668 (D.C. Cir. 1996), citing Farmer v. Brennan, 511 U.S. 825, 836-37 (1994); see generally W.

Substantial Implementation, Duplication, and Resubmission of Shareholder Proposals Under Exchange Act Rule 14a-8

Federal Register · Proposed Rule · Jul 27, 2022

Act”). … Initial Regulatory Flexibility Act Analysis The Regulatory Flexibility Act (“RFA”)  153 requires an agency, when issuing a rulemaking proposal, to prepare and make available for public comment

Amendments to Regulation SHO

Federal Register · Proposed Rule · Aug 14, 2007

15(d) of the Exchange Act. … These activities rarely lead to fails to deliver and, if fails to deliver do occur, they are small in number and are usually cleaned up within a day.

Asset-Backed Securities

Federal Register · Proposed Rule · May 13, 2004

Transition Period G. General Request for Comment IV. Paperwork Reduction Act V. Cost-Benefit Analysis VI. … This is to alert investors that the callable feature is greater than a typical ABS “clean up” call. 150   See Frank J.

Disclosure of Payments by Resource Extraction Issuers

Federal Register · Proposed Rule · Dec 23, 2010

Treatment for Purposes of the Securities Act and the Exchange Act G. Effective Date H. General Request for Comment III. Paperwork Reduction Act A. Background B. … specify that disclosure would be required for fees paid for environmental permits, water and surface use permits, and other land use permits; fees for construction and infrastructure planning permits, air

Amendments to the Penny Stock Rules

Federal Register · Proposed Rule · Jan 16, 2004

General Request for Comments VIII. Paperwork Reduction Act Analysis IX. Costs and Benefits of Proposed Rulemaking X. … Save The World Air, Inc., Litigation Rel. No. 17283 (Dec. 19, 2001); SEC v.

Registration of Municipal Advisors

Federal Register · Proposed Rule · Jan 6, 2011

from individualized advice about the appropriate investment for a particular state or local government entity.”  134 Moreover, this commenter stated that “a clean energy services company should not … This 45-day period is consistent with Exchange Act Section 15B(a)(2), pursuant to which the Commission has 45 days to grant a registration or institute proceedings to determine if a registration should

Part 248-Regulation S-P: Privacy of Consumer Financial Information and Safeguarding Personal Information

Federal Register · Proposed Rule · Mar 13, 2008

General Request for Comments IV. Paperwork Reduction Act V. Cost-Benefit Analysis VI. Initial Regulatory Flexibility Analysis VII. … to keep these records for the same period of time?

Administration of the Electronic Data Gathering, Analysis, and Retrieval System

Federal Register · Proposed Rule · Sep 17, 2020

an email to rule-comments@sec.gov. … Company Act”) and the Securities Exchange Act of 1934 (“Exchange Act”)); and Release No. 33-6986 (Apr. 9, 1993) [58 FR 18638] (adoption of the EDGAR Filer Manual).

Tailored Shareholder Reports, Treatment of Annual Prospectus Updates for Existing Investors, and Improved Fee and Risk Disclosure for Mutual Funds and Exchange-Traded Funds; Fee Information in Investment Company Advertisements

Federal Register · Proposed Rule · Nov 5, 2020

period? … Investors purchasing and selling clean shares may be required to pay a commission to a broker.

Prohibition Against Conflicts of Interest in Certain Securitizations

Federal Register · Proposed Rule · Sep 28, 2011

Please comment upon the types of risk that are hedged during the warehouse period ( e.g., credit risk, basis risk, default risk, etc. ) as well as the types of instruments used to hedge ( e.g., … incentives during the prohibited time period as required under the statute.