Documents

Extension of Comment Period on Interim Final Rules on Definition of Terms in and Specific Exemptions for Banks, Savings Associations, and Savings Banks Under Sections 3(a)(4) and 3(a)(5) of the Securities Exchange Act of 1934

Federal Register · Rule · Jul 24, 2001

ACTION: Interim final rules; extension of comment period. … of “broker” and “dealer” under the Securities Exchange Act of 1934, contained in Release No. 34-44291, 66 FR 27760 (May 18, 2001). 1 The original comment period ended July 17, 2001.

Commission Guidance Regarding Disclosure Related to Climate Change

Federal Register · Rule · Feb 8, 2010

OpenDocument . 12  Endangerment and Cause or Contribute Findings for Greenhouse Gases Under Section 202(a) of the Clean Air Act, Docket ID No. … The Clean Air Act is found in 42 U.S.C. ch. 85.

The Enhancement and Standardization of Climate-Related Disclosures for Investors

Federal Register · Rule · Mar 28, 2024

See The White House, Building A Clean Energy Economy: A Guidebook To The Inflation Reduction Act's Investments In Clean Energy And Climate Action (Dec. 2022) (“Inflation Reduction Act Guidebook”) … Gov.; Southwest Air; State St.; Sullivan Cromwell; TRC; United Air; WEA/USOGA; and Western Midstream.

Facilitating Shareholder Director Nominations

Federal Register · Rule · Sep 16, 2010

the public comment file at or following the close of the original comment period. … Although many commenters supported the proposed one-year holding period, 290 the majority of commenters suggested a holding period longer than the proposed one-year period, with many recommending

Modernization of Oil and Gas Reporting

Federal Register · Rule · Jan 14, 2009

Comment Date: Comments on the Paperwork Reduction Act Analysis should be received on or before February 13, 2009. … Four commenters supported the proposed January 1, 2010 compliance date of Securities Act filings and Exchange Act filings related to fiscal periods ending on or after December 31, 2009. 320 However

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

Federal Register · Rule · Feb 20, 1997

conditioning, compressed air and similar products … \97\ Comments of AGA and Columbia. \98\ Comments of Columbia and Entergy. \99\ Rules 90, 91 and 92 under the Act, 17 CFR 250.90, 250.91 and 250.92. \100\ Comments of AGA.

Processing Requirements for Cancelled Security Certificates

Federal Register · Rule · Dec 23, 2003

In another instance, a transfer agent's shipping bags filled with cancelled certificates were stolen while in commercial air transit. … We received five comments on this proposal. 43 The commenters said that the proposed time frame of ten business days was too short a period for transfer agents to verify the non-delivery, to investigate

Rescission of Policy Regarding Denials in Settlements of Enforcement Actions

Federal Register · Rule · May 21, 2026

(cleaned up)). … See 37 FR 25224 (Nov. 29, 1972); see also Powell, 149 F.4th at 1046 (holding that the Commission acted properly under the APA when it adopted Rule 202.5(e) without notice and comment). 35

Amendments to the Commission's Rules of Practice

Federal Register · Rule · Dec 30, 2020

when the FOIA requires disclosure)). 12  5 U.S.C. 552a(b)(3), (e)(4)(D); see also, e.g., Dep't of the Air Force, Scott Air Force Base v. … Commenters sought an extended implementation period for compliance with the final rules. 65 Two commenters sought a one-year implementation period for the electronic filing requirement to take effect

Securities Whistleblower Incentives and Protections

Federal Register · Rule · Jun 13, 2011

App. 255, 258-59 (4th Cir. 2007) (Clean Air Act); Williams v. U.S. DOL, 157 Fed. … ); 42 U.S.C. 7622(g) (Clean Air Act); 42 U.S.C. 9610(d) (CERCLA); 42 U.S.C. 5851(g) (Energy Reorganization Act).

Amendments to Regulation SHO

Federal Register · Rule · Aug 14, 2007

However, some commenters opposed allowing a longer period for closing out fails to deliver in threshold securities sold pursuant to Rule 144 of the Securities 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.

Integration of Abandoned Offerings

Federal Register · Rule · Feb 5, 2001

ACTION: Final rule; solicitation of comment on Paperwork Reduction Act burden estimate. … Of the registration statements filed during the five-year period from January 1, 1995 to December 31, 1999, issuers withdrew 851 Securities Act registration statements.

Internal Control Over Financial Reporting in Exchange Act Periodic Reports of Non-Accelerated Filers and Newly Public Companies

Federal Register · Rule · Dec 21, 2006

for a transition period postponing compliance with these requirements until the second annual report filed with the Commission. 77 One commenter suggested that the transition period was of “critical … One commenter sought clarification on the transition period, 80 and others suggested expanding the transition period for newly public companies to allow them more time to comply with the requirements

Amendments to Regulation SHO

Federal Register · Rule · Oct 17, 2008

The Commission made this data available to the public for review and comment by including it in a Commission release and re-opening the comment period to the Reproposal on July 7, 2008. 39 The comment … period.”

Amendments To Rules On Shareholder Proposals

Federal Register · Rule · May 28, 1998

\54\ See, e.g., Air Products and Chemicals, Inc., Dec. 22, 1997; NationsBank, Nov. 21, 1997; BRT Letter; Sullivan & Cromwell Letter. … We received no Paperwork Reduction Act comments relating to the amendments.

Amendment to Municipal Securities Disclosure

Federal Register · Rule · Jun 10, 2010

The comment period for the proposed amendments expired on September 8, 2009. … the Exchange Act.

Amendments to Regulation SHO

Federal Register · Rule · Oct 17, 2008

Follow the instructions for submitting comments. Paper Comments • Send paper comments in triplicate to Florence E. … 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 · Rule · Jan 7, 2005

Several commenters urged eliminating any restrictions on revolving periods, regardless of the type of asset or the form of registration. 124 Revolving periods, these commenters argued, allow issuers … minimum level, with minor revisions to our proposal in response to comment. 309 Many ABS transactions include “clean up” calls whereby the securities are called and the trust terminated before

Further Definition of “Swap,” “Security-Based Swap,” and “Security-Based Swap Agreement”; Mixed Swaps; Security-Based Swap Agreement Recordkeeping

Federal Register · Rule · Aug 13, 2012

air or greenhouse gas regulations. … , in turn decreasing demand for power to run the air conditioning.

Regulation Best Interest: The Broker-Dealer Standard of Conduct

Federal Register · Rule · Jul 12, 2019

While most commenters requested an implementation period of 18-24 months, 836 one commenter requested an implementation period of 12-18 months. 837 We believe the operational capability needed … See, e.g., James Chen, Clean Shares, Investopedia, available at https://www.investopedia.com/terms/c/clean-shares.asp , stating that “[t]he mutual fund industry introduced clean shares, along