Documents

Division of Investment Management

Agency decision · Agency decision

Information presented in this report reflects staff’s compilation and analysis of data reported to the Commission on Form N-MFP for the reference period. … If you have any questions or comments about this report, please contact Sharon Pichler or Isaac Kuznits, Analytics Office, Division of Investment Management, at Form-NMFP@sec.gov, with the subject line

Initial Decision Release No. 1392

Agency decision · Agency decision

Reg. 32,738, 32,792–93 (June 23, 1995) (comment to adoption of 17 C.F.R. § 201.630(c)). 91 92 Resp’ts’ App. 1505. 93 Id. at 1506. 94 Id. at 1505. 95 Id. at 1505–06. 13 errands.96 Featherstone … A first-tier penalty for the period at issue in this proceeding is limited to $7,500 and may be imposed for any violation.117 A second-tier penalty, which has a maximum of $80,000, may be imposed if the

1 GIOVANNI P. PREZIOSO

Agency decision · Agency decision

The Commission also inspects the NASD and NYSE arbitration systems on a periodic basis in order to “identify areas where procedures should be strengthened, and to encourage remedial steps either through … Upon the filing of any 8 proposed rule change, the Commission must publish notice of the change and provide 9 interested parties an opportunity to comment (id.).

SECURITIES AND EXCHANGE

Agency decision · Agency decision

of 1934 (“Exchange Act”) … • Any member of the public may direct to the Commission any comments concerning the accuracy of the burden estimate on this Form and any suggestions for reducing this burden.

UNITED STATES TAX COURT

Agency decision · Agency decision

American Jobs Creation Act of 2004, Pub. L. No. 108-357, sec. 422(a), 118 Stat. at 1514-1515. … Chigas noted, CSA and its operating subsidiaries had very low debt levels during the relevant period.

U NITED S TATES C OURT OF A PPEALS FOR THE S ECOND C IRCUIT

Agency decision · Agency decision

A RGUMENT Congress enacted the federal securities laws after the stock market crash of 1929, and after half of the new securities sold during the post-World War I period turned out to be worthless. … that he did not breach a fiduciary duty, and he cites no appellate decision (or commentator, for that matter) supporting the view that lies are only deceptive if the liar is a fiduciary.

Horizontal Merger Guidelines

Agency decision · Agency decision

Horizontal Merger Guidelines For Public Comment: Released On April 20, 2010 1. … , 15 U.S.C. § 18, Sections 1 and 2 of the Sherman Act, 15 U.S.C. §§ 1, 2 and Section 5 of the Federal Trade Commission Act, 15 U.S.C. § 45.

Federated Core Trust II, L.P.: No

Agency decision · Agency decision

As discussed above, however, the Partnership will comply with the requirements of Section 17(g) and the Board of Directors will periodically meet to make the requisite approvals under that Section. … In the words of one commentator, ULPA, which was the prevailing version of limited partnership statute in most states until the mid-1980s, contained precious few rights for limited partners.

United States Tax Court

Agency decision · Agency decision

Tax Reform Act of 1986, Pub. L. No. 99-514, § 1231(e)(1), 100 Stat. 2085, 2562–63. … Respondent chose 53 [*53] neither to comment on this suggestion nor to make any additional suggestions, except for a comment in respondent’s Final Supplemental Posttrial Brief. 11 E.

T .C . Memo . 2009-12 1

Agency decision · Agency decision

The following comment appears in 1 . … of legislative grace, has acquired--over the more than 70year period since its inception--the status of a prescriptive right in the minds of tax practitioners . and members of the public .

UNITED STATES TAX COURT

Agency decision · Agency decision

This section was redesignated as sec. 6621(c) by sec. 1511(c)(1)(A) of the Tax Reform Act of 1986, Pub. … reports commenting on its conclusions.

Division of Investment Management

Agency decision · Agency decision

If you have any questions or comments about First Calendar Quarter 2017 Private Funds Statistics, please contact: Tim Dulaney, PhD, FRM or Tim Husson, PhD, FRM at FormPF@sec.gov with subject line “First … Exempt reporting advisers are advisers that rely on the exemptions from SEC registration in Advisers Act section 203(l) for venture capital fund advisers and section 203(m) for advisers managing less than

Division of Investment Management

Agency decision · Agency decision

If you have any questions or comments about Fourth Calendar Quarter 2019 Private Funds Statistics, please contact: Tim Dulaney, PhD, FRM, Tim Husson, PhD, FRM, or Trevor Tatum at FormPF@sec.gov with subject … Exempt reporting advisers are advisers that rely on the exemptions from SEC registration in Advisers Act section 203(l) for venture capital fund advisers and section 203(m) for advisers managing less than

Division of Investment Management

Agency decision · Agency decision

If you have any questions or comments about Second Calendar Quarter 2021 Private Funds Statistics, please contact: Tim Dulaney, PhD, FRM, Tim Husson, PhD, FRM, or Trevor Tatum at FormPF@sec.gov with subject … Exempt reporting advisers are advisers that rely on the exemptions from SEC registration in Advisers Act section 203(l) for venture capital fund advisers and section 203(m) for advisers managing less than

Division of Investment Management

Agency decision · Agency decision

If you have any questions or comments about Third Calendar Quarter 2021 Private Funds Statistics, please contact: Tim Dulaney, PhD, FRM, Tim Husson, PhD, FRM, or Trevor Tatum at FormPF@sec.gov with subject … Exempt reporting advisers are advisers that rely on the exemptions from SEC registration in Advisers Act section 203(l) for venture capital fund advisers and section 203(m) for advisers managing less than

Division of Investment Management

Agency decision · Agency decision

If you have any questions or comments about Fourth Calendar Quarter 2021 Private Funds Statistics, please contact: Tim Dulaney, PhD, FRM, Tim Husson, PhD, FRM, or Trevor Tatum at FormPF@sec.gov with subject … Exempt reporting advisers are advisers that rely on the exemptions from SEC registration in Advisers Act section 203(l) for venture capital fund advisers and section 203(m) for advisers managing less than

Division of Investment Management

Agency decision · Agency decision

If you have any questions or comments about Third Calendar Quarter 2023 Private Funds Statistics, please contact: Tim Dulaney, PhD, FRM, Tim Husson, PhD, FRM, or Trevor Tatum at FormPF@sec.gov with subject … Exempt reporting advisers are advisers that rely on the exemptions from SEC registration in Advisers Act section 203(l) for venture capital fund advisers and section 203(m) for advisers managing less than

Division of Investment Management

Agency decision · Agency decision

If you have any questions or comments about Third Calendar Quarter 2020 Private Funds Statistics, please contact: Tim Dulaney, PhD, FRM, Tim Husson, PhD, FRM, or Trevor Tatum at FormPF@sec.gov with subject … Exempt reporting advisers are advisers that rely on the exemptions from SEC registration in Advisers Act section 203(l) for venture capital fund advisers and section 203(m) for advisers managing less than

UNITED STATES TAX COURT

Agency decision · Agency decision

Internal Revenue Service Restructuring and Reform Act of 1998, Pub. L. 105-206, sec. 3001(a), 112 Stat. 726. … In her analysis of the RMA data, Ding stated that petitioner’s-average compensation [total executive compensation, including what petitioner paid to Mary] to sales ratio for the period 1986-1996 was 4.6%

UNITED STATES TAX COURT

Agency decision · Agency decision

TS3 was agreeable to such a structure and, based on Makric's and its owners' comments to the final agreement, we thought the executed agreement met their goal. … The taxpayer has the burden of showing that it acted with reasonable cause and in good faith. Higbee v. Commissioner, 116 T.C. at 449.