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Securities Uniformity; Annual Conference on Uniformity of Securities Law
Federal Register · Uncategorized Document · Mar 30, 1994
Market 2000 In January 1994, the Division completed a major study of the structure of the U.S. equity markets and the regulatory environment in which our markets operate. … that practice, and whether steps should be taken to curb the practice. --------------------------------------------------------------------------- \12\Investment Adviser Oversight Act of 1993, S. 423
Securities and Exchange CommissionCovered 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
83 FR 64180Securities and Exchange CommissionFederal Register · Notice · Nov 7, 2003
An equity compensation plan that provides non-U.S. employees with substantially the same benefits as a comparable Section 401(a) plan, Section 423 plan or parallel excess plan that the listed company provides … . employees with substantially the same benefits as a comparable Section 401(a) plan, Section 423 plan or parallel excess plan that the listed company provides to its U.S. employees, but for features necessary
68 FR 63166Securities and Exchange CommissionAdoption 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.
65 FR 3123Securities and Exchange CommissionFederal Register · Notice · Nov 7, 2003
An equity-compensation plan that provides non-U.S. employees with substantially the same benefits as a comparable Section 401(a) plan, Section 423 plan or parallel excess plan that the listed company provides … . employees with substantially the same benefits as a comparable Section 401(a) plan, Section 423 plan or parallel excess plan that the listed company provides to its U.S. employees, but for features necessary
68 FR 63143Securities and Exchange CommissionFederal Register · Notice · Nov 7, 2003
(iv) An equity compensation plan that provides non-U.S. employees with substantially the same benefits as a comparable Section 401(a) plan, Section 423 plan or parallel excess plan that the listed company … . employees with substantially the same benefits as a comparable Section 401(a) plan, Section 423 plan or parallel excess plan that the listed company provides to its U.S. employees, but for features necessary
68 FR 63173Securities and Exchange CommissionCovered 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 CommissionFederal Register · Notice · Oct 11, 2002
Plans such as Section 401(a) plans and Section 423 plans are already regulated under the Internal Revenue Code and Treasury regulations. … Equity compensation plans that would qualify for the exception described in this paragraph but for features necessary to comply with foreign tax law in the non-U.S. jurisdiction in which the employees
67 FR 63486Securities and Exchange CommissionFederal 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.
90 FR 45125Securities 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 · Rule · Feb 5, 2001
(Oct. 29, 1999) (Statement of the U.S. … (Sept. 29, 1998) (Statement of Arthur Levitt, Chairman, U.S.
66 FR 9002Securities 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 CommissionAmendments 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)].
68 FR 57760Securities and Exchange CommissionFederal Register · Notice · Jul 3, 2003
While section 401(a) plans and parallel excess plans are not required to be approved by shareholders, U.S. … An equity-compensation plan that provides non-U.S. employees with substantially the same benefits as a comparable Section 401(a) plan, Section 423 plan or parallel excess plan that the listed company provides
68 FR 39995Securities and Exchange CommissionSubmission for OMB Review; Comment Request
Federal Register · Notice · Jan 28, 2009
SECURITIES AND EXCHANGE COMMISSION Submission for OMB Review; Comment Request Upon Written Request, Copies Available From: U.S. … Extension: Rule 15c1-6; OMB Control No. 3235-0472; SEC File No. 270-423.
74 FR 4989Securities and Exchange CommissionFederal 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.
87 FR 72758Securities and Exchange CommissionSubmission for OMB Review; Comment Request
Federal Register · Notice · Dec 4, 2017
SECURITIES AND EXCHANGE COMMISSION [SEC File No. 270-423, OMB Control No. 3235-0472] Submission for OMB Review; Comment Request Upon Written Request, Copies Available From: U.S.
82 FR 57320Securities and Exchange CommissionProposed Collection; Comment Request; Extension: Rule 15c1-6
Federal Register · Notice · Jul 26, 2023
SECURITIES AND EXCHANGE COMMISSION [SEC File No. 270-423, OMB Control No. 3235-0472] Proposed Collection; Comment Request; Extension: Rule 15c1-6 Upon Written Request, Copies Available From: … U.S.
88 FR 48279Securities and Exchange CommissionProposed Collection; Comment Request
Federal Register · Notice · Sep 12, 2017
SECURITIES AND EXCHANGE COMMISSION Proposed Collection; Comment Request Upon Written Request, Copies Available From: U.S. … Securities and Exchange Commission, Office of FOIA Services, 100 F Street NE., Washington, DC 20549-2736 Extension: Rule 15c1-6, SEC File No. 270-423, OMB Control No. 3235-0472 Notice is
82 FR 42870Securities and Exchange Commission
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