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Initial Decision Release No. 1398
Agency decision · Agency decision
Ex. 24 at 1, 7; Resp’t Ex. 117 at 5; Tr. 1358–59. 421 Tr. 1358. 422 Tr. 1360. 423 See Tr. 1366–67. 62 2. Cease-and-desist order. … Rulings Release No. 6615, 2019 SEC LEXIS 1544, at *1 (ALJ June 28, 2019). 482 483 Id. at *10–11. 71 is your due process claim?”
Securities and Exchange CommissionUNITED STATES COURT OF APPEALS FOR THE THIRD CIRCUIT
Agency decision · Agency decision
Pan America Sulphur Co., 423 F.2d 1075 (5th Cir. 1970) 50 TSC Indus., Inc. v. Northway, Inc., 426 U.S. 438 (1976) 52 Tait v. Armor Elevator Co., 958 F.2d 563 (3d Cir. 1992) 46 Threadgill v. … The U.S.
Securities and Exchange CommissionFederal Register · Notice · Oct 11, 2024
The existing monthly cabinet fees range from approximately $475 per kW to $916 per kW, while the proposed ongoing monthly cabinet fee for the Ultra High Density Cabinet ranges from approximately $482 per … See Cboe Global Markets, U.S. Equities Market Volume Summary, Month-to-Date (Last updated July 3, 2024), available at https://www.cboe.com/us/equities/market_statistics/.
89 FR 82660Securities and Exchange CommissionFederal Register · Notice · Jul 31, 2024
The existing monthly cabinet fees range from approximately $475 per kW to $916 per kW, while the proposed ongoing monthly cabinet fee for the Ultra High Density Cabinet ranges from approximately $482 per … See Cboe Global Markets, U.S. Equities Market Volume Summary, Month-to-Date (Last updated July 3, 2024), available at https://www.cboe.com/us/equities/market_statistics/.
89 FR 61560Securities and Exchange CommissionFederal Register · Notice · Oct 11, 2024
The existing monthly cabinet fees range from approximately $475 per kW to $916 per kW, while the proposed ongoing monthly cabinet fee for the Ultra High Density Cabinet ranges from approximately $482 per … See Cboe Global Markets, U.S. Equities Market Volume Summary, Month-to-Date (Last updated July 3, 2024), available at https://www.cboe.com/us/equities/market_statistics/.
89 FR 82666Securities and Exchange CommissionFederal Register · Notice · Dec 6, 2024
The existing monthly cabinet fees range from approximately $475 per kW to $916 per kW, while the proposed ongoing monthly cabinet fee for the Ultra High Density Cabinet ranges from approximately $482 per … See Cboe Global Markets, U.S. Equities Market Volume Summary, Month-to-Date (Last updated July 3, 2024), available at https://www.cboe.com/us/equities/market_statistics/.
89 FR 97122Securities and Exchange CommissionFederal Register · Notice · Dec 6, 2024
The existing monthly cabinet fees range from approximately $475 per kW to $916 per kW, while the proposed ongoing monthly cabinet fee for the Ultra High Density Cabinet ranges from approximately $482 per … See Cboe Global Markets, U.S. Equities Market Volume Summary, Month-to-Date (Last updated July 3, 2024), available at https://www.cboe.com/us/equities/market_statistics/.
89 FR 97083Securities and Exchange CommissionFederal Register · Notice · Dec 6, 2024
The existing monthly cabinet fees range from approximately $475 per kW to $916 per kW, while the proposed ongoing monthly cabinet fee for the Ultra High Density Cabinet ranges from approximately $482 per … See Cboe Global Markets, U.S. Equities Market Volume Summary, Month-to-Date (Last updated July 3, 2024), available at https://www.cboe.com/us/equities/market_statistics/.
89 FR 97119Securities and Exchange CommissionSECURITIES AND EXCHANGE COMMISSION
Agency decision · Agency decision
Turner Enters., Inc., 474 F.2d 476, 482 (9th Cir. 1973). … Turner, 474 F.2d at 482. C.
Securities and Exchange CommissionUse 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
60 FR 53458Securities and Exchange CommissionDivision of Investment Management
Agency decision · Agency decision
Pension Plans Pension Plans U.S. Individuals Sov. Wealth Funds And For. Official Inst. Insurance Companies Non-U.S. Individuals State/Muni. Govt. Entities Unknown Non-U.S. … Pension Plans Pension Plans U.S. Individuals Sov. Wealth Funds And For. Official Inst. Insurance Companies Non-U.S. Individuals State/Muni. Govt. Entities Unknown Non-U.S.
Securities and Exchange CommissionFederal Register · Proposed Rule · Nov 30, 2007
Prospectus. 144 144 Proposed rule 482(b)(1) … 482(c).
72 FR 67790Securities and Exchange CommissionMoney Market Fund Reform; Amendments to Form PF
Federal Register · Proposed Rule · Jun 19, 2013
Current U.S. … See Note to paragraph (b)(4), proposed (FNAV) rule 482(b)(4).
78 FR 36834Securities and Exchange CommissionFederal Register · Notice · Nov 17, 2000
leading to greater risk for the industry. 13 12 In July 2000, the SIA released its T+1 Business Case Model which the Commission is in the process of reviewing. 13 The average daily U.S … These rules are National Association of Securities Dealers Rule 11860(a)(5), New York Stock Exchange Rule 387(a)(5), Municipal Securities Rulemaking Board Rule G-15(d)(ii), American Stock Exchange Rule 423
65 FR 69582Securities and Exchange CommissionSECURITIES AND EXCHANGE COMMISSION
Agency decision · Agency decision
It has not yet been determed whether the Plan wil be qualified as a stock purchase plan under Section 423 of the U.S. Internal Revenue Code. … the U.S.
Securities and Exchange CommissionFederal Register · Notice · Oct 22, 2003
officers, directors, employees, or consultants, except for: (i) No change (ii) tax qualified, non-discriminatory employee benefit plans (e.g., plans that meet the requirements of Section 401(a) or 423 … the issuer provides to its U.S. employees, but for features necessary to comply with applicable foreign tax law, are also exempt from shareholder approval under this section.
68 FR 60426Securities and Exchange CommissionDivision of Investment Management
Agency decision · Agency decision
Pension Plans U.S. Individuals Pension Plans Sov. Wealth Funds And For. Official Inst. Insurance Companies Non-U.S. Individuals State/Muni. Govt. Entities Unknown Non-U.S. … Pension Plans U.S. Individuals Pension Plans Sov. Wealth Funds And For. Official Inst. Insurance Companies Non-U.S. Individuals State/Muni. Govt. Entities Unknown Non-U.S.
Securities and Exchange CommissionFederal Register · Notice · Jan 8, 1999
In July 1997, the U.S. … McMahon, 482 U.S. 220 (1987) (holding that claims under the Securities Exchange Act of 1934 could be compelled to arbitration), the Supreme Court decided Dean Witter Reynolds, Inc. v. Byrd, 105 S.
64 FR 1253Securities and Exchange CommissionU.S. Securities and Exchange Commission
Agency decision · Agency decision
U.S. … U.S. Dep’t of the Army, No. Civ. S001748, 2001 WL 34098652, at *3-4 (E.D. Cal. May 4, 2001) (dictum).
Securities and Exchange CommissionDivision of Investment Management
Agency decision · Agency decision
Analytics Office Registered Fund Statistics Form N-PORT and Form N-CEN Data, period ending March 2026 This is a report of the Staff of the Division of Investment Management’s Analytics Office of the U.S … 1 1 1 1 5 609 39,879 Aug 2025 24,540 1,074 465 479 234 182 223 181 146 101 570 28,195 10,287 400 274 159 142 88 97 88 84 90 304 12,013 562 32 10 3 2 1 1 1 1 1 5 621 40,828 Sep 2025 25,051 1,098 476 482
Securities and Exchange Commission
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