Documents

U.S. Securities and Exchange Commission

Agency decision · Agency decision

U.S. … FSOC was created pursuant to the Dodd-Frank Act to monitor risks to the U.S. financial system.

Commission Legal Brief: Gryl v. Shire Pharmaceuticals Group / June 21, 2002

Agency decision · Agency decision

Occidental Petroleum Corp. , 411 U.S. 582 (1973). … Co. , 423 U.S. 232, 252 (1976), that the section should be construed narrowly.

Division of Investment Management

Agency decision · Agency decision

Analytics Office Registered Fund Statistics Form N-PORT and Form N-CEN Data, period ending September 2025 This is a report of the Staff of the Division of Investment Management’s Analytics Office of the U.S … 7 4 3 2 2 3 41 565 38,356 Dec 2024 21,835 514 413 380 299 258 218 234 224 197 1,767 26,340 8,487 231 151 124 104 90 90 76 65 66 756 10,239 448 24 12 9 7 3 3 2 2 2 40 553 37,132 Jan 2025 22,372 537 423

Use of Electronic Media

Federal Register · Rule · May 4, 2000

Unger, Commissioner, U.S. … United States, 406 U.S. 128 (1972). a.

Self-Regulatory Organizations; Notice of Filing and Order Granting Accelerated Approval to a Proposed Rule Change by the Philadelphia Stock Exchange, Inc. Relating to Shareholder Approval of Equity Compensation Plans and the Voting of Proxies

Federal Register · Notice · Nov 7, 2003

security holders of the company (such as a dividend reinvestment plan); or (ii) Tax qualified, non-discriminatory employee benefit plans (e.g., plans that meet the requirements of Section 401(a) or 423 … U.S. employees, but for features necessary to comply with applicable foreign tax law, are also exempt from shareholder approval under this section.

Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule General 8 Section 1 Related to Co-Location Services

Federal Register · Notice · Feb 2, 2026

installation fee amounts under Rule General 8, Section (c) would remain unchanged. 19 15  As discussed below, the proposed amount of $550 per kVA is within the current effective rate of $482 … Historically, early electrical grids in the U.S. operated closer to 110-115 volts.

Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule General 8 Section 1 Related to Co-Location Services

Federal Register · Notice · Feb 2, 2026

installation fee amounts under Rule General 8, Section (c) would remain unchanged. 19 15  As discussed below, the proposed amount of $550 per kVA is within the current effective rate of $482 … Historically, early electrical grids in the U.S. operated closer to 110-115 volts.

Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule General 8 Section 1 Related to Co-Location Services

Federal Register · Notice · Feb 2, 2026

installation fee amounts under Rule General 8, Section (c) would remain unchanged. 19 20 21 15  As discussed below, the proposed amount of $550 per kVA is within the current effective rate of $482 … Historically, early electrical grids in the U.S. operated closer to 110-115 volts.

Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule General 8 Section 1 Related To Co-Location Services

Federal Register · Notice · Feb 2, 2026

installation fee amounts under Rule General 8, Section (c) would remain unchanged. 19 15  As discussed below, the proposed amount of $550 per kVA is within the current effective rate of $482 … Historically, early electrical grids in the U.S. operated closer to 110-115 volts.

Issued February 17, 2017

Agency decision · Agency decision

Money Market Fund Statistics Data as of January 31, 2017 Issued February 17, 2017 U.S. … Securities and Exchange Commission Division of Investment Management This is a report of the Staff of the Division of Investment Management of the U.S. Securities and Exchange Commission.

Division of Investment Management

Agency decision · Agency decision

Analytics Office Registered Fund Statistics Form N-PORT Data, period ending March 2024 August 6, 2024 This is a report of the Staff of the Division of Investment Management’s Analytics Office of the U.S … 13 Sep 2023 7,119 2,317 2,236 1,839 1,221 797 2,036 439 379 503 514 479 213 594 596 426 218 169 *** 62 *** 10 48 *** *** *** 12,647 Oct 2023 7,084 2,272 2,237 1,810 1,230 793 2,045 429 379 505 524 482

Self-Regulatory Organizations; National Association of Securities Dealers, Inc.; Order Approving Proposed Rule Change To Amend the By-Laws of NASD To Implement Governance and Related Changes To Accommodate the Consolidation of the Member Firm Regulatory Functions of NASD and NYSE Regulation, Inc.

Federal Register · Notice · Aug 1, 2007

McMahon   331 and subsequent cases. 331  482 U.S. 220 (1987). … McMahon , 482 U.S. 222 (1987), which determined that customers who sign predispute arbitration agreements with their brokers may be compelled to arbitrate claims arising under the Exchange Act.

Mutual Fund Directors Forum: No

Agency decision · Agency decision

Lasker, 441 U.S. 471, 484 (1979) (quoting Tannenbaum v. … . at 482.

Self Regulatory Organizations; Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Change and Amendment Nos. 1, 2 and 3 Thereto by the American Stock Exchange LLC Relating to Shareholder Approval of Stock Option Plans and Other Equity Compensation Arrangements

Federal Register · Notice · Oct 16, 2003

) [such options are to be granted:] [(i)] [under a] tax qualified, non-discriminatory employee benefit plan s [or arrangement] ( 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, is also exempt from shareholder approval under this section.

~--"'~.~an"""".ÖI""--""~\""'."" ".:.A~. ....";:.o,~.~

Agency decision · Agency decision

Capital Gais Reseach Bureau, 375 U.S. 180 (1963) (holding that Advisers Act Section 206 imposes a fiduciary duty on investment advisers). 9~W9LwW~ 9~~~ ~ Z?od ~ Z? … Hungary 2029 Century Park East 202 452 9250 3105565800 305 358 9900 617 482 6800 361 266 9520 Rák6czi ut 1-3 9l QP 9~QP ~ Office of Chief Counsel Di vision of Investment Management Securi ties

Exemption From Section 101(c)(1) of the Electronic Signatures in Global and National Commerce Act for Registered Investment Companies

Federal Register · Rule · Aug 2, 2000

Likewise, for purposes of the Small Business Regulatory Enforcement Fairness Act of 1996, 17 the Commission is interested in receiving information regarding the potential effect of the proposals on the U.S … Here, we discuss the “adoption” theory only. 19  Our references to mutual fund advertisements and sales literature include rule 482 advertisements, 17 CFR 230.482, tombstone advertisements, 17

ORAL ARGUMENT NOT YET SCHEDULED

Agency decision · Agency decision

Ct. 423 (2005) . . . . . . . . . . . . . . . . 57 City of Roseville v. Norton, 348 F.3d 1020 (D.C. … Ct. 423 (2005).

Corrected to conform to Federal Register version

Agency decision · Agency decision

GAAP. 424 Current U.S. … See Note to paragraph (b)(4), rule 482(b)(4).

Case 3:26-cv-02672-WQH-MMP

Agency decision · Agency decision

CITIZENSHIP OF PRINCIPAL PARTIES (Place an “X” in One Box for Plaintiff ✖ 1 U.S. Government Plaintiff 3 Federal Question (U.S. Government Not a Party) 2 U.S. … In cases where the U.S. is a party, the U.S. plaintiff or defendant code takes precedence, and box 1 or 2 should be marked.

Registration for Index-Linked Annuities; Amendments to Form N-4 for Index-Linked and Variable Annuities

Federal Register · Proposed Rule · Oct 13, 2023

See also Office of Investor Education and Assistance, U.S. … 482  See VASP Adopting Release.