Documents

Division of Investment Management

Agency decision · Agency decision

Non-Profits Non-U.S. Individuals State/Muni. Govt. Pension Plans U.S. Individuals State/Muni. Govt. … Non-Profits Non-U.S. Individuals State/Muni. Govt. Pension Plans U.S. Individuals State/Muni. Govt.

Division of Investment Management

Agency decision · Agency decision

Non-U.S. Individuals Non-Profits State/Muni. Govt. Entities State/Muni. Govt. Pension Plans U.S. … Non-U.S. Individuals Non-Profits State/Muni. Govt. Entities State/Muni. Govt. Pension Plans U.S.

Division of Investment Management

Agency decision · Agency decision

Entities Non-Profits Non-U.S. Individuals State/Muni. Govt. Pension Plans U.S. … Entities Non-Profits Non-U.S. Individuals State/Muni. Govt. Pension Plans U.S.

Division of Investment Management

Agency decision · Agency decision

Entities Non-U.S. Individuals U.S. Individuals State/Muni. Govt. … Entities Non-U.S. Individuals U.S. Individuals State/Muni. Govt.

Division of Investment Management

Agency decision · Agency decision

Pension Plans U.S. … Pension Plans U.S.

Division of Investment Management

Agency decision · Agency decision

Non-Profits Non-U.S. Individuals State/Muni. Govt. Entities U.S. Individuals State/Muni. Govt. … Non-Profits Non-U.S. Individuals State/Muni. Govt. Entities U.S. Individuals State/Muni. Govt.

SECURITIES AND EXCHANGE COMMISSION

Agency decision · Agency decision

August 5, 1994) the staff stated that it would not recommend enforcement action under Rule 482 under the 1933 Act or Rule 34b-l under the i 940 Act if a fund formed as a result of merging three other funds … July 27; 1994) the staf declined to grant no-action assurance if a fund treted certn notes as instniments issued or agency theref ("Governent Securities") for guartee by the U.S.

WEBS Index Fund, Inc., et al.; Notice of Application

Federal Register · Notice · Jun 11, 1999

Payment effective through and including the close of the previous trading session in the relevant securities market, plus the current value of the Deposit Securities as in effect on such day reflected in U.S … The same type of disclosure will be provided in each WEBS Index Series' prospectus, statement of additional information (``SAI''), marketing or advertising materials published under rule 482 under the

DEBEVOISE & PLIMPTON

Agency decision · Agency decision

. and non-U.S. clients. … Drexel Firestone, 519 F.2d 974, 993 (2d Cir.), cert. denied, 423 U.S. 1018 (1975); Schoenbaum v.

Self-Regulatory Organizations; Notice of Filing and Order Granting Accelerated Approval to a Proposed Rule Change by the Chicago Board Options Exchange, Inc. and Amendment No. 1 Thereto Relating to Shareholder Approval of Equity Compensation Plans and the Voting of Proxies

Federal Register · Notice · Nov 7, 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, are also exempt from shareholder approval under this section.

Self-Regulatory Organizations; Notice of Filing of a Proposed Rule Change and Amendment No. 1 Thereto and Order Granting Accelerated Approval to a Proposed Rule Change and Amendment No. 1 Thereto by the Chicago Stock Exchange, Inc. Relating to Shareholder Approval of Equity Compensation Plans and the Voting of Proxies

Federal Register · Notice · Nov 7, 2003

. employees with substantially the same benefits as a comparable tax qualified, non-discriminatory employee benefit plan or parallel nonqualified plan that the issuer provides to U.S. employees, but for … (7) A “tax qualified, non-discriminatory employee benefit plan” is one that meets the requirements of Section 401(a) or 423 of the Internal Revenue Code and applicable Treasury Department regulations

Global Joint Venture Matching Services-US, LLC; Order Granting Exemption From Registration as a Clearing Agency

Federal Register · Notice · Apr 23, 2001

the 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

Rescission of Outdated Rules and Forms, and Amendments To Correct References

Federal Register · Rule · Nov 21, 2011

Chang, Senior Counsel, at (202) 551-6792, Office of Regulatory Policy, Division of Investment Management, U.S. Securities and Exchange Commission, 100 F Street NE., Washington, DC 20549-8549. … Rules of Practice 190 and 210; Informal and Other Procedures Rules 1, 2, 3, 6, and 9; Regulation S-X, Items 1-01, 3-18, and 3A-05; Regulation S-K, Item 405; Regulation C, Items 400, 404, 412, 414, 421, 423

INITIAL DECISION RELEASE NO. 1391

Agency decision · Agency decision

Tr. 343-423; Div. Ex. 51. He is a professor of accountancy at Baruch College. Tr. 344. His past experience includes working at the AICPA, setting auditing and other professional standards. Tr. 344. … Schor, 478 U.S. 833, 846 (1986) (internal quotation marks omitted); see Lorillard v.

Division of Investment Management

Agency decision · Agency decision

Asset Type Equity Securities RIC/BDC Securities IG Corporate Bonds Other Other PIV Securities U.S. Govt./Agency Bonds Cash/Cash Equivalents U.S. … IA-2504 April 7, 2006 A statue enacted in the U.S. Virgin Islands which regulates investment advisers.

U.S. Securities and Exchange Commission

Agency decision · Agency decision

Non-U.S. Individuals State/Muni. Govt. Entities Non-Profits State/Muni. Govt. Pension Plans U.S. … Non-U.S. Individuals State/Muni. Govt. Entities Non-Profits State/Muni. Govt. Pension Plans U.S.

Conformed to Federal Register version

Agency decision · Agency decision

12 407 336 U.S. … See Board Letter, at 8. 423 See comment letter from CFA.

Public Company Accounting Oversight Board; Notice of Filing of Proposed Rules on Amendments to QC 1000, A Firm's System of Quality Control, and Related Rule and Forms

Federal Register · Notice · Sep 18, 2026

U.S. and non-U.S. firms are defined based on firm headquarters locations as indicated in their required PCAOB filings. … Third, 16% of non-U.S.

?~. ~..'..'.""'l"';~l'" ': .,' ,1' '''~'. ","p' .l..... ,_. .

Agency decision · Agency decision

D.C. 20036 PHONE 617-482-6800 PHONE 361-266-9520 PHONE 310-556-5800 PHONE 305-358-9900 PHONE 202-452-9250 FAX 617-330-511 FAX 361-266-9279 FAX 310-556-5959 FAX 305-789-9302 FAX 202-293-2293 … Capital Gains Research Burau, 375 U.S. 180 (1963), the Staff investment adviser is a fiduciar and must act in the best interest of the client.

Money Market Fund Reform; Amendments to Form PF

Federal Register · Rule · Aug 14, 2014

See rule 482(b)(4)(iii); Form N-1A Item 4(b)(1)(ii)(C). 908   See Rule 482(b)(4)(ii); Form N-1A Item 4(b)(1)(ii)(B). … See Note to paragraph (b)(4), rule 482(b)(4).