Documents

Investment Company Institute, et al.: No

Agency decision · Agency decision

[2] In the ARA Letter, we agreed to extend to Non-ERISA Plans our position in the Staff No-Action Letter to the U.S. … Related Letter Staff Letter (Securities Act of 1933 — Rule 482) , February 18, 2015 http://www.sec.gov/divisions/investment/noaction/2015/ investmentcompanyinstitute-111615-482.htm Home

Conformed to Federal Register version

Agency decision · Agency decision

McMahon, 482 U.S. 220, 228-38 (1987) (“McMahon”). 31 McMahon, 482 U.S. at 228-29. … U.S. at 228. 35 Rodriguez, 490 U.S. at 482. 36 Id. at 481. 37 Id. 38 Id. 485-86.

U.S. Securities and Exchange Commission

Agency decision · Agency decision

Unknown Non-U.S. … Unknown Non-U.S.

Proposed 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.

Disclosure 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.

Division of Investment Management

Agency decision · Agency decision

Investment Management Analytics Office Registered Fund Statistics Form N-PORT Data, period ending June 2024 This is a report of the Staff of the Division of Investment Management’s Analytics Office of the U.S … 4,949 3,178 772 5 257 4,211 1,181 2,236 4 4 3,425 9 766 *** *** 778 25,309 Jun 2024 11,978 182 24 25 12,209 255 4,678 32 2 4,966 3,235 765 5 258 4,263 1,382 2,018 4 4 3,409 8 780 *** *** 792 25,639 See U.S

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

Federal 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

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.

UNITED STATES COURT OF APPEALS

Agency decision · Agency decision

Provident Securities Co., 423 U.S. 232, 243 (1976). … Provident Securities Co., 423 U.S. at 252.

Acceleration of Effectiveness of Registration Statements of Issuers With Certain Mandatory Arbitration Provisions

Federal 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.

Division of Investment Management

Agency decision · Agency decision

Management Analytics Office Registered Fund Statistics Form N-PORT Data, period ending September 2024 This is a report of the Staff of the Division of Investment Management’s Analytics Office of the U.S … 3,400 800 5 267 4,472 1,380 2,156 4 4 3,544 16 794 *** *** 813 26,477 Sep 2024 12,508 197 25 7 12,737 256 4,875 31 2 5,163 3,447 804 6 270 4,527 1,596 2,003 4 5 3,607 11 814 *** *** 825 26,859 See U.S

Disclosure 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.

Amendments 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)].

Conformed to Federal Register Version

Agency decision · Agency decision

See U.S. … This approach is also consistent with Rule 156(b)(4), which 423 See Item 7(e) of Form N-4. 424 See Rule 482(j); proposed Rule 482(k)(3)(ii). 425 See Item 4 of Form N-4.

Conformed To Federal Register Version

Agency decision · Agency decision

See Letter to Dalia Blass, Director, Division of Investment Management, U.S. … Include all long-term securities, including long-term U.S. Government securities.

IN THE UNITED STATES COURT OF APPEALS

Agency decision · Agency decision

Co., 423 U.S. 232 (1976) .................. 18 Gollust v. Mendell, 501 U.S. 115 (1991) ................................................................... 4 Gwozdzinsky v. … Co., 423 U.S. 232, 249-50 (1976) (Section 16(b) applies only to purchases made after a person becomes a ten percent beneficial owner).

AMRICA.N PVNDB DXBTRXVTOB INC

Agency decision · Agency decision

English and must exposure in that language even if they do not to conduct its fluently it read adhere the to Fra.iklin letter Pursuant Non-English Sales_Materini.s_Used to Rules and 1311 482 … English language that are accompanied of the and 10a with Sections in accordance prospectus 134 or under Rule and Securities Act of 1933 1933 is prospectus of the 1933 Act when only an English language 482

Submission 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.

Submission 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.

Division of Investment Management

Agency decision · Agency decision

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