Documents

Self-Regulatory Organizations; New York Stock Exchange, Inc.; Order Granting Approval to Proposed Rule Change Relating to the Exclusion of Competing Market Maker Orders From Trading at No Charge

Federal Register · Notice · Jun 10, 1996

Silver, 373 U.S. 341, 360-61 (1963). In Thill Securities Corporation v. New York Stock Exchange, the U.S. … Supp. 86, 92 (S.D.N.Y. 1974), aff'd, 520 F.2d 1231 (2d Cir. 1975), cert. denied, 423 U.S. 1053 (1976).

Division of Investment Management

Agency decision · Agency decision

Pension Plans Insurance Companies Non-Profits U.S. Individuals Non-U.S. Individuals Banking/Thrift Inst. State/Muni. Govt. Entities Unknown Non-U.S. … Pension Plans Insurance Companies Non-Profits U.S. Individuals Non-U.S. Individuals Banking/Thrift Inst. State/Muni. Govt. Entities Unknown Non-U.S.

Division of Investment Management

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.

Division of Investment Management

Agency decision · Agency decision

Pension Plans U.S. Individuals Sov. Wealth Funds And For. Official Inst. Insurance Companies Non-U.S. Individuals Broker-Dealers Unknown Non-U.S. … Pension Plans U.S. Individuals Sov. Wealth Funds And For. Official Inst. Insurance Companies Non-U.S. Individuals Broker-Dealers Unknown Non-U.S.

Statement of the Commission Regarding Use of Internet Web Sites to Offer Securities, Solicit Securities Transactions or Advertise Investment Services Offshore

Federal Register · Rule · Mar 27, 1998

Drexel Firestone Inc., 519 F.2d 974 (2d Cir.), cert. denied, 423 U.S. 1018 (1975) (conduct test); Leasco Data Processing Equipment Corp. v. … Concurrent U.S.

Good Faith Determinations of Fair Value

Federal Register · Rule · Jan 6, 2021

See also Capital Group Comment Letter (noting that more than 50% of the fund portfolios with non-U.S. equity strategies may be subject to non-U.S. price adjustments due to significant U.S. market moves … However, under U.S.

Clearing Agency Standards

Federal Register · Rule · Nov 2, 2012

for its U.S. regulated services. … at 7. 481   See FMI Report, supra note 32, at 11. 482   See id. 483   See id. 484   See id.

Political Contributions by Certain Investment Advisers

Federal Register · Rule · Jul 14, 2010

Ganim, 2007 U.S. App. … Randall, 548 U.S. at 248-49.

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.

U.S. Securities and Exchange Commission

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

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

Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Amendment No. 3 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendments Nos. 1, 2 and 3, To Adopt FINRA Rules 2210 (Communications With the Public), 2212 (Use of Investment Companies Rankings in Retail Communications), 2213 (Requirements for the Use of Bond Mutual Fund Volatility Ratings), 2214 (Requirements for the Use of Investment Analysis Tools), 2215 (Communications With the Public Regarding Security Futures), and 2216 (Communications With the Public About Collateralized Mortgage Obligations (CMOs)) in the Consolidated FINRA Rulebook

Federal Register · Notice · Apr 4, 2012

that such communications are not misleading. 113   See October Response Letter. 114   See October Response Letter (citing to Office of Compliance Inspections and Examinations, U.S … Additionally, FINRA noted that it found that NASD Rule 2210(d)(3) helped clarify that placing performance information in footnotes does not meet the equal prominence requirements of Rule 482, and made

Pacific Exchange, Inc.: No Action, Interpretive and/or Exemptive Letter of December 23, 2003

Agency decision · Agency decision

Turner Enters., Inc. , 474 2d 476, 482 (9th Cir. 1973). Landreth Timber Co. v. … Landreth , 471 U.S. at 686 (citing United Housing Foundation, Inc. v. Forman , 421 U.S. 837, 851 (1975)).

Pacific Select Fund, et al.: No

Agency decision · Agency decision

Scheidt Associate Director and Chief Counsel Division of Investment Management U.S. Securities and Exchange Commission 450 Fifth Street, N.W. … methodology for the calculation of the Return is as follows: the total return of each Portfolio is calculated for each month during the relevant 10-year period using the customary methods as specified in Rule 482

Division of Investment Management

Agency decision · Agency decision

Pension Plans U.S. Individuals Sov. Wealth Funds And For. Official Inst. Insurance Companies Non-U.S. Individuals Broker-Dealers Unknown Non-U.S. Investors State/Muni. Govt. … Pension Plans U.S. Individuals Sov. Wealth Funds And For. Official Inst. Insurance Companies Non-U.S. Individuals Broker-Dealers Unknown Non-U.S. Investors State/Muni. Govt.

Division of Investment Management

Agency decision · Agency decision

Pension Plans U.S. Individuals Sov. Wealth Funds And For. Official Inst. Insurance Companies Non-U.S. Individuals Broker-Dealers Unknown Non-U.S. … Pension Plans U.S. Individuals Sov. Wealth Funds And For. Official Inst. Insurance Companies Non-U.S. Individuals Broker-Dealers Unknown Non-U.S.

Concept Release on Harmonization of Securities Offering Exemptions

Federal Register · Proposed Rule · Jun 26, 2019

Table 4—U.S. … 422   See 2017 Forum Report. 423   See id.

U.S. Securities and Exchange Commission

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.

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.