Documents

Update of Statistical Disclosures for Bank and Savings and Loan Registrants

Federal Register · Proposed Rule · Oct 3, 2019

0.75) × $400 = $300. 395  One hour × 0.75 = 0.75 hours. 396  (One hour × 0.25) × $400 = $100. 397  Two hours × 0.75 = 1.5 hours. 398  (Two hours × 0.25) × $400 = $200. 399 … (C) (D) [(B * (C)] (E) (F) [(B) * (E)] Annual Reports = −2 hours Form 10-K 453 397  (1.5) (679.5) 398  ($200) ($90,600) Form 20-F 34 399

Exemptions for Advisers to Venture Capital Funds, Private Fund Advisers With Less Than $150 Million in Assets Under Management, and Foreign Private Advisers

Federal Register · Rule · Jul 6, 2011

(Jan. 24, 2011) (“Sevin Rosen Letter”). … Advisers) (Jan. 24, 2011) (“Katten Foreign Advisers Letter”); Comment Letter of MAp Airports Limited (Jan. 24, 2011) (“MAp Airports Letter”); Comment Letter of Wellington Financial LP (Jan. 24, 2011) (

Conformed to Federal Register version

Agency decision · Agency decision

(July 24, 2019) (“Gritstone”); Guaranty Federal Bancshares, Inc. (July 23, 2019) (“Guaranty”); Independent Community Bankers of America (July 24, 2019) (“ICBA”); Kezar Life Sciences, Inc. … This would imply that a 24 percent rate of ineffective ICFR reported by the issuers in the absence of the requirement would correspond to a nine percent rate (24 percent times 37.5 percent) of ineffective

Procedural Requirements and Resubmission Thresholds Under Exchange Act Rule 14a-8

Federal Register · Rule · Nov 4, 2020

Dominic dated January 24, 2020. 46   See letter from First Affirmative Financial Network, LLC dated January 24, 2020. 47   See letter from Tom Shaffner dated December 17, 2019 … See, e.g., letters from Interfaith Center on Corporate Responsibility dated January 27, 2020; UAW Retiree Medical Benefits Trust dated January 30, 2020. 399   See, e.g., Tarun Chordia, Richard

Further Definition of “As a Part of a Regular Business” in the Definition of Dealer and Government Securities Dealer in Connection With Certain Liquidity Providers

Federal Register · Rule · Feb 29, 2024

HHI comparable to market with __ equal-size competitors 18-21 24-28 24-28 . * Source: TRACE data. … See also supra note 399 for a definition of “qualifying hedge fund.”

Cross-Border Application of Certain Security-Based Swap Requirements

Federal Register · Rule · Feb 4, 2020

formation. 398 In addition, Section 23(a)(2) of the Exchange Act requires the Commission, when making rules under the Exchange Act, to consider the impact such rules would have on competition. 399 … See note 24, supra.

Amendments to Municipal Securities Disclosure

Federal Register · Rule · Aug 31, 2018

See MSRB 2017 Fact Book, supra note 24. … See MSRB 2017 Fact Book, supra note 24.

Accelerated Filer and Large Accelerated Filer Definitions

Federal Register · Rule · Mar 26, 2020

(July 24, 2019) (“Gritstone”); Guaranty Federal Bancshares, Inc. (July 23, 2019) (“Guaranty”); Independent Community Bankers of America (July 24, 2019) (“ICBA”); Kezar Life Sciences, Inc. … This would imply that a 24 percent rate of ineffective ICFR reported by the issuers in the absence of the requirement would correspond to a nine percent rate (24 percent times 37.5 percent) of ineffective

Regulation SBSR-Reporting and Dissemination of Security-Based Swap Information

Federal Register · Proposed Rule · Mar 19, 2015

Programmer at 8 hours) + (Compliance Manager at 24 hours) + (Compliance Attorney at 24 hours) + (Compliance Clerk at 24 hours) + (Sr. … Programmer at 8 hours) + (Compliance Manager at 24 hours) + (Compliance Attorney at 24 hours) + (Compliance Clerk at 24 hours) + (Sr.

Proposed Rule Amendments and Guidance Addressing Cross-Border Application of Certain Security-Based Swap Requirements

Federal Register · Proposed Rule · May 24, 2019

entities = $9,816. 398   See note 396, supra. 399   See note 397 supra. 400   See part VIII.A.2.f, infra. … hours (24 entities × 8 persons × 1,000 hours). 530  Applied to the 24 entities at issue here, this would amount to an aggregate annual burden of 96,000 hours (24 entities × 2 persons × 2,000

Disclosure of Order Execution Information

Federal Register · Rule · Apr 15, 2024

Programmer at $399 for 25 hours) + (Sr. … Programmer at $399 for 50 hours) + (Sr.

Self-Regulatory Organizations; New York Stock Exchange LLC; Order Approving Proposed Rule Change and Amendment Nos. 1, 2, 3, and 5 Thereto and Notice of Filing and Order Granting Accelerated Approval to Amendment Nos. 6, 7, and 8 to the Proposed Rule Change to Establish the Hybrid Market

Federal Register · Notice · Mar 31, 2006

See Securities Exchange Act Release No. 53359 (February 24, 2006), 71 FR 10736 (March 2, 2006). … protect investors and the public interest because they should assist in the execution of Auto Ex Orders. 399   See note 203 supra.

Conformed to Federal Register version

Agency decision · Agency decision

Notification requirements for broker-dealers generally range from immediate, promptly (but within 24 hours), within 24 hours, and within 48 hours. … MAR '23 to FEB APR '23 to MAR MAY '23 to APR JUNE '23 to MAY '24 '24 '24 '24 12-month rolling computation period Figure created from monthly FOCUS Reports, from January 2023 through May 2024.

Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Establish Fees for Industry Members Related to Reasonably Budgeted Costs of the National Market System Plan Governing the Consolidated Audit Trail for the Period From July 16, 2024 Through December 31, 2024

Federal Register · Notice · Sep 3, 2024

TRF/ORF/ADF Transaction Data Event (TRF)  24 No. … [FR Doc. 2024-19645 Filed 8-30-24; 8:45 am] BILLING CODE 8011-01-P

Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Establish Fees for Industry Members Related to Reasonably Budgeted Costs of the National Market System Plan Governing the Consolidated Audit Trail for the Period From July 16, 2024 Through December 31, 2024

Federal Register · Notice · Sep 3, 2024

United States Securities and Exchange Commission, Case No. 24-12300 (11th Cir.). … [FR Doc. 2024-19648 Filed 8-30-24; 8:45 am] BILLING CODE 8011-01-P

Self-Regulatory Organizations; Cboe EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Establish Fees for Industry Members Related to Reasonably Budgeted Costs of the National Market System Plan Governing the Consolidated Audit Trail for the Period From July 16, 2024 Through December 31, 2024

Federal Register · Notice · Sep 3, 2024

TRF/ORF/ADF Transaction Data Event (TRF)  24 No. … [FR Doc. 2024-19649 Filed 8-30-24; 8:45 am] BILLING CODE 8011-01-P

Self-Regulatory Organizations; BOX Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Establish Fees for Industry Members Related to Reasonably Budgeted Costs of the National Market System Plan Governing the Consolidated Audit Trail for the Period From July 16, 2024 Through December 31, 2024

Federal Register · Notice · Sep 3, 2024

United States Securities and Exchange Commission, Case No. 24-12300 (11th Cir.). … [FR Doc. 2024-19652 Filed 8-30-24; 8:45 am] BILLING CODE 8011-01-P

Self-Regulatory Organizations; Investors Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Establish Fees for Industry Members Related to Reasonably Budgeted Costs of the National Market System Plan Governing the Consolidated Audit Trail for the Period From July 16, 2024 Through December 31, 2024

Federal Register · Notice · Sep 3, 2024

United States Securities and Exchange Commission, Case No. 24-12300 (11th Cir.). … [FR Doc. 2024-19655 Filed 8-30-24; 8:45 am] BILLING CODE 8011-01-P

Transactions of Investment Companies With Portfolio and Subadvisory Affiliates

Federal Register · Proposed Rule · May 8, 2002

Talley Industries , 399 F2d 396, 402 (2d Cir. 1968). … uncommon when we amended rules 17a-6 (in 1964)  22 and 17d-1(d)(5) (in 1974)  23 to permit funds to engage in principal transactions and joint arrangements with their portfolio affiliates. 24

Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Establish Fees for Industry Members Related to Reasonably Budgeted Costs of the National Market System Plan Governing the Consolidated Audit Trail for the Period From July 16, 2024 Through December 31, 2024

Federal Register · Notice · Sep 3, 2024

TRF/ORF/ADF Transaction Data Event (TRF)  24 No. … [FR Doc. 2024-19642 Filed 8-30-24; 8:45 am] BILLING CODE 8011-01-P