Documents

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.

Mandatory Electronic Submission of Applications for Orders Under the Investment Company Act and Filings Made Pursuant to Regulation E

Federal Register · Rule · Nov 4, 2008

of the Securities Act of 1933 (the “Securities Act”) (referred to as “482 ads”) and sales literature under Section 24(b) of the Investment Company Act. 65   See amendments to paragraphs … the Investment Company Act (15 U.S.C. 80a-8, 80a-17, 80a-20, 80a-23(c), 80a-24(b), 80a-24(e), 80a-24(f), and 80a-29) and any application for an order under any section of the Investment Company Act (15 U.S

Rulemaking for EDGAR System; Mandatory Electronic Submission of Applications for Orders Under the Investment Company Act and Filings Made Pursuant to Regulation E

Federal Register · Proposed Rule · Nov 9, 2007

610a. 51  Requiring electronic filing on EDGAR of Rule 607 sales literature would be consistent with the current requirement to file electronically on EDGAR omitting prospectuses under Rule 482 … the Investment Company Act (15 U.S.C. 80a-8, 80a-17, 80a-20, 80a-23(c), 80a-24(b), 80a-24(e), 80a-24(f), and 80a-29) and any application for an order under any section of the Investment Company Act (15 U.S

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

Analytics Office Registered Fund Statistics Form N-PORT Data, period ending December 2023 May 17, 2024 This is a report of the Staff of the Division of Investment Management’s Analytics Office of the U.S … 457 133 158 111 82 82 43 38 11 13 9 7 7 7,615 Aug 2023 5,733 581 451 133 157 110 80 76 43 36 11 12 10 7 7 7,448 Sep 2023 5,483 585 437 131 156 108 77 77 41 35 12 16 11 8 6 7,182 Oct 2023 5,331 592 423

Investment Company Swing Pricing

Federal Register · Rule · Nov 18, 2016

ET for most U.S. funds). … The figure for general bond funds does not include assets attributable to foreign bond funds (1.9%), U.S. corporate bond funds (0.8%), U.S. government bond funds (1.4%), and U.S. municipal bond funds (

UNITED STATES COURT OF APPEALS

Agency decision · Agency decision

White, 484 U.S. 219, 224 (1988)). … Pachtman, 424 U.S. 409, 423 & n.20 (1976); see also Bradley v.

Misconduct and Fraud in Unregistered Offerings: An

Agency decision · Agency decision

According to the U.S. … The 382 frauds were obtained from the merger of IPO sample (3,297) and litigation sample of firms involved in accounting irregularities and subject to SEC actions (423) and private class action lawsuits

Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Order Granting Approval of a Proposed Rule Change To List and Trade Credit Default Basket Options, as Modified by Amendment No. 3, and Designating Credit Default Basket Options as Standardized Options Under Rule 9b-1 of the Securities Exchange Act of 1934

Federal Register · Notice · Aug 22, 2007

Bagley, 552 F.2d 482, 484-85 (2d Cir. 1977). 38   See CFTC v. U.S. Metals Depository Co., 468 F.Supp. 1149, 1154 (S.D.N.Y. 1979); and United States v.

Amendments to the Accelerated Filer and Large Accelerated Filer Definitions

Federal Register · Proposed Rule · May 29, 2019

See U.S. … 482 Form 20-F 1 56 56 Form 40-F 1 1 1 3.

U.S. Securities and Exchange Commission

Agency decision · Agency decision

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

Temporary Rule Regarding Principal Trades With Certain Advisory Clients

Federal Register · Proposed Rule · Dec 6, 2010

Bessin, Assistant Director, at (202) 551-6787 or IArules@sec.gov, Office of Investment Adviser Regulation, Division of Investment Management, U.S. … Regarding Principal Trades with Certain Advisory Clients, Investment Advisers Act Release No. 2653 (Sep. 24, 2007) [72 FR 55022 (Sep. 28, 2007)] (“2007 Principal Trade Rule Release”). 2  482

Interpretive Rule Under the Advisers Act Affecting Broker-Dealers

Federal Register · Proposed Rule · Sep 28, 2007

Meehan, Senior Counsel, at (202) 551-6787 or IArules@sec.gov, Office of Investment Adviser Regulation, Division of Investment Management, U.S. … upon the amount of assets on account (an asset-based fee) and a customer in a traditional full-service brokerage account pays a commission (or a mark-up or mark-down) for each transaction. 3  482

Request for Comments on Modernization of the Regulation of Public-Utility Holding Companies

Federal Register · Uncategorized Document · Nov 8, 1994

FPC, 411 U.S. 747, 758 (1973). … Manor Drug Stores, 421 U.S. 723, reh'g denied, 423 U.S. 884 (1975) (implied private right of action for securities fraud). ---------------------------------------------------------------------------

Initial Decision Release No. 1418

Agency decision · Agency decision

United States, 508 U.S. 223, 228 (1993); Santa Fe Indus., Inc. v. Green, 430 U.S. 462, 472 (1977). … Hunt, 455 U.S. 478, 482 (1982) (discussing the meaning of “reasonable expectation” in the context of the capable-of-repetition-yetevading-review exception to Article III mootness). 9 12 reach at least

Cybersecurity Risk Management, Strategy, Governance, and Incident Disclosure

Federal Register · Rule · Aug 4, 2023

See also U.S. … See U.S.

Conformed to Federal Register version

Agency decision · Agency decision

See also U.S. … See U.S.

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.

Interactive Data for Mutual Fund Risk/Return Summary

Federal Register · Rule · Feb 19, 2009

The list is available on the XBRL U.S. Web site at: http://xbrl.us/imtaxonomies/Pages/default.aspx. See XBRL U.S. … See also rule 482(b)(1) under the Securities Act [17 CFR 230.482].