Documents

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.

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].

SECURITIES AND EXCHANGE COMMISSION

Agency decision · Agency decision

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].

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.

Disclosure Update and Simplification

Federal Register · Rule · Oct 4, 2018

GAAP  482 has changed and no longer incorporates the term “segment.” … are presented net, ASC 210-20-50-3(a) requires disclosure in the notes to the financial statements of the gross amounts. 481   See SFAS No. 142, Goodwill and Other Intangible Assets. 482

Securities Offering Reform

Federal Register · Proposed Rule · Nov 17, 2004

Northway, Inc., 426 U.S. 438, 449 (1976); see also Basic v. Levinson, 485 U.S. 224, 231 (1988). … The financial statements must be audited in accordance with U.S. generally accepted auditing standards, and the auditor must comply with the U.S. standards for auditor independence.

Division of Investment Management

Agency decision · Agency decision

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

Division of Investment Management

Agency decision · Agency decision

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

Open-End Fund Liquidity Risk Management Programs; Swing Pricing; Re-Opening of Comment Period for Investment Company Reporting Modernization Release

Federal Register · Proposed Rule · Oct 15, 2015

performance data to be included in the fund's advertising materials. 530   See Items 13, 26 of Form N-1A. 531  Rule 482(d), 17 CFR 230.482. … U.S. equity funds represent the greatest percentage of U.S. open-end fund industry assets. 655 Excluding ETFs, money market funds and variable annuities, open-end U.S. equity funds held 44.5% of U.S

Accelerated Filer and Large Accelerated Filer Definitions

Federal Register · Rule · Mar 26, 2020

Ge et al.” ). 9   See U.S. Sec. and Exch. Comm'n Small Bus. … A Natural Experiment with Small U.S. Public Companies, 49(2) J. of Acct.

Conformed to Federal Register version

Agency decision · Agency decision

Ge et al.”). 9 See U.S. SEC. AND EXCH. COMM’N SMALL BUS. … A Natural Experiment with Small U.S. Public Companies, 49(2) J. OF ACCT.

Disclosure of Payments by Resource Extraction Issuers

Federal Register · Proposed Rule · Dec 23, 2015

The U.S. … We also request comment from the U.S. Department of State, the U.S. Agency for International Development, the U.S.

Disclosure of Payments by Resource Extraction Issuers

Federal Register · Rule · Sep 12, 2012

Levin 1, Soros 2, U.S. … In addition, the U.S.

Order Granting Conditional Substituted Compliance in Connection With Certain Requirements Applicable to Non-U.S. Security-Based Swap Dealers and Major Security-Based Swap Participants Subject to Regulation in the French Republic

Federal Register · Notice · Aug 2, 2021

states that these requirements in practice require firms to have “a record of their long and short positions to enable these to be monitored” which is relevant to Exchange Act rules 18a-5 and 18a-6. 482 … Accordingly, the Commission is not removing references to these requirements from the Order's list of EU and French law requirements comparable to Exchange Act rules 18a-5 and 18a-6. 482  

Payment for Investment Company Services With Brokerage Commissions

Federal Register · Uncategorized Document · Aug 17, 1994

U.S. Department of Labor (pub. avail. July 25, 1990). … quotations of yield in a fund's registration statement, and, as a result, in its advertisements. --------------------------------------------------------------------------- \23\Paragraph (e)(1) of rule 482

Rules Implementing Amendments to the Investment Advisers Act of 1940

Federal Register · Proposed Rule · Dec 10, 2010

SEC, 482 F.3d 481 (D.C. Cir. 2007). III. … 482  Rule 0-7(a) [17 CFR 275.0-7(a)].

Securities Offering Reform

Federal Register · Rule · Aug 3, 2005

Northway, Inc. , 426 U.S. 438, 449 (1976); see also Basic v. Levinson , 485 U.S. 224, 231 (1988). … Dahl , 486 U.S. 622 (1988).

Use of Electronic Media for Delivery Purposes

Federal Register · Rule · May 15, 1996

Clarke, (202) 942-0721, Division of Investment Management, U.S. Securities and Exchange Commission, 450 Fifth Street, N.W., Washington, D.C. 20549. … 200.80, 1 Item 502 of Regulation S-B; 2 Item 502 of Regulation S-K; 3 Rule 120 4 of the Securities Act of 1933 (``Securities Act''); 5 Rule 253 of Regulation A; 6 Rule 420 of Regulation C; 7 Rules 481 and 482

Lincoln National Life Insurance & Lincoln Financial Advisors: No

Agency decision · Agency decision

Office of Chief Counsel Division of Investment Management U.S. Securities and Exchange Commission 450 Fifth Street, N.W. … 1997 letter to Aetna Life Insurance and Annuity Company (hereinafter the "Aetna Letter"). 14 Although the Aetna Letter stands expressly for the proposition that an advertisement qualifying under Rule 482