Documents

"Small Business" and "Small Organization" Definitions for Investment Companies and Investment Advisers for Purposes of the Regulatory Flexibility Act

Federal Register · Proposed Rule · Jan 12, 2026

millions) (percent) 10th $33 2,172 $21,482 0.0 20th 96 4,331 151,003 0.1 25th 125 5,414 271,591 0.2 50th 324 10,827 1,399,259 0.9 55th 399 … 24. Should the Total Assets Threshold be eliminated from rule 0-7?

Self-Regulatory Organizations; Nasdaq GEMX, LLC.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Establish Fees Related to Certain Prospective Costs of the National Market System Plan Governing the Consolidated Audit Trail

Federal Register · Notice · Sep 4, 2024

United States Securities and Exchange Commission, Case No. 24-12300 (11th Cir.). … [FR Doc. 2024-19774 Filed 9-3-24; 8:45 am] BILLING CODE 8011-01-P

Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Establish Fees Related to Certain Prospective Costs of the National Market System Plan Governing the Consolidated Audit Trail

Federal Register · Notice · Sep 5, 2024

United States Securities and Exchange Commission, Case No. 24-12300 (11th Cir.). … [FR Doc. 2024-19871 Filed 9-4-24; 8:45 am] BILLING CODE 8011-01-P

Self-Regulatory Organizations; NYSE Chicago, 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 4, 2024

United States Securities and Exchange Commission, Case No. 24-12300 (11th Cir.). … [FR Doc. 2024-19758 Filed 9-3-24; 8:45 am] BILLING CODE 8011-01-P

Self-Regulatory Organizations: Long-Term Stock 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 9, 2024

United States Securities and Exchange Commission, Case No. 24-12300 (11th Cir.). … [FR Doc. 2024-20165 Filed 9-6-24; 8:45 am] BILLING CODE 8011-01-P

Self-Regulatory Organizations; MIAX PEARL 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 5, 2024

United States Securities and Exchange Commission, Case No. 24-12300 (11th Cir.). … [FR Doc. 2024-19874 Filed 9-4-24; 8:45 am] BILLING CODE 8011-01-P

Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Amendment No. 2 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendments Nos. 1 and 2, To Amend the Codes of Arbitration Procedure To Modify the Current Process Relating to the Expungement of Customer Dispute Information

Federal Register · Notice · Apr 19, 2023

See Notice at 50172 at n.24. … 399   See id.

Self-Regulatory Organizations; Order Approving Proposed Rule Changes by the National Association of Securities Dealers, Inc. and Amendment Nos. 1, 2, 3, 4, 5, 6, 7 and 8 Thereto and Notice of Filing and Order Granting Accelerated Approval of Amendment No. 9 Relating to the Establishment of the Nasdaq Order Display Facility and Order Collector Facility and Modifications of the Nasdaq Trading Platform

Federal Register · Notice · Jan 26, 2001

customer orders in SOES and to ensure market maker participation in the system (“1988 SOES modifications”), including making SOES participation mandatory for all market makers in Nasdaq securities. 399 … modifications would enhance market liquidity, improve the accuracy of Nasdaq's pricing systems, promote the timeliness of trade reporting, and help alleviate locked and crossed markets. 400 399

Rules Implementing Amendments to the Investment Advisers Act of 1940

Federal Register · Proposed Rule · Dec 10, 2010

DATES: Comments must be received on or before January 24, 2011. … 24   See rule 203A-1(b)(2); cf. 204-1(a).

Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, To Adopt Rules To List and Trade FLEX Options

Federal Register · Notice · Nov 29, 2024

-6/30/24) Average daily volume (in shares) (1/1/24-6/30/24) AGG iShares Core U.S. … [FR Doc. 2024-27992 Filed 11-27-24; 8:45 am] BILLING CODE 8011-01-P

Oversight of Credit Rating Agencies Registered as Nationally Recognized Statistical Rating Organizations

Federal Register · Proposed Rule · Feb 9, 2007

(November 24, 1975). … No. 107-204, 116 Stat. 745 (2002). 24   See Senate Report.

Rescission of Rule 14a-8's Federal Regulation of Shareholder Proposals and Amendments to Rule 14a-4

Federal Register · Proposed Rule · Sep 21, 2026

Of these 57 proposals, 24 targeted investment companies, and 67 percent of these 24 received sufficient voting support to pass. … The survey was open from Nov. 19 through Dec. 24, 2025.

Management's Discussion and Analysis, Selected Financial Data, and Supplementary Financial Information

Federal Register · Proposed Rule · Feb 28, 2020

Request for Comment 24. … Table 4 summarizes the requested paperwork burden, including the estimated total reporting burdens and costs, under the proposed amendments. 398  From Column (D) in PRA Table 3. 399

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

Federal Register · Proposed Rule · Dec 2, 2010

Programmer at 8 hours) + (Compliance Manager at 24 hours) + (Compliance Attorney at 24 hours) + (Compliance Clerk at 24 hours) + (Sr. … AS-305). 399  5 U.S.C. 605(b).

Management's Discussion and Analysis, Selected Financial Data, and Supplementary Financial Information

Federal Register · Rule · Jan 11, 2021

One commenter broadly stated that we did not attempt to examine the impacts on investment decisions across different asset classes. 399 We believe that investors, whether shareholders, bondholders … We do not anticipate different effects of the final amendments on investors of different asset classes. 399   See CalPERS Letter. 2.

Conformed to Federal Register version

Agency decision · Agency decision

be clearly defined and understood and require firms to be accountable for allocating responsibilities in a way that supports effective oversight and execution, even where responsibilities are divided. 399 … Note: The staff’s analysis is based on 24 audit firms that disclosed their QC evaluation dates in their most recent EU transparency reports.

Investment Company Swing Pricing

Federal Register · Rule · Nov 18, 2016

See also supra footnotes 24-31 and accompanying text. 264   See infra section II.A.3.f. … See also Redemption Fees Adopting Release, supra footnote 24.

Exchange-Traded Funds

Federal Register · Proposed Rule · Jul 31, 2018

6 22 37 56 86 2014Q2 42 54 25 7 22 37 58 90 2014Q3 41 55 24 7 23 38 59 88 2014Q4 43 55 24 6 24 40 60 88 2015Q1 41 … 44 57 26 5 24 42 62 92 2016Q2 43 56 26 6 23 41 61 92 2016Q3 43 56 26 5 24 41 62 91 2016Q4 44 57 25 6 24 42 61 91 Average

Joint Industry Plan; Order Approving, as Modified, a National Market System Plan Regarding Consolidated Equity Market Data

Federal Register · Notice · Nov 29, 2024

S7-24-89). … S7-24-89).

Proposed Amendments to Rule 610 of Regulation NMS

Federal Register · Proposed Rule · Apr 20, 2010

SEC, 444 F.2d 399 (2d Cir. 1971); Arleen Hughes, 27 SEC 629, 636 (1948), aff'd sub nom. Hughes v. SEC, 174 F.2d 969 (D.C. Cir. 1949)). … at 37539. 24   See id. at 37544.