Documents

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

Conformed to Federal Register version

Agency decision · Agency decision

GAAP, and files with the Commission a reconciliation to U.S. GAAP should consider determining control using U.S. … disclose those payments in U.S. dollars.

U.S. Securities and Exchange Commission

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.

Covered Clearing Agency Resilience and Recovery and Wind-Down Plans

Federal Register · Proposed Rule · May 30, 2023

Redesigning the U.S. … As a result, proper management of the risks associated with central clearing helps ensure the stability of the U.S. securities markets and the broader U.S. financial system. 107 106   See

Conformed to Federal Register version

Agency decision · Agency decision

McMahon, 482 U.S. 220, 228, 230 (1987)). See also Cohen v. … Effects on U.S.

Division of Investment Management

Agency decision · Agency decision

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

Disclosure of Payments by Resource Extraction Issuers

Federal Register · Rule · Jan 15, 2021

GAAP, and files with the Commission a reconciliation to U.S. GAAP should consider determining control using U.S. GAAP. 283 282   See Item 2.01(d)(3) of Form SD. … Cardin et al.; EITI Civil Society Board; Eric Postel; Public Citizen; and PWYP-US (Mar. 16, 2020). 481   See letter from PWYP-US (Mar. 16, 2020). 482   See, e.g., letters

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.

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.

Revisions to Rules Regulating Money Market Funds

Federal Register · Rule · Mar 28, 1996

One fund holding notes of this type, the U.S. … U.S.

Amendment to Municipal Securities Disclosure

Federal Register · Rule · Jun 10, 2010

See also Moody's Investors Service, The U.S. … See supra notes 417, 420, 423, 485 and accompanying text. 3.

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

For the same reasons, the NASD is confident that the NODF will be able to meet all capacity requirements for decimal pricing in the U.S. securities markets. 481 480  Nasdaq also noted that … On the other hand, Nasdaq is modifying its existing Unisys-based quotation platform to accommodate decimal pricing, and that project is staffed with a dedicated Unisys-based development team. 482

Listing Standards for Recovery of Erroneously Awarded Compensation

Federal Register · Rule · Nov 28, 2022

McMahon, 482 U.S. 220, 228, 230 (1987)). See also Cohen v. … Effects on U.S.

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

Federal Register · Rule · Nov 4, 2020

Public Utilities Comm'n of California, 475 U.S. 1, 14 n.10 (1986). 235   Id. 236  Cf. Regan v. Taxation with Representation, 461 U.S. 540, 549 (1983). … See, e.g., letter from Shareholders Rights Group dated March 18, 2020. 423   See supra tbl.1.

Disclosure of Payments by Resource Extraction Issuers

Federal Register · Rule · Jul 27, 2016

See generally U.S. … 482   See letter from AICPA.

Definition of Terms in and Specific Exemptions for Banks, Savings Associations, and Savings Banks Under Sections 3(a)(4) and 3(a)(5) of the Securities Exchange Act of 1934

Federal Register · Proposed Rule · Nov 5, 2002

Institute , 450 U.S. 46, 61, 101 S. Ct. 973, 984, 67 L. Ed. 2d 36 (1981); 75 Cong. Rec. 9913-9914 (1932) (remarks of Sen. Bulkley). 9   See U.S. … Forman, 421 U.S. 837, 849, rehearing denied, 423 U.S. 884 (1975). The GLBA bank “dealer” exceptions are outlined briefly below. 34 34  This outline is a summary.

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

and/or the person's minor child or relative, spouse, spousal equivalent, or relative of the spouse or of the spousal equivalent who has the same principal residence are the only primary beneficiaries. 423 … See ABA Letter. 423  Rule 202(a)(30)-1(a)(1).

Division of Investment Management

Agency decision · Agency decision

U.S. Treasury Securities U.S. … U.S. Treasury Securities U.S.

Division of Investment Management

Agency decision · Agency decision

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

Joint Industry Plan; Order Approving an Amendment to the National Market System Plan Governing the Consolidated Audit Trail, as Modified by the Commission, To Further Reduce the Costs of the Consolidated Audit Trail

Federal Register · Notice · Apr 1, 2026

CAIS aids in establishing these connections for customers that are U.S. natural persons, non-U.S. natural persons, and legal entities alike. 416 416   Id. … See 2024 Cost Savings Amendment, supra note 16, at 103037. 482  For example, Nasdaq has recently sought Commission approval for such a schedule.