Documents

Initial Decision Release No. 1407

Agency decision · Agency decision

June 24, 1996). … Ex. 840 ¶¶ 24, 35; Tr. 54.

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.

Disclosure of Payments by Resource Extraction Issuers

Federal Register · Proposed Rule · Jan 15, 2020

The statute does not define the term compilation. 24  15 U.S.C. 78m(q)(3). … 24. The statute does not define “not de minimis” or explain how that term should be applied.

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).

Regulation S-P: Privacy of Consumer Financial Information and Safeguarding Customer Information

Federal Register · Proposed Rule · Apr 6, 2023

24. … Based on notice filings, half of SEC-registered investment advisers operate in fewer than four states, and 38% operate in only one state. 400 399   See General Instructions to Form ADV (

Conformed to Federal Register version

Agency decision · Agency decision

Final Amendments ................................................................................................... 24 B. … See letter from Toomey/Shelby. 690 See supra Section II. 691 See supra notes 399–406 and accompanying text. 692 See letters from CCMC 2015; Mercer; Pearl; TCA 2015; and TCA 2022. 693 See letter

Enhanced Disclosures by Certain Investment Advisers and Investment Companies About Environmental, Social, and Governance Investment Practices

Federal Register · Proposed Rule · Jun 17, 2022

(g)(1)(E) to Item 24 of Form N-2. … (g)(1)(E) to Item 24 of Form N-2.

Fund of Funds Arrangements

Federal Register · Proposed Rule · Feb 1, 2019

J., 24 (1st Quarter 2017)). … We estimate that no BDCs that are small entities invest in other funds. 399   Id. D.

Joint Industry Plan; Order Approving an Amendment to the National Market System Plan Governing the Consolidated Audit Trail; Notice

Federal Register · Notice · Sep 12, 2023

at 24. 598   See CAT LLC July 2023 Response Letter at 25. … at 24-25.

Conformed to Federal Register Version

Agency decision · Agency decision

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.

Disclosure Update and Simplification

Federal Register · Rule · Oct 4, 2018

GAAP  399 industry standards. 400 399  ASC 932 400   See letters from CAQ; Deloitte; E&Y; and PwC. … Item 24.

Rules Implementing Amendments to the Investment Advisers Act of 1940

Federal Register · Rule · Jul 19, 2011

Advisers) (Jan. 24, 2011) (“Katten Foreign Advisers Letter”). … (Jan. 24, 2011) (“T. Rowe Letter”).

Broker-Dealer Reports

Federal Register · Rule · Aug 21, 2013

in internal control over compliance with the financial responsibility rules in the compliance report and the requirement to engage an independent public accountant to examine the compliance report. 399 … at ¶ 1.15; see also Exchange Act Release No. 31511 (Nov. 24, 1992), 57 FR 56973 (Dec. 2, 1992) (describing role of introducing broker-dealers). 740  Exchange Act Release No. 31511 (Nov. 24

Amendments to Form ADV

Federal Register · Rule · Aug 12, 2010

Fahey, Investment Advisers Act Release No. 2196 (Nov. 24, 2003) (settled order); In the Matter of Gary L. Hamby and Gary B. … See section 203A of the Advisers Act [15 USC 80b-3a]. 399  This estimate is based on information advisers have filed with the Commission on Part 1A of Form ADV as of May 3, 2010. D.

Public Company Accounting Oversight Board; Notice of Filing of Proposed Rules on Amendments to QC 1000, A Firm's System of Quality Control, and Related Rule and Forms

Federal Register · Notice · Sep 18, 2026

Panel A shows that 79% (19 ÷ 24) of the firms in the sample use evaluation months other than September (86% (6 ÷ 7) of the annually inspected firms in the sample). … Among the 24 firms, staff identified fiscal year-ends for 23 firms from their transparency reports or other official documents published by the firms.

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

Federal Register · Rule · Mar 19, 2015

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

Publication or Submission of Quotations Without Specified Information

Federal Register · Proposed Rule · Mar 8, 1999

flag ``that calls for appropriate inquiry on [the broker- dealer's] part.'' \70\ --------------------------------------------------------------------------- \70\ Alessandrini & Co., Inc., 45 S.E.C. 399 … These amendments make Regulation S abuses less likely, but broker-dealers should be alert to any questionable activities once the one-year holding period expires. 24. Form S-8 stock.

Revisions of Limited Offering Exemptions in Regulation D

Federal Register · Proposed Rule · Aug 10, 2007

 17 CFR 230.504. 12  17 CFR 230.505. 13  17 CFR 230.506. 14  17 CFR 230.508. 15  17 CFR 230.507. 16  See Release No. 33-8766 (Dec. 27, 2006) [72 FR 399 … the NASAA Web site at http://www.nasaa.org/content/Files/Model%5FAccredited%5FInvestor%5FExemption.pdf. 36  See Advisory Committee Final Report at 74-81; ABA Private Offering Letter, n. 24

Investment Company Reporting Modernization

Federal Register · Proposed Rule · Jun 12, 2015

• We request comment on Items 23 and 24 of proposed Form N-CEN. … In Item 24, Instruction 6, revising paragraph (b); b. In Item 24, revising Instruction 7; and c. Revising Item 32.

Money Market Fund Reform

Federal Register · Rule · Mar 4, 2010

Comment Letter”). 24   See, e.g., Comment Letter of Fidelity Investments (Aug. 24, 2009) (“Fidelity Comment Letter”); T. … 397   See supra Section II.B.1. 398  15 U.S.C. 80a-8(b), 80a-13(a). 399  17 CFR 230.485(b).