Documents

Via Facsimile & U.S. Mail

Agency decision · Agency decision

February 26, 2016 Via Facsimile & U.S. Mail Frederick S. Marius, Esq. … Tao Assistant Director Division of Trading and Markets U.S. Securities and Exchange Commission 100 F Street, N.E.

Clearing Agency Standards for Operation and Governance

Federal Register · Proposed Rule · Mar 16, 2011

. generally accepted accounting principles (“U.S. … Virtually all mutual fund securities, government securities, options, and municipal bonds in the U.S. are dematerialized and most of the equity and corporate bonds in the U.S. market are either immobilized

Temporary Rule Regarding Principal Trades With Certain Advisory Clients

Federal Register · Proposed Rule · Oct 12, 2012

Kahl, 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

Standards for Covered Clearing Agencies for U.S. Treasury Securities and Application of the Broker-Dealer Customer Protection Rule With Respect to U.S. Treasury Securities

Federal Register · Proposed Rule · Oct 25, 2022

Treasury repo. 423 Nonetheless, the Commission understands that, among bilaterally settled repo, approximately half was centrally cleared as of 2021. 424 Centrally cleared triparty repo is a … market players, the requirement for repo transactions will cover a set of market participants that already have built most of the necessary processes and infrastructure to comply with the rule. 423

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

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.

Self-Regulatory Organizations; New York Stock Exchange LLC and the National Association of Securities Dealers, Inc.; Notice of Filing of Proposed Rule Changes To Amend NYSE Rules 472 and 344, and NASD Rules 1050 and 2711 Relating to Research Analyst Conflicts of Interest

Federal Register · Notice · Jan 17, 2007

Sales material regarding investment companies is already subject to a separate regulatory regime, including NASD Rule 2210 and Securities Act Rule 482, 16 and all advertisements and sales literature … According to NASD, sales material regarding investment companies is already subject to a separate regulatory regime, including NASD Rule 2210 and SEC Rule 482, and all advertisements and sales literature

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.

Request for Comments on Measures To Improve Disclosure of Mutual Fund Transaction Costs

Federal Register · Proposed Rule · Dec 24, 2003

For example, at hearings held on March 12 and November 4, 2003 by the U.S. … The benefit of reduced impact cost may be reduced or eliminated by an increase in opportunity cost. 14   See Harris supra note 6 at 422-423.

Precidian ETFs Trust, et al.; Notice of Application

Federal Register · Notice · Oct 27, 2014

ADDRESSES: Secretary, U.S. Securities and Exchange Commission, 100 F Street NE., Washington, DC 20549-1090. … The study found that annual turnover across U.S. all-equity mutual funds is 87%.

Securities Transactions Settlement

Federal Register · Proposed Rule · Mar 18, 2004

The SRO confirmation rules include: American Stock Exchange (“AMEX”) Rule 423(5); Chicago Stock Exchange Article XV, Rule 5; New York Stock Exchange (“NYSE”) Rule 387(a)(5); Pacific Stock Exchange Rule … During the 1990's, non-U.S. investors played an increasing role in the U.S. securities markets.

Conformed to Federal Register Version

Agency decision · Agency decision

See U.S. … The U.S.

Commission Legal Brief: Sunbeam Securities Litigation (Camden Asset Management, L.P., et al., v. Arthur Andersen LLP et al.)

Agency decision · Agency decision

United States , 445 U.S. 222, 230 (1980). … Supp. 482, 487 (N.D. Cal. 1988); See also Rocky Mountain Helicopters, Inc. v. Bell Helicopters Textron , 805 F.2d 907, 918 (10th Cir. 1986). D.

Securities and Exchange Commission

Agency decision · Agency decision

The statutory provisions relating to the dating of the prospectus apply equally to the dating of the SAI for purposes of Rule 423 under the Securities Act [17 CFR 230.423]. … if the company to be acquired is a private fund, then the required financial statements may comply with U.S. Generally Accepted Accounting Principles and only Article 12 of Regulation S-X; 3.

Covered Clearing Agency Resilience and Recovery and Orderly Wind-Down Plans

Federal Register · Rule · Nov 18, 2024

423  DTCC at 12. … Redesigning the U.S.

Application of Certain Title VII Requirements to Security-Based Swap Transactions Connected With a Non-U.S. Person's Dealing Activity That Are Arranged, Negotiated, or Executed by Personnel Located in a U.S. Branch or Office or in a U.S. Branch or Office of an Agent

Federal Register · Proposed Rule · May 13, 2015

Market observers will be able to incorporate information from the security-based swap market to derive valuations for other assets that are more accurate. 423 423   See Regulation SBSR Adopting … 482   See Section V.E, supra.

Fund of Funds Arrangements

Federal Register · Rule · Nov 19, 2020

A foreign fund may conduct a private U.S. offering in the United States without violating section 7(d) of the Act if the foreign fund conducts its activities with respect to U.S. investors in compliance … As of December 2019, there were 59.7 million U.S. households and 103.9 million individuals that owned U.S. registered investment companies. 574 574   See 2020 ICI Fact Book, supra footnote

Self-Regulatory Organizations; Notice of Filing of Proposed Rule Change by the National Association of Securities Dealers, Inc., Relating to Fees and Hearing Session Deposits for the Arbitration of Claims by Public Investors, Members and Associated Persons

Federal Register · Notice · Dec 1, 1997

McMahon, 482 U.S. 220, 96 L.Ed.2d 185, 107 S.Ct. 2332, affirming the enforceability of customer predispute arbitration agreements, the arbitration caseload grew rapidly and the program now handles more

Transfer Agent Regulations

Federal Register · Proposed Rule · Dec 31, 2015

Liberty Transfer Co., 2006 U.S. Dist. LEXIS 91568 (E.D.N.Y. … Should the Commission's transfer agent rules apply with equal force to U.S. and non-U.S. transfer agents (or non-U.S. subsidiaries of 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 United Kingdom

Federal Register · Notice · Aug 6, 2021

(2) Exchange Act rule 15Fh-5;  424 (3) Exchange Act rule 15Fh-6;  425 (4) Exchange Act rule 18a-2;  426 (5) Exchange Act rule 18a-4; and (6) Regulation SBSR. 427 423  17 … 482   Compare para.