Documents

Securities Offering Reform for Closed-End Investment Companies

Federal Register · Proposed Rule · Apr 10, 2019

Id. 155   See supra Part II.C. 156   See section 24(f)(1) of the Investment Company Act [15 U.S.C. 80a-24(f)(1)]. 157   See section 24(f)(2) of the Investment Company … Act [15 U.S.C. 80a-24(f)(2)].

Exchange-Traded Funds

Federal Register · Rule · Oct 24, 2019

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 2017Q1 … 43 58 25 6 24 42 61 91 2017Q2 44 55 25 6 25 42 61 90 2017Q3 43 61 25 6 24 42 61 88 2017Q4 44 58 24 7 25 43 61 87 Average

Facilitating Capital Formation and Expanding Investment Opportunities by Improving Access to Capital in Private Markets

Federal Register · Proposed Rule · Mar 31, 2020

See also letter from Rosebud Economic Development Corporation dated September 24, 2019; Davis Polk Letter; and letter from Ropes & Gray LLP dated September 24, 2019. … One commenter on the FAST Act Modernization rulemaking estimated that legal fees for confidential treatment requests ranged from $35,000 to over $200,000, 399 while another commenter estimated that

Shortening the Securities Transaction Settlement Cycle

Federal Register · Proposed Rule · Feb 24, 2022

24   Id. … Please explain why or why not. 24.

Insider Trading Arrangements and Related Disclosures

Federal Register · Rule · Dec 29, 2022

SAB 120 (Nov. 24, 2021) [86 FR 68111 (Dec. 1, 2021)] (“SAB 120”). … , 24 J.

Conformed to Federal Register version

Agency decision · Agency decision

SAB 120 (Nov. 24, 2021) [86 FR 68111 (Dec. 1, 2021)] (“SAB 120”). … , 24 J.

Public Company Accounting Oversight Board; Notice of Filing of Proposed Rules on Auditing Standards Related to the Auditor's Assessment of and Response to Risk and Related Amendments to PCAOB Standards

Federal Register · Notice · Sep 27, 2010

Selecting All Items 24. … The auditing interpretations of AU sec. 326, except for Interpretation No. 2 (AU secs. 9326.06-.23), also are superseded. 399 399  Interpretation No. 2 relates in part to AU sec. 336 and AU

Exemption for Certain Exchange Members

Federal Register · Rule · Sep 7, 2023

Several commenters expressed concerns that TAF costs would be significant. 399 Consequently, non-FINRA member firms may reduce their trading both on exchanges and off-exchange after joining an Association … exchanges of which they are a member, which several commenters supported. 403 This change to the TAF will likely lower the cost for non-FINRA member firms to join an Association. 404 399

For The Recruitment, Hiring, Advancement,

Agency decision · Agency decision

0 0 0 0 72 0 0 24 24 24 24 24 24 24 0 0 24 0 24 0 0 0 0 24 0 0 “Other PWD” include employees, who did not self-identify on SF-256, and who were coded on Veterans’ Preference … Hours per Emp. 100% 33.33% 27.78% 37.50% 50.00% 0.00% 50.00% 33.33% 29,863 27,206 25,682 1,524 2,309 348 2,657 552 16 52 232 48 24 0 52 12 0 104 12 0 24 24 24 24 23 23 23

Conformed to Federal Register Version

Agency decision · Agency decision

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

Conformed to Federal Register version

Agency decision · Agency decision

(a), 24(g), 30, and 38 of the Investment Company Act [15 U.S.C. 80a-8, 80a-24(a), 80a-24(g), 80a-29, and 80a-37]. … (a), 24(g), 30, and 38 of the Investment Company Act [15 U.S.C. 80a-8, 80a-24(a), 80a-24(g), 80a-29, and 80a-37].

Concept Release on Harmonization of Securities Offering Exemptions

Federal Register · Proposed Rule · Jun 26, 2019

DATES: Comments should be received on or before September 24, 2019. … Under Section 24(d) of the Investment Company Act [15 U.S.C. 80a-24(d)], the Section 3(a)(11) exemption is not available for an investment company registered or required to be registered under the Investment

Conformed to Federal Register version

Agency decision · Agency decision

Market centers must provide specified measures of execution 24 See id. at 75419. … 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)).

Conformed to Federal Register version

Agency decision · Agency decision

(Oct. 24, 2022) and U.S. Chamber of Commerce (Nov. 1, 2022). … SEC. 24, 25 (2015) (“Firms in the private sector of many countries own a large share of critical infrastructure assets.

Pay Versus Performance

Federal Register · Rule · Sep 8, 2022

Cook & Co., dated June 24, 2015 (“Cook”); Steven Hall ad Partners, dated July 6, 2015 (“Hall”); and Pearl, Myers and Partners, dated July 6, 2015 (“Pearl”). … 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;

Publication or Submission of Quotations Without Specified Information

Federal Register · Rule · Oct 27, 2020

Inc., https://www.otcmarkets.com/otc-link/broker-dealer-directory (last visited Apr. 24, 2020, 2:35 PM). … In contrast, only 26 (two percent) of listed securities cases involved delinquent filings, 43 (four percent) involved pump-and-dumps, 278 (24 percent) involved financial fraud, 399 (34 percent) involved

Amendment to Municipal Securities Disclosure

Federal Register · Rule · Jun 10, 2010

EMMA system, the Commission has elected to use the data obtained for the Sample Period to revise its estimates in the Proposing Release. 398 Because the Sample Period is less than a full year, 399 … Release are somewhat lower than those derived from the Sample Period for annual filings and event notices and somewhat higher for failure to file notices, see infra notes 417, 418, and 421. 399

Disclosure Update and Simplification

Federal Register · Proposed Rule · Aug 4, 2016

24. … Item 24.

Daily Computation of Customer and Broker-Dealer Reserve Requirements Under the Broker-Dealer Customer Protection Rule

Federal Register · Rule · Jan 13, 2025

Notification requirements for broker-dealers generally range from immediate, promptly (but within 24 hours), within 24 hours, and within 48 hours. … Reduction of the Aggregate Debit Items Charge From 3% to 1% The Commission could have implemented a debit-items charge reduction from 3% to 1%, as suggested by some commenters. 399 This change

Electronic Submission of Certain Materials Under the Securities Exchange Act of 1934; Amendments Regarding the FOCUS Report

Federal Register · Proposed Rule · Apr 18, 2023

24   See infra sections VII.A and X.C. … 399  17 CFR 232.11. 15.