Documents

Division of Investment Management

Agency decision · Agency decision

Pension Plans U.S. … Pension Plans 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. … Pension Plans U.S. Individuals Sov. Wealth Funds and For. Official Inst. Insurance Companies Non-U.S. Individuals Broker-Dealers Unknown Non-U.S.

Use of Electronic Media by Broker-Dealers, Transfer Agents, and Investment Advisers for Delivery of Information; Additional Examples Under the Securities Act of 1933, Securities Exchange Act of 1934, and Investment Company Act of 1940

Federal Register · Rule · May 15, 1996

\10\ For example, Rule 15a-6 requires U.S. registered broker- dealers, under certain circumstances, to obtain certain foreign persons' consent to service of process. 17 CFR 240.15a- 6(a)(3)(iii)(D … By contrast, an advertisement satisfying the requirements of Securities Act Rule 134 or 482 need not be preceded or accompanied by a prospectus.

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.

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

Federal Register · Notice · Mar 1, 1999

McMahon, 482 U.S. 220 (1987) (``McMahon''). --------------------------------------------------------------------------- Commenters also argue that the increase in the allocation of fees is significant … Metropolitan Edison Co., 419 U.S. 345, 357 (1974).

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

422   See supra note 390. 423   See proposed Rule 13805(a)(2)(A)(v). … Commenters both supporting and opposing the proposed rule change recommended modifications to these provisions. 482 One commenter who opposed the proposed rule change objected to the participation

Exemptions To Facilitate Intrastate and Regional Securities Offerings

Federal Register · Rule · Nov 21, 2016

See U.S. … \427\ See U.S.

Commission Guidance Regarding Client Commission Practices Under Section 28(e) of the Securities Exchange Act of 1934

Federal Register · Proposed Rule · Oct 25, 2005

See U.S. v. Deutsch, 451 F.2d 98, 110-11 (2d Cir. 1971), cert. denied, 404 U.S. 1019 (1972). … Donaldson, Chairman, U.S.

Clearing Agency Governance and Conflicts of Interest

Federal Register · Rule · Dec 5, 2023

Registered clearing agencies in the U.S. are an essential part of the infrastructure of the U.S. securities markets due to their role as intermediaries for clearing and settling securities transactions … Redesigning the U.S.

Amendments to Financial Disclosures About Acquired and Disposed Businesses

Federal Register · Rule · Aug 31, 2020

See U.S. … The titles for the affected collections of information are:  482 482  A number of forms could require Rule 3-05, Rule 3-14, and other disclosure impacted by the amendments such that the amendments

SECURITIES AND EXCHANGE COMMISSION

Agency decision · Agency decision

Howey Co., 328 U.S. 293 (1946). … Turner Enterprises, 474 F.2d 476, 482 n.7 (9th Cir. 1978), cert denied, 414 U.S. 821, 945 S. Ct. 117, 38 L.Ed.2d 53 (1973).

Division of Investment Management

Agency decision · Agency decision

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

Division of Investment Management

Agency decision · Agency decision

Pension Plans Non-U.S. Individuals State/Muni. Govt. Entities State/Muni. Govt. Pension Plans Non-Profits U.S. … Pension Plans Non-U.S. Individuals State/Muni. Govt. Entities State/Muni. Govt. Pension Plans Non-Profits U.S.

Supplemental Information and Reopening of Comment Period for Amendments Regarding the Definition of “Exchange”

Federal Register · Proposed Rule · May 5, 2023

See U.S. … As an alternative, the Commission could adopt the proposed changes to Rule 3b-16(a), but delay applying the changes to New Rule 3b-16(a) Systems that trade crypto asset securities. 423 423  

Further Definition of “As a Part of a Regular Business” in the Definition of Dealer and Government Securities Dealer in Connection With Certain Liquidity Providers

Federal Register · Rule · Feb 29, 2024

Using TRACE data for U.S. … the final rules described in section I.B largely respond to commenters' concerns by reducing the number of entities that the final rules would potentially require to newly register as dealers. 423

Proposed Rule Amendments and Guidance Addressing Cross-Border Application of Certain Security-Based Swap Requirements

Federal Register · Proposed Rule · May 24, 2019

. 423 Nevertheless, this competitive effect may be attenuated by the condition that makes the exception available only to non-U.S. persons that are subject to the margin and capital requirements of … a listed jurisdiction. 422   See part VII.B.2, infra. 423   See part III.A, supra.

Application of “Security-Based Swap Dealer” and “Major Security-Based Swap Participant” Definitions to Cross-Border Security-Based Swap Activities

Federal Register · Rule · Jul 9, 2014

-based holding company, or all affiliates of any U.S. person generally, should have to count their dealing activity against the thresholds. 482 481  Although the data available to the Commission … that the data does not enable us to identify which positions of non-U.S. persons are subject to guarantees by U.S. persons). 713   See section 0 and notes 481 and 482, supra.

Financial Disclosures About Guarantors and Issuers of Guaranteed Securities and Affiliates Whose Securities Collateralize a Registrant's Securities

Federal Register · Rule · Apr 20, 2020

See U.S. Sec. & Exch. … (F) The third party is a U.S.

Share Repurchase Disclosure Modernization

Federal Register · Rule · Jun 1, 2023

. exchanges (including financial industry issuers and U.S. … . disclosure requirements that can discourage a U.S. listing).

Conformed to Federal Register version

Agency decision · Agency decision

U.S. Generally Accepted Accounting Principles (“U.S. … We also agree that expanding the permissible deduction to encompass all U.S.