Documents

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

Cybersecurity Risk Management, Strategy, Governance, and Incident Disclosure

Federal Register · Rule · Aug 4, 2023

(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.

Joint Industry Plan; Order Approving an Amendment to the National Market System Plan Governing the Consolidated Audit Trail, as Modified by the Commission, Regarding Implementation of a Revised Funding Model

Federal Register · Notice · Mar 19, 2026

at 24. 575   See CAT LLC July 2023 Response Letter, at 25. … at 24-25.

SECURITIES AND EXCHANGE COMMISSION

Agency decision · Agency decision

Alternatives ................................................................................................... 399 D. … As a result, we are adopting Form N-PORT’s swaps reporting section substantially as proposed. 399 Finally, for derivatives that do not fall into the categories enumerated in Form N-PORT, we proposed that

Consolidated Audit Trail

Federal Register · Proposed Rule · Jun 8, 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)). … These include the move to multiple listing, 397 the extension of the Commission's Quote Rule to options, 398 the prohibition against trading outside of the national best bid and offer, 399

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.

Regulation NMS: Minimum Pricing Increments, Access Fees, and Transparency of Better Priced Orders

Federal Register · Proposed Rule · Dec 29, 2022

See Securities Exchange Act Release Nos. 94310 (Feb. 24, 2022), 87 FR 11748 (Mar. 2, 2022); 94309 (Feb. 24, 2022), 87 FR 11763 (Mar. 2, 2022); 94308 (Feb. 24, 2022), 87 FR 11755 (Mar. 2, 2022); 94307 … See supra note 328. 409   See supra note 399 and accompanying text.

Exemptions To Facilitate Intrastate and Regional Securities Offerings

Federal Register · Rule · Nov 21, 2016

\239\ 15 U.S.C. 80a-24(d). \240\ See 1961 Release at note 1. \241\ See Rule 147A(a). … \399\ See 2003 FRB Survey, note 397 (estimating that 34% of small businesses use lines of credit).

Universal Proxy

Federal Register · Rule · Dec 1, 2021

We discuss the final amendments in greater detail below. 24 24  In addition to the substantive final amendments, we are making technical amendments to: (i) Rule 14a-3 (punctuational and related … 398   See letters from BM; SIFMA; ABC; BR; CCMC; CGCIV; Davis Polk. 399   See letter from BR.

Pay Ratio Disclosure

Federal Register · Rule · Aug 18, 2015

”), Sarah McKee (Sep. 24, 2013) (“McKee”), Thomas Motes (Sep. 24, 2013) (“Motes”), Karl David Reinhardt (Sep. 24, 2013) (“Reinhardt”), Cynthia Sommer (Sep. 24, 2013) (“Sommer”), Cody Spann (Sep. 24, 2013 … 398   See letter from CII. 399   Id.

Updated Disclosure Requirements and Summary Prospectus for Variable Annuity and Variable Life Insurance Contracts

Federal Register · Proposed Rule · Nov 30, 2018

(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].

Electronic Filing and Revision of Form D

Federal Register · Rule · Feb 27, 2008

No. 33-7301 (May 31, 1996) [61 FR 30405]. 23  SEC Task Force on Disclosure Simplification, Final Report 17 (Mar. 5, 1996), available at http://www.sec.gov/news/studies/smpl.txt. 24 … No. 33-8766 (Dec. 27, 2006) [72 FR 399], another commenter stated that it believed it would be useful to the Commission and investors if Form D would require information on pooled investment funds' assets

Conformed to Federal Register version

Agency decision · Agency decision

See also Rule 614; 17 CFR 242.614. 262 See Rule 600(b)(24); 17 CFR 242.600(b)(24). 263 See Rule 600(b)(26); 17 CFR 242.600(b)(26). 264 See Rule 600(b)(89); 17 CFR 242.600(b)(89). 265 See Rule 600 … The 399 See id. They examine how wholesalers adjust the price improvement they offer as they approach the time period when the retail broker reallocates order flow among wholesalers.

Disclosure of Order Execution Information

Federal Register · Proposed Rule · Jan 20, 2023

at 75414. 24   See id. at 75419. … at 24.

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

-person status of the counterparties. 240 238   See SIFMA/FIA/FSR Letter at A-24. 239   See id. at A-24 to A-25. 240   See id. at A-25. E. … Programmer at 8 hours) + (Compliance Manager at 24 hours) + (Compliance Attorney at 24 hours) + (Compliance Clerk at 24 hours) + (Sr.

Regulation Systems Compliance and Integrity

Federal Register · Rule · Dec 5, 2014

a manner that the Commission believes is responsive to commenters' concerns regarding the breadth of the definition of systems disruption (while stopping short of including a materiality standard). 399 … materiality threshold, the adopted definition of SCI systems further focuses the scope of the definition of systems disruption. 400 398   See supra note 347 and accompanying text. 399

Regulation NMS: Minimum Pricing Increments, Access Fees, and Transparency of Better Priced Orders

Federal Register · Rule · Oct 8, 2024

A 10 mil access fee cap is at a level that will allow the exchanges to maintain their current net capture for executions of NMS stocks priced $1.00 or greater. 399 399   See infra sections … at n.399 and accompanying text. 962   See Proposing Release, supra note 11, at 80298.

The Trade-Through Rule and Locked and Crossed Markets Provisions of Regulation NMS

Federal Register · Proposed Rule · Jun 17, 2026

See also Rule 614; 17 CFR 242.614. 262   See Rule 600(b)(24); 17 CFR 242.600(b)(24). 263   See Rule 600(b)(26); 17 CFR 242.600(b)(26). 264   See Rule 600(b)(89); … (discussing how retail brokers adjust their order flow based on wholesaler execution quality). 399   See id.

Clearing Agency Governance and Conflicts of Interest

Federal Register · Rule · Dec 5, 2023

financial markets. 398 Multiple commenters agreed that the incentives of registered clearing agencies and their stakeholders can diverge from the interest of the broader financial markets. 399 … financial stability generally.”); Menkveld & Vuillemey, supra note 382, at 22 (“Network externalities create a role for regulators to coordinate investors on a socially desirable equilibrium.”). 399

Disclosure of Payments by Resource Extraction Issuers

Federal Register · Rule · Sep 12, 2012

See Implementing the EITI, at 23-24. … 24  15 U.S.C. 78m(q)(2)(F).