Documents

Self-Regulatory Organizations; BATS Y-Exchange, Inc.; Notice of Filing of a Proposed Rule Change To Amend the Certificate of Incorporation and Bylaws of the Exchange's Ultimate Parent Company, BATS Global Markets, Inc.

Federal Register · Notice · Feb 23, 2016

Emerald Partners, 552 A.2d 482 (Del. 1988). e. … Section 11.01(b) of the Current Bylaws, for example, states that notices to directors may be given through U.S. mail, facsimile, telex or telegram, except that such notice, other than one which is delivered

Temporary Rule Regarding Principal Trades With Certain Advisory Clients

Federal Register · Proposed Rule · Aug 18, 2014

Kahl, Assistant Director, at (202) 551-6787 or IArules@sec.gov, Investment Adviser Regulation Office, 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

Self-Regulatory Organizations; EDGA Exchange, Inc.; Notice of Filing of a Proposed Rule Change To Amend the Certificate of Incorporation and Bylaws of the Exchange's Ultimate Parent Company, BATS Global Markets, Inc.

Federal Register · Notice · Feb 22, 2016

Emerald Partners, 552 A.2d 482 (Del. 1988). e. … Section 11.01(b) of the Current Bylaws, for example, states that notices to directors may be given through U.S. mail, facsimile, telex or telegram, except that such notice, other than one which is delivered

Investment Company Names

Federal Register · Rule · Oct 11, 2023

U.S. Generally Accepted Accounting Principles (“U.S. … . government securities such as U.S.

Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of a Proposed Rule Change To Amend the Codes of Arbitration Procedure To Adopt FINRA Rules 12808 and 13808 (Accelerated Processing) To Accelerate the Processing of Arbitration Proceedings for Parties Who Qualify Based on Their Age or Health Condition

Federal Register · Notice · Dec 26, 2024

C 12-80104, 2012 U.S. Dist. LEXIS 64554, at *1-4 (N.D. Cal. … McMahon, 482 U.S. 220 (1987), the courts would not enforce predispute arbitration agreements relating to federal securities law claims.

Conformed to Federal Register version and consolidated with correction 33-11238A

Agency decision · Agency decision

U.S. Generally Accepted Accounting Principles (“U.S. … . government securities such as U.S.

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.

Money Market Fund Reform

Federal Register · Rule · Mar 4, 2010

On September 19, 2008, the U.S. … Comment Letter”); Comment Letters of the U.S.

Exemptions From the Proxy Rules for Proxy Voting Advice

Federal Register · Rule · Sep 3, 2020

See U.S. … SEC, 472 U.S. 181 (1985). The U.S.

Conformed to Federal Register Version

Agency decision · Agency decision

See U.S. … Borak, 377 U.S. at 432; see also S. Rep.

Revision of the Commission's Auditor Independence Requirements

Federal Register · Rule · Dec 5, 2000

Shrink Missouri Government, 528 U.S. 377 (2000) (relying on the seminal case of Buckley v. Valeo, 424 U.S. 1 (1976)). … Res., at 482-496 (Autumn 1982) (“Scheiner & Kiger); J. H.

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; Republication

Federal Register · Rule · Aug 12, 2014

-based holding company, or all affiliates of any U.S. person generally, should have to count their dealing activity against the thresholds.\482\ -------------------------------------------------------- … \482\ The available data does not include information about the single-name security-based swap transactions of non-U.S. domiciled persons (including non-U.S. affiliates of U.S.

Modernization of Property Disclosures for Mining Registrants

Federal Register · Proposed Rule · Jun 27, 2016

Wood, Jr et. al., U.S. Geological Survey, U.S. Dep't of the Interior, Coal Resource Reclassification System of the U.S. … U.S. Geological Survey & U.S. Bureau of Mines, U.S.

Joint Industry Plan; Order Approving, as Modified, a National Market System Plan Regarding Consolidated Equity Market Data

Federal Register · Notice · Nov 29, 2024

Nasdaq, NYSE, and Cboe then petitioned the U.S. Court of Appeals for the District of Columbia Circuit (“D.C. … The Commission has recognized that investors must have this core data “to participate in the U.S. equity markets.”

Optional Internet Availability of Investment Company Shareholder Reports

Federal Register · Rule · Jun 22, 2018

According to the most recent U.S. census data, approximately 77.2% of U.S. households had some form of internet access in their home in 2015 and 86.8% have a computer ( e.g., desktop, laptop, tablet … Rule 498 and Form N-1A Estimates We estimate that there are 11,181 funds that file Form N-1A, 423 including 10,063 funds that will rely on rule 30e-3, of which 9,057 funds also rely on rule 498

As a filer, you will first need to determine whether you must meet your filing obligation via

Agency decision · Agency decision

with certain EDGARLink tender offers, business combinations and rights Online offerings, in which the subject company is a foreign private issuer of which less than 10% of its securities are held by U.S … filed in connection with certain tender offers, business combinations and rights offerings, in which the subject company is a foreign private issuer of which less than 10% of its securities are held by U.S

Pay Ratio Disclosure

Federal Register · Rule · Aug 18, 2015

One commenter recommended delaying compliance with “the most onerous parts of this rule,”  422 and a further commenter requested that we phase in various requirements of the rule. 423 Neither … See letter from WorldatWork II. 482   See S. Rep.

Rules Implementing Amendments to the Investment Advisers Act of 1940

Federal Register · Rule · Jul 19, 2011

A non-U.S. fund that has never used U.S. jurisdictional means in the offering of the securities it issues would not be a private fund. … SEC, 482 F.3d 481 (DC Cir. 2007). III. Effective and Compliance Dates A.

Retail Foreign Exchange Transactions

Federal Register · Rule · Jul 15, 2011

Supp. 2d 482, 495 (S.D.N.Y. 2004) (distinguishing between foreign exchange futures contracts and spot contracts in foreign exchange, and noting that spot transactions—unlike futures contracts—ordinarily … Greene et al., U.S. Regulation of International Securities and Derivatives Markets § 14.08[2] (8th ed. 2006).