Documents

Conformed to Federal Register version

Agency decision · Agency decision

to Receive Form X-17A-5 (FOCUS Report) from Certain Security-Based Swap Dealers and Major Security-Based Swap Participants, Exchange Act Release No. 88866 (May 14, 2020), 85 FR 29993 (May 19, 2020). 399 … as of 12/31/23 53 as of 6/21/24 53 as of 6/21/24 24 (estimated) as of 12/31/23 Users of Affected Documents The entities that use (e.g., examine, store, analyze) each affected document vary based on whether

Regulation Systems Compliance and Integrity

Federal Register · Proposed Rule · Mar 25, 2013

DATES: Comments should be submitted on or before May 24, 2013. … See 17 CFR 242.600(b)(24) and 17 CFR 242.600(b)(52). 198.

Private Fund Advisers; Documentation of Registered Investment Adviser Compliance Reviews

Federal Register · Proposed Rule · Mar 24, 2022

GAAP ASC 946-205-50-23/24. … ability to respond to an individual investor's concerns during the course of attracting capital investments to private funds. 399   See supra section II.E.

Short Position and Short Activity Reporting by Institutional Investment Managers

Federal Register · Rule · Nov 1, 2023

However, brokers or dealers may also use other means to ensure compliance with the final rule. 383   See, e.g., SIFMA Letter, at 24-25; Virtu Letter, at 5. 384  SIFMA Letter, at 24 … Proposing Release to suggest that there are widespread violations or abuses of the BFMM locate exception that warrant the costs imposed by the CAT reporting requirements for the BFMM locate exception. 399

Prohibition Against Conflicts of Interest in Certain Securitizations

Federal Register · Rule · Dec 7, 2023

See letter from Managed Funds Association dated July 24, 2023 (“MFA III”). … However, Section 27B also provides an exception for risk-mitigating hedging activity;  399 therefore, we believe that it is consistent with Section 27B to allow for the conflicted transaction that

Amendments to Financial Disclosures About Acquired and Disposed Businesses

Federal Register · Rule · Aug 31, 2020

would be required if the registrant acquired a non-substantial portion of another fund's portfolio investments that would constitute all or substantially all of the initial assets of the registrant. 399 … L. 112-106, 126 Stat. 312, unless otherwise noted. 24.

Conformed to Federal Register

Agency decision · Agency decision

For example, within 24 hours of the transfer of beneficial ownership? Within 24 hours of receipt of notice from adviser? … Alternatively would 24 months be necessary?

Mutual Fund Distribution Fees; Confirmations

Federal Register · Proposed Rule · Aug 4, 2010

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

Registration for Index-Linked Annuities; Amendments to Form N-4 for Index-Linked and Variable Annuities

Federal Register · Proposed Rule · Oct 13, 2023

See infra section II.E (discussing proposed amendments to rules 485 and 497 under the Securities Act). 229   See Section 24(e) of the Investment Company Act [15 U.S.C. 80a-24(e)]. … Hedging, Familiarity, and Portfolio Choice, Review of Financial Studie s, 19(2), 633-685. 399   See Campbell et al. Paper.

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

Federal Register · Rule · Nov 18, 2024

RWP Proposing Release, supra note 18, at 34716. 393  ICE at 5. 394   Id. 395  CCP12 at 4. 396   Id. 397   Id. 398   Id. 399 … [FR Doc. 2024-25570 Filed 11-15-24; 8:45 am] BILLING CODE 8011-01-P

Regulation B

Federal Register · Proposed Rule · Jun 30, 2004

(seventh) of the National Bank Act. 12 U.S.C. 24 (seventh). … (Nov. 24, 1993) (“Chubb letter”).

Conformed to Federal Register version

Agency decision · Agency decision

S7-24-19] RIN 3235-AM06 Disclosure of Payments by Resource Extraction Issuers AGENCY: Securities and Exchange Commission. ACTION: Final rule. … Taxes Consistent with Section 13(q), the final rules require a resource extraction issuer to disclose payments made in the form of taxes. 399 The final rules also include an instruction, as proposed,

Regulation Systems Compliance and Integrity

Federal Register · Proposed Rule · Apr 14, 2023

See 17 CFR 248.30(a)(3). 399   See Regulation S-P 2023 Proposing Release. … See Market Data Infrastructure Adopting Release, supra note 24.

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

23  TMPG White Paper, supra note 21, at 3. 24   Id. … [FR Doc. 2022-20288 Filed 10-24-22; 8:45 am] BILLING CODE 8011-01-P

Regulation NMS

Federal Register · Proposed Rule · Dec 27, 2004

Securities Exchange Act Release No. 14661 (Apr. 14, 1978), 43 FR 17419 (Apr. 24, 1978). … today would make conforming changes to the following rules:  394 § 200.30-3;  395 § 200.800, Subpart N;  396 § 201.101;  397 Rule 144  398 under the Securities Act of 1933;  399

Clearing Agency Standards

Federal Register · Rule · Nov 2, 2012

Kaswell and Carlotta King, Managed Funds Association, dated March 24, 2011 (“MFA (Kaswell/King) Letter”); letter from Stuart J. … We believe that these issues are appropriately addressed by individual clearing agencies through the submission of proposed rule changes to the Commission for review and public comment. 399

Amendments for Small and Additional Issues Exemptions Under the Securities Act (Regulation A)

Federal Register · Rule · Apr 20, 2015

Riley & Co., March 24, 2014 (“B. … Hartnett, Missouri Commissioner of Securities, March 24, 2014 (“MCS Letter”).

Conformed To Federal Register Version

Agency decision · Agency decision

Overview of the Final Rules ..................................................................................24 1. … Final Rules’ Principal Elements ........................................................................24 2.

Investment Company Liquidity Risk Management Programs

Federal Register · Rule · Nov 18, 2016

However, certain commenters suggested that stronger requirements and guidance regarding assets subject to the 15% limit could be appropriate. 399 One commenter expressed concern that the Commission's … 396   See infra footnote 561 and accompanying text. 397   See Proposing Release, supra footnote 9, at text following n.356. 398   See supra footnote 387. 399

Joint Industry Plan; Order Approving the National Market System Plan Governing the Consolidated Audit Trail

Federal Register · Notice · Nov 23, 2016

at 24. … at 21, 22, 24. 958   Id. at 24.