Documents

3. INDEX TO FORMS AND SUBMISSION TYPES

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

Temporary Rule Regarding Principal Trades With Certain Advisory Clients

Federal Register · Rule · Dec 23, 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

Regulation Best Interest

Federal Register · Proposed Rule · May 9, 2018

SEC., 482 F.3d 481 (D.C. … See also U.S.

Business Conduct Standards for Security-Based Swap Dealers and Major Security-Based Swap Participants

Federal Register · Rule · May 13, 2016

No. 111-517, 111th Cong., 2d Sess., p. 423 (June 29, 2010) (Dodd-Frank Act Conference Report). … For example, for non-U.S. business that U.S. SBS Dealers and U.S.

Proposed Rule Amendments for Small and Additional Issues Exemptions Under Section 3(b) of the Securities Act

Federal Register · Proposed Rule · Jan 23, 2014

U.S. … • U.S.

Exchange-Traded Funds

Federal Register · Proposed Rule · Jul 31, 2018

During the first quarter of 2018, for example, trading in U.S. … John McGuire, Morgan, Lewis & Bockius LLP re: 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.

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

Federal Register · Proposed Rule · Jun 17, 2026

. 423   See infra note 581 and accompanying text. … See U.S.

Conformed to Federal Register version

Agency decision · Agency decision

See, e.g., CBOE, CBOE TITANIUM U.S. … See U.S.

Temporary Rules to Include Certain “Platform Workers” in Compensatory Offerings Under Rule 701 and Form S-8

Federal Register · Proposed Rule · Dec 11, 2020

FOR FURTHER INFORMATION CONTACT: Elliot Staffin, Office of Rulemaking, at (202) 551-3430, in the Division of Corporation Finance, U.S. … (B) + (E) (I) = (C) + (F) S-8 2,140 28,890 $11,556,000 17 246.5 $98,600 2,157 29,137 $11,654,600 Rule 701 800 400 $480,000 105 81.75 $98,100 905 2  482

Conformed to Federal Register version

Agency decision · Agency decision

Dahl, 486 U.S. 622, 108 S. … While U.S.

Conformed to Federal Register version

Agency decision · Agency decision

Office of Investor Education and Advocacy of the U.S. … See U.S. Census Bureau, U.S.

U.S. Securities and Exchange Commission

Agency decision · Agency decision

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

Definition of Covered Clearing Agency

Federal Register · Proposed Rule · Oct 13, 2016

the broader U.S. financial system. … comprehensive risk management include review on a specified periodic basis and approval by the board of directors annually. 258   See CCA Standards adopting release, supra note 7, at 422-423

Facilitating Shareholder Director Nominations

Federal Register · Rule · Sep 16, 2010

(“Unitrin”); U.S. Bancorp (“U.S. … 423   See letters from ABA; Duane Morris; Media General; New York Times.

Registration and Regulation of Security-Based Swap Execution Facilities

Federal Register · Proposed Rule · Feb 28, 2011

× $423) + $6,142.5 (22.5 hours × $273), for a total of $330,300 for all SB SEFs ($16,515 × 20). … $423) + $8,190 (30 hours × $273), for a total of $482,700 for all SB SEFs ($24,135 × 20 SB SEFs).

Holding Foreign Companies Accountable Act Disclosure

Federal Register · Rule · Dec 9, 2021

(May 4, 2021) (“U.S. Acctg. … Res. 482 (2013) (showing that earnings quality reduces information asymmetry); Partha Sengupta, Corporate Disclosure Quality and the Cost of Debt, 73 Account.

Conformed to Federal Register version

Agency decision · Agency decision

(May 4, 2021) (“U.S. Acctg. … RES. 482 (2013) (showing that earnings quality reduces information asymmetry); Partha Sengupta, Corporate Disclosure Quality and the Cost of Debt, 73 ACCOUNT.

Registration of Municipal Advisors

Federal Register · Rule · Nov 12, 2013

See U.S. … See supra note 423.

Modernization of Beneficial Ownership Reporting

Federal Register · Rule · Nov 7, 2023

See U.S. … 482   Id.