Documents

Joint Industry Plan; Notice of Filing of the National Market System Plan Governing the Consolidated Audit Trail

Federal Register · Notice · May 17, 2016

24. … (b)(ii)(B)(2)), while the Commission estimates 69 (24 floor brokers, 31 Options Market Makers, and 14 ELPs).

Regulation NMS

Federal Register · Rule · Jun 29, 2005

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)). … Katz, Secretary, Commission, dated June 24, 2004 (“NAIC Letter”) at 1. B.

Conformed to Federal Register Version

Agency decision · Agency decision

See Instruction 4.g to Item 24 of Form N-2; Item 27A(d)(2) of Form N-1A. … Tobacco Products Fabricated Products Shipbuilding, Railroad Equipment Business Supplies TOTAL b. 25 24 24 23 19 19 19 19 19 18 18 15 14 13 13 13 12 9 8 8 7 7 7 6 5 5 4 4 3 2 2 2 1 1 1 1 1,068 Other

Conformed to Federal register version

Agency decision · Agency decision

See Form TA-2 Question 5(a). 399 See Form TA-2 Item 4(a). 400 See Form TA-2 Item 4(b). 401 See infra Section V.B.7. 223 a. … 13% 8% 54% 24% 11% 9% 56% 22% 10% 10% 57% 23% 10% 9% 58% 23% 11% 10% 56% c.

Business and Financial Disclosure Required by Regulation S-K

Federal Register · Proposed Rule · Apr 22, 2016

Request for Comment 24. … This requirement is virtually identical to paragraph 24 of Schedule A of the Securities Act. [15 U.S.C. 77aa(24)]. i. Comments Received S-K Study.

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

Accordingly, the Commission is retaining the references to these provisions. 399   See SIFMA 5/3/2021 Letter at 21 and Appendix A part (e)(5). … (24) “PRA Certification Rules” means the Certification Part of the PRA Rulebook for CRR Firms, as amended from time to time.

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

Federal Register · Rule · Apr 20, 2020

that affiliate would be included in the Summarized Financial Information presented pursuant to proposed Rule 13-02(a)(4), even if the securities of those subsidiaries are not pledged as collateral. 399 … 398   See Section V of the Proposing Release. 399  Proposed Rule 13-01 would prohibit combining the financial information of non-issuer and non-guarantor subsidiaries of issuers

Use of Derivatives by Registered Investment Companies and Business Development Companies

Federal Register · Rule · Dec 21, 2020

S7-24-15) are available at https://www.sec.gov/comments/s7-24-15/s72415.shtml. … The final rule does not restrict a fund from issuing senior securities subject to the limits in section 18 to the full extent permitted by the Investment Company Act. 399 399  For purposes

Money Market Fund Reform; Amendments to Form PF

Federal Register · Proposed Rule · Jun 19, 2013

See ICI Jan. 24 FSOC Comment Letter, supra note 25. … Rule 2a-7(a)(24).

Oversight of Credit Rating Agencies Registered as Nationally Recognized Statistical Rating Organizations

Federal Register · Rule · Jun 18, 2007

Nazareth, Director, Division of Market Regulation, Commission, to Mari-Anne Pisarri, Pickard and Djinis LLP (February 24, 2003); letter from Mark M. … McDaniel, President, Moody's Investor Services (“Moody's 2nd Letter”); letter dated April 24, 2007 from Jeanne M.

Conformed to Federal Register version

Agency decision · Agency decision

-25; FIA PTG Letter, at 3; Virtu Letter, at 6. 382 See infra Part VII.C. 383 See, e.g., SIFMA Letter, at 24-25; Virtu Letter, at 5. 384 SIFMA Letter, at 24-25. 129 to CAT but believes that the … 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

Conformed to Federal Register version

Agency decision · Agency decision

Comments: Definition of “De-SPAC Transaction” ....................................................... 24 3. … 52 Letter from Vinson & Elkins (June 13, 2022) (“Vinson & Elkins”). 24 3.

Disclosure of Payments by Resource Extraction Issuers

Federal Register · Proposed Rule · Dec 23, 2015

24   Id. … Request for Comment 24.

Money Market Fund Reforms

Federal Register · Proposed Rule · Feb 8, 2022

(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].

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

Federal Register · Rule · May 1, 2020

Absent satisfaction of the Section 5(b)(2) obligation by other available means, a Section 5(b)(2) violation will result. 399 399  As discussed below, the rule also includes additional requirements … (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].

Securities Offering Reform

Federal Register · Proposed Rule · Nov 17, 2004

Spencer (available September 24, 1982). … (a) Except as provided in sections 24(e)(1) and 24(f) of the Investment Company Act of 1940 (15 U.S.C. 80a-24(e)(1) and 80a-24(f)) and in paragraph (b) of this section, where a registration statement is

Disclosure of Payments by Resource Extraction Issuers

Federal Register · Rule · Jan 15, 2021

S7-24-19] RIN 3235-AM06 Disclosure of Payments by Resource Extraction Issuers AGENCY: Securities and Exchange Commission. ACTION: Final rule. … the entity level rather than on a per project basis, a resource extraction issuer may disclose that payment at the entity level. 401 Both instructions were also included in the 2016 Rules. 399

Tailored Shareholder Reports for Mutual Funds and Exchange-Traded Funds; Fee Information in Investment Company Advertisements

Federal Register · Rule · Nov 25, 2022

See Exchange-Traded Funds, Investment Company Act Release No. 33646 (Sept. 25, 2019) [84 FR 57162 (Oct. 24, 2019)]. … 80a-29(e)(1) through (4)], and section 30(e)(6) of the Investment Company Act [15 U.S.C. 80a-29(e)(6)]. 398   See section 30(g) of the Investment Company Act [15 U.S.C. 80a-29(g)]. 399

Form CRS Relationship Summary; Amendments to Form ADV; Required Disclosures in Retail Communications and Restrictions on the Use of Certain Names or Titles

Federal Register · Proposed Rule · May 9, 2018

Regulation Best Interest Proposal, supra note 24, section II.C.4. … See Regulation Best Interest Proposal, supra note 24.

Conforming Version (To Conform to Release Published in the Federal Register)

Agency decision · Agency decision

proposal, we determined that the information collected in Form D filings was still useful to us “in conducting economic and other analyses of the private placement market” and retained the requirement.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