Documents

Modernization of Beneficial Ownership Reporting

Federal Register · Rule · Nov 7, 2023

See U.S. … 482   Id.

Modernization of Property Disclosures for Mining Registrants

Federal Register · Rule · Dec 26, 2018

U.S. Geological Survey & U.S. Bureau of Mines, U.S. … See supra note 423 and accompanying text.

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

Federal Register · Rule · Jun 18, 2007

Sununu, Senator, and Mike Enzi, Senator, U.S. … 482   See Fitch Letter.

Division of Investment Management

Agency decision · Agency decision

Non-U.S. Individuals Non-Profits State/Muni. Govt. Entities State/Muni. Govt. Pension Plans U.S. … Non-U.S. Individuals Non-Profits State/Muni. Govt. Entities State/Muni. Govt. Pension Plans U.S.

Division of Investment Management

Agency decision · Agency decision

Pension Plans U.S. Individuals Sov. Wealth Funds and For. Official Inst. Insurance Companies Non-U.S. Individuals Broker-Dealers Unknown Non-U.S. … Pension Plans U.S. Individuals Sov. Wealth Funds and For. Official Inst. Insurance Companies Non-U.S. Individuals Broker-Dealers Unknown Non-U.S.

Division of Investment Management

Agency decision · Agency decision

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

Insider Trading Arrangements and Related Disclosures

Federal Register · Rule · Dec 29, 2022

Council, Inc., 467 U.S. 837, 843-44 (1984)), cert. denied, 558 U.S. 934, and 558 U.S. 935 (2009); see also United States v. … O'Hagan, 521 U.S. at 673 (quoting Chevron, 467 U.S. at 844).

Regulation Best Execution

Federal Register · Proposed Rule · Jan 27, 2023

Howey Co., 328 U.S. 293 (1946). … Table 9—U.S.

Conformed to Federal Register version

Agency decision · Agency decision

See U.S. … Levinson, 485 U.S. 224, 231-32 (1988) (noting that the U.S.

Conformed to Federal Register Version

Agency decision · Agency decision

institutions, U.S. creditors that are not U.S. depository institutions, and non-U.S. creditors). … (C) Non-U.S. creditors (ii) Secured borrowing (A) U.S. depository institutions (B) U.S. creditors that are not U.S. depository institutions (C) Non-U.S. creditors 58.

Conformed to Federal Register

Agency decision · Agency decision

We do not have data on the number of qualifying FFIs. 423 Deloitte, “The evolution of core financial service. … See U.S.

Form PF; Event Reporting for Large Hedge Fund Advisers and Private Equity Fund Advisers; Requirements for Large Private Equity Fund Adviser Reporting

Federal Register · Rule · Jun 12, 2023

of the U.S. private equity industry in the near future. … See supra section II.A. 423  SIFMA Comment Letter; AIMA Comment Letter. See supra section IV.C.1.a.

Commission Guidance Regarding Client Commission Practices Under Section 28(e) of the Securities Exchange Act of 1934

Federal Register · Rule · Jul 24, 2006

See U.S. v. Deutsch, 451 F.2d 98, 110-11 (2d Cir. 1971), cert. denied, 404 U.S. 1019 (1972). … Donaldson, Chairman, U.S.

Regulation Crypto Assets

Federal Register · Proposed Rule · Aug 21, 2026

U.S. … See U.S.

Security-Based Swap Data Repository Registration, Duties, and Core Principles

Federal Register · Rule · Mar 19, 2015

by such non-U.S. person. … The Commission estimates that the average burden to respond to Form SDR will be between 12 and 482 hours depending upon the purpose for which the form is being filed.

Broker-Dealer Reports

Federal Register · Rule · Aug 21, 2013

The fifth location identified in the chart is a U.S. bank. … These categories included: (1) U.S. Equity Securities; (2) Foreign Equity Securities; (3) U.S.

Mutual Fund Distribution Fees; Confirmations

Federal Register · Proposed Rule · Aug 4, 2010

Lasker, 441 U.S. 471 (1979). … Dealers, Inc., 422 U.S. at 729.

Large Trader Reporting

Federal Register · Rule · Aug 3, 2011

If an Unidentified Large Trader is a non-U.S. entity and does not have a U.S. … all affected entities (whether U.S. or non-U.S.).

Cybersecurity Risk Management Rule for Broker-Dealers, Clearing Agencies, Major Security-Based Swap Participants, the Municipal Securities Rulemaking Board, National Securities Associations, National Securities Exchanges, Security-Based Swap Data Repositories, Security-Based Swap Dealers, and Transfer Agents

Federal Register · Proposed Rule · Apr 5, 2023

Howey Co., 328 U.S. 293 (1946). … See U.S.

SECURITIES AND EXCHANGE COMMISSION

Agency decision · Agency decision

%~- ~~#W~ Committ on Energy and Commerce U.S. … IOLetters from Arthur Levitt, Chairman, U.S.