Documents

Self-Regulatory Organizations; American Stock Exchange LLC; Notice of Filing and Order Granting Accelerated Approval to a Proposed Rule Change, as Modified by Amendments No. 1 and 2, To Establish a Directed Order Program

Federal Register · Notice · Aug 22, 2007

Pursuant to section 19(b)(1) of the Securities Exchange Act of 1934 (“Act”), 1 and Rule 19b-4 thereunder, 2 notice is hereby given that on July 24, 2007, the American Stock Exchange LLC (“Amex … 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)).

Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Fees Related to the Cboe Silexx Platform

Federal Register · Notice · Dec 15, 2025

may establish connectivity to and directly access the Exchange, pursuant to Rule 5.5 and the Exchange's technical specifications. 4   See Securities Exchange Act Release No. 88741 (April 24 … For the Cboe Silexx platform, there is a monthly fee of $399 per Login ID for the first 16 Login IDs ( i.e., Logins Ids 1-16), a fee of $299 per each additional Login ID for the next 16 Login IDs (

Self-Regulatory Organizations; NASDAQ PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Price Improvement XL Pricing

Federal Register · Notice · Jul 28, 2016

Initiating Order Fee for Professional, Firm, Broker-Dealer, Specialist and Market Maker orders that are contra to a Customer PIXL Order will be reduced to $0.00 if the Customer PIXL Order is greater than 399 … Date of Effectiveness of the Proposed Rule Change and Timing for Commission Action The foregoing rule change has become effective pursuant to section 19(b)(3)(A)(ii) of the Act. 24 24  15

Initial Decision Release No. 1349

Agency decision · Agency decision

White, 408 F.3d 399, 402–03 (8th Cir. 2005) (finding that a defendant’s guilty plea did not constitute an admission to facts that the defendant disavowed during his plea hearing); Valansi v. … Ex. 1 at 1–2 23 Id. at 2. 24 Id. 25 Id. OIP at 2; Div. Ex. 1 at 1–2; see 15 U.S.C. §§ 78j(b); 18 U.S.C. §§ 1014, 1341; 17 C.F.R. § 240.10b-5. 26 27 Div.

Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Exchange's Fees To Add Two New Features to the Enterprise Licenses at Equity 7, Section 123(c)

Federal Register · Notice · Aug 2, 2022

The Distributor fee is based on the number of users, as follows: $4,000/month for 1-399 users; $7,500/month for 400-999 users; $15,000/month for 1,000 users. 15  The per Subscriber fee is $80 … Congress directed the Commission to “rely on `competition, whenever possible, in meeting its regulatory responsibilities for overseeing the SROs and the national market system.' ”  24 As a result,

Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Silexx Fee Schedule

Federal Register · Notice · Jan 5, 2026

may establish connectivity to and directly access the Exchange, pursuant to Rule 5.5 and the Exchange's technical specifications. 4   See Securities Exchange Act Release No. 88741 (April 24 … For the Cboe Silexx platform, there is a monthly fee of $399 per Login ID for the first 16 Login IDs ( i.e., Logins Ids 1-16), a fee of $299 per each additional Login ID for the next 16 Login IDs (

Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Exchange's Fees Concerning Enterprise Licenses at Equity 7, Section 123(c)

Federal Register · Notice · Jul 1, 2022

The Distributor fee is based on the number of users, as follows: $4,000/month for 1-399 users; $7,500/month for 400-999 users; $15,000/month for 1,000 users. 14  The per Subscriber fee is $80 … unnecessary regulatory restrictions are removed.”). 23   See Securities Exchange Act Release No. 59039 (December 2, 2008), 73 FR 74,770 (December 9, 2008) (SR-NYSEArca-2006-21). 24

Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt a Best Execution and Interpositioning Rule

Federal Register · Notice · Dec 30, 2025

execution when it results in unnecessary transaction costs at the expense of the customer. 8 7   See Edward Sinclair, et al., Securities Exchange Act Release No. 9115, 1971 WL 120487 (Mar. 24 … , 1971) (Comm'n op.), aff'd, 444 F2d. 399 (2d Cir. 1971) (order clerk in OTC department of broker-dealer interposed a broker-dealer between his firm and best available market price in return for split

Division of Investment Management

Agency decision · Agency decision

1,182 802 432 428 231 208 83 102 59 22 3 0 14,699 4,297 1,843 113 5,646 20,345 2022 13,323 1,191 789 478 434 262 187 121 107 61 19 3 0 15,287 4,474 2,093 102 6,046 21,333 2023 13,548 1,162 784 452 399 … 4,144 4,624 17,973 2020 24 16 247 24 15 154 18 11 141 55 26 13,052 13,783 9 9 286 14 2 82 7 4 35 6 21 4,620 5,095 18,878 2021 27 14 242 25 15 167 20 9 145 51 25 13,959 14,699 10 9 295 11 5 94 7 4 34

Self-Regulatory Organizations; Philadelphia Stock Exchange, Inc.; Order Approving Proposed Rule Change and Notice of Filing and Order Granting Accelerated Approval to Amendment No. 1 Thereto To Establish a Directed Order Process for Orders Delivered to the Phlx Via AUTOM

Federal Register · Notice · Jun 6, 2005

the instant proposal does not include certain protections for customers, such as providing the opportunity for price improvement, or limiting the program to a minimum number of contracts. 25 24 … 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)).

Division of Investment Management

Agency decision · Agency decision

** *** 46 333 *** *** 24 3,469 2023Q3 527 587 46 13 1,163 1,231 226 241 464 130 24 66 19 19 230 219 66 19 303 21 16 *** *** 48 338 *** *** 24 3,526 24 2023Q4 488 595 49 18 1,141 1,147 216 216 427 142 … 37 Aug 2024 497 60 26 25 60 533 51 25 23 36 Sep 2024 502 50 31 24 61 533 47 24 24 40 Oct 2024 518 47 29 31 62 544 52 23 24 44 29 Nov 2024 509 53 31 29 64 534 62 24 24 42 Dec 2024 513 51 36 27 59

Division of Investment Management

Agency decision · Agency decision

3,388 2021Q1 1,457 1,760 367 693 388 177 165 568 37 24 3,393 2021Q2 1,460 1,765 369 691 389 176 166 590 37 24 3,397 2021Q3 1,458 1,761 369 682 388 176 165 595 37 24 3,388 2021Q4 1,636 1,857 434 736 … Pension Plans 2020Q4 89 81 59 *** *** 20 10 *** 9 *** *** 3 *** 1 2021Q1 83 73 55 *** *** 24 11 *** 7 *** *** 3 *** 1 2021Q2 105 57 52 24 *** 25 11 *** 8 4 *** 3 *** 1 2021Q3 101 50 50 *** *** 27 9

Commission Legal Brief: Network Associates, Inc., et al.

Agency decision · Agency decision

Digital Lightwave, Inc. , No. 98-152-CIV-T-24(C) (M.D. … No. 104-50(I), 37-38 (Feb. 24, 1995) ("Section 203.

Division of Investment Management

Agency decision · Agency decision

3,388 2021Q1 1,457 1,760 367 693 388 177 165 568 37 24 3,393 2021Q2 1,460 1,765 369 691 389 176 166 590 37 24 3,397 2021Q3 1,458 1,761 369 682 388 176 165 594 37 24 3,388 2021Q4 1,632 1,856 433 735 … Pension Plans 2020Q3 93 55 77 11 *** 18 10 *** 5 3 2 *** *** 1 2020Q4 89 59 81 *** *** 20 10 *** 9 *** 3 *** *** 1 2021Q1 83 55 73 *** *** 24 11 *** 7 *** 3 *** *** 1 2021Q2 105 52 57 24 *** 25 11

Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of a Proposed Rule Change To Amend the Arbitrator Payment Rule To Pay Each Arbitrator a $200 Honorarium To Decide Without a Hearing Session a Contested Subpoena Request or a Contested Order for Production or Appearance

Federal Register · Notice · Jul 30, 2018

To Amend the Arbitrator Payment Rule To Pay Each Arbitrator a $200 Honorarium To Decide Without a Hearing Session a Contested Subpoena Request or a Contested Order for Production or Appearance July 24 … Among the 497 cases with contested subpoenas, 399 cases (or 80.3 percent) had only one contested request for subpoenas, whereas 98 cases (or 19.7 percent) had more than one contested request for subpoenas

Division of Investment Management

Agency decision · Agency decision

3,392 2021Q2 1,460 1,764 369 691 389 176 166 589 37 24 3,396 2021Q3 1,458 1,760 369 682 388 176 165 594 37 24 3,387 2021Q4 1,637 1,859 434 737 427 233 176 618 39 24 3,673 2022Q1 1,635 1,858 435 737 … Individuals 2021Q1 83 73 55 *** *** 24 11 7 *** *** *** 3 1 *** 2021Q2 105 57 52 24 *** 25 11 8 4 *** *** 3 1 *** 2021Q3 101 50 50 *** *** 27 9 7 3 *** *** 3 1 *** 2021Q4 96 60 57 *** *** 23 9 7 **

SECURITIES AND EXCHANGE COMMISSION

Agency decision · Agency decision

Adkins, 310 U.S. 381, 399 (1940). 44 See, e.g., Sorrell v. … Ct. 1649, 1658 (2020). 54 513 U.S. 374, 399 (1995).

Initial Decision Release No. 1340

Agency decision · Agency decision

White, 408 F.3d 399, 402–03 (8th Cir. 2005) (finding that a defendant’s guilty plea did not constitute an admission to facts that the defendant disavowed during his plea hearing); Valansi v. … Ex. 5 at 5, 8. 24 Div. Ex. 2 at 1–2. 25 Id. at 3; Div.

Mutual Fund Directors Forum: No

Agency decision · Agency decision

Talley Indust., Inc. , 399 F.2d 396, 403 (2d Cir. 1968), cert . denied , 393 U.S. 1015 (1969)). 9 Independent Directors Release, note 1, supra . 10 In the Independent Directors Release, the staff stated … IC- 24816 (Jan. 2, 2001) ("Adopting Release"). 19 Report of the Advisory Group on Best Practices for Fund Directors: Enhancing a Culture of Independence and Effectiveness (June 24, 1999). 20 Id. at 31

U.S. Securities and Exchange Commission

Agency decision · Agency decision

** *** 46 333 *** *** 24 3,469 2023Q3 527 587 46 13 1,163 1,231 226 241 464 130 24 66 19 19 230 219 66 19 303 21 16 *** *** 48 338 *** *** 24 3,526 24 2023Q4 488 595 49 18 1,141 1,147 216 216 427 142 … 37 Aug 2024 497 60 26 25 60 533 51 25 23 36 Sep 2024 502 50 31 24 61 533 47 24 24 40 Oct 2024 518 47 29 31 62 544 52 23 24 44 29 Nov 2024 509 53 31 29 64 534 62 24 24 42 Dec 2024 513 51 36 27 59