Documents

Division of Investment Management

Agency decision · Agency decision

Collateral Deposits Commercial Paper U.S. Treasuries Asset-Backed Securities Other U.S. Govt. … Collateral Deposits Commercial Paper U.S. Treasuries Asset-Backed Securities Other U.S. Govt.

Commission Legal Brief: NASD Dispute Resolution, Inc. and New York Stock Exchange, Inc., v. Judicial Council of California, et al.

Agency decision · Agency decision

See 482 U.S. at 234. … Thomas , 482 U.S. 483, 492 n.9 (1987).

Proposed Collection; Comment Request; Extension: Rule 15c1-6

Federal Register · Notice · Jul 26, 2023

SECURITIES AND EXCHANGE COMMISSION [SEC File No. 270-423, OMB Control No. 3235-0472] Proposed Collection; Comment Request; Extension: Rule 15c1-6 Upon Written Request, Copies Available From: … U.S.

Proposed Collection; Comment Request

Federal Register · Notice · Sep 12, 2017

SECURITIES AND EXCHANGE COMMISSION Proposed Collection; Comment Request Upon Written Request, Copies Available From: U.S. … Securities and Exchange Commission, Office of FOIA Services, 100 F Street NE., Washington, DC 20549-2736 Extension: Rule 15c1-6, SEC File No. 270-423, OMB Control No. 3235-0472 Notice is

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

Federal Register · Rule · Nov 25, 2022

Levinson, 485 U.S. 224, 231 (1988) (“ Basic v. … See Letter to Dalia Blass, Director, Division of Investment Management, U.S.

New Disclosure Option for Open-End Management Investment Companies

Federal Register · Rule · Mar 23, 1998

Northway, Inc., 426 U.S. 438, 449 (1976); Basic, Inc. v. Levinson, 485 U.S. 224, 231-32 (1988). … Litigation, 1996 U.S. Dist. LEXIS 14209 (S.D.N.Y. 1996) (same); Tabankin v. Kemper Short-Term Global Income Fund, 1994 U.S. Dist.

Division of Investment Management

Agency decision · Agency decision

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

Self-Regulatory Organizations; New York Stock Exchange, Inc. and National Association of Securities Dealers, Inc.; Order Approving NYSE and Nasdaq Proposed Rule Changes and Nasdaq Amendment No. 1 and Notice of Filing and Order Granting Accelerated Approval to NYSE Amendments No. 1 and 2 and Nasdaq Amendments No. 2 and 3 Thereto Relating to Equity Compensation Plans

Federal Register · Notice · Jul 3, 2003

While section 401(a) plans and parallel excess plans are not required to be approved by shareholders, U.S. … An equity-compensation plan that provides non-U.S. employees with substantially the same benefits as a comparable Section 401(a) plan, Section 423 plan or parallel excess plan that the listed company provides

1 GIOVANNI P. PREZIOSO

Agency decision · Agency decision

McMahon, 482 U.S. 220, 234 (1987). … Thomas, 482 U.S. 483, 492 n.9 (1987).

UNITED STATES COURT OF APPEALS

Agency decision · Agency decision

Provident Securities Co., 423 U.S. 232, 252 (1976). See also Gollust v. Mendell, 501 U.S. 115, 122 (1991); Reliance Electric Co., 404 U.S. at 422-23, 425. … Foremost-McKesson, Inc., 423 U.S. at 243 (quoting Reliance Electric Co., 404 U.S. at 422) (emphasis added).

RESPONSE OF THE OFFICE OF CHIEF COUNSEL

Agency decision · Agency decision

of standardized total return calculated in accordance with rule 482 (e) (3) for the full periods required by that rule. … MCMC is expected to become effective on or about January 20, 1996. 2 Under the Proposal, MCMC would replace the following existing subadvisers of Global Growth: Shufro Rose & Ehrman (sub-adviser of the U.s

Registered Offering Reform

Federal Register · Proposed Rule · May 26, 2026

See U.S. … (i); proposed Rule 482(k)(3)(i). 423   See Item 7(e) of Form N-4.

Cross-Border Application of Certain Security-Based Swap Requirements

Federal Register · Rule · Feb 4, 2020

/hour for national hourly rate for an attorney = $423. … per hour) and $50,760 (=4 × 30 hours × Attorney at $423 per hour).

UNITED STATES COURT OF APPEALS

Agency decision · Agency decision

Provident Securities Co., 423 U.S. 232, 252 (1976); see also Gollust v. Mendell, 501 U.S. 115, 122 (1991); Reliance Electric Co., 404 U.S. at 422-23, 425. … Mendell, 501 U.S. 115, 121 (1991) (quoting Foremost-McKesson, Inc., 423 U.S. at 243).

Self-Regulatory Organizations; NYSE Arca, Inc.; Order Disapproving a Proposed Rule Change, as Modified by Amendment No. 1, Relating to the Listing and Trading of Shares of the Bitwise Bitcoin ETF Trust Under NYSE Arca Rule 8.201-E

Federal Register · Notice · Oct 16, 2019

See supra notes 423-425 and accompanying text. … at 43. 482   See id.

Submission for OMB Review; Comment Request

Federal Register · Notice · Nov 9, 2020

SECURITIES AND EXCHANGE COMMISSION [SEC File No. 270-423, OMB Control No. 3235-0472] Submission for OMB Review; Comment Request Upon Written Request, Copies Available From: U.S.

Submission for OMB Review; Comment Request

Federal Register · Notice · Dec 5, 2014

SECURITIES AND EXCHANGE COMMISSION [SEC File No. 270-423, OMB Control No.3235-0472] Submission for OMB Review; Comment Request Upon Written Request, Copies Available From: U.S.

Submission for OMB Review; Comment Request; Extension: Rule 15c1-6

Federal Register · Notice · Sep 29, 2023

SECURITIES AND EXCHANGE COMMISSION [SEC File No. 270-423, OMB Control No. 3235-0472] Submission for OMB Review; Comment Request; Extension: Rule 15c1-6 Upon Written Request, Copies Available From … : U.S.

Proposed Collection; Comment Request

Federal Register · Notice · Nov 25, 2008

SECURITIES AND EXCHANGE COMMISSION Proposed Collection; Comment Request Upon Written Request, Copies Available From: U.S. … Extension: Rule 15c1-6 , OMB Control No. 3235-0472, SEC File No. 270-423.

Submission for OMB Review; Comment Request

Federal Register · Notice · Dec 23, 2011

SECURITIES AND EXCHANGE COMMISSION Submission for OMB Review; Comment Request Upon Written Request, Copies Available From: U.S. … Extension: Rule 15c1-6, SEC File No. 270-423, OMB Control No. 3235-0472.