Documents

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

Regulation of NMS Stock Alternative Trading Systems

Federal Register · Rule · Aug 7, 2018

at 24. … (a) it will not be required to respond to Item 24(b), and if it responds “yes” to Item 24(a) but “no” to Item 24(b), it will not be required to provide any additional information in response to Item 24

Regulation Best Interest

Federal Register · Proposed Rule · May 9, 2018

Faber, Exchange Act Release No. 49216 at 23-24 (Feb. 10, 2004); In re Powell & McGowan, Inc., Exchange Act Release No. 7302 (Apr. 24, 1964). … SEC, 444 F.2d 399 (2d. Cir. 1971); Arleen W. Hughes, Exchange Act Release No. 4048 (Feb. 18, 1948) (Commission Opinion), aff'd sub nom. Hughes v. SEC, 174 F.2d 969 (DC Cir. 1949).

Conformed to Federal Register Version

Agency decision · Agency decision

Should we adopt a specific timeframe, such as 24 hours or four business days? Is there another specific timeframe we should consider? d. … Order No. 14215 (Feb. 18, 2025), 90 FR 10447, 10448 (Feb. 24, 2025) (requiring independent agencies to comply with Exec. Order No. 12866).

Market Data Infrastructure

Federal Register · Rule · Apr 9, 2021

  See NYSE Letter II at 24. … See Cboe Letter at 24.

Conformed to Federal Register Version

Agency decision · Agency decision

Comm’n (Apr. 24, 2014), available at https://www.sec.gov/about/divisions-offices/divisioncorporation-finance/revised-statement-well-known-seasoned-issuer-waivers-april-24-2014 (elaborating on application … 24.

Conformed to Federal Register Version

Agency decision · Agency decision

by that affiliate would be included in the Summarized Financial Information presented pursuant to proposed Rule 1302(a)(4), even if the securities of those subsidiaries are not pledged as collateral. 399 … affiliates that are pledged as collateral are subject to a contractual or statutory delay from being transferred to the holder of the collateralized security in 398 See Section V of the Proposing Release. 399

Reporting of Securities Loans

Federal Register · Rule · Nov 3, 2023

See id. 398   See final Rule 10c-1a(g). 399  Some commenters stated that requiring public disclosure of securities lending activity on a transaction-by-transaction basis, especially … can facilitate conversations between beneficial owners and their lending agents or end borrowers with their brokers or dealers regarding the terms of their loan. 580   See, e.g., supra note 399

Regulation of Exchanges and Alternative Trading Systems

Federal Register · Rule · Dec 22, 1998

public,\397\ both have provisions governing the entry of participants to the plans,\398\ and allow any national securities exchange or registered national securities association to become a participant.\399 … \399\ See Securities Exchange Act Release No. 37191 (May 9, 1996), 61 FR 24842 (May 16, 1996).

Joint Industry Plan; Notice of Filing of Amendment to the National Market System Plan Governing the Consolidated Audit Trail by BOX Exchange LLC; Cboe BYX Exchange, Inc., Cboe BZX Exchange, Inc., Cboe EDGA Exchange, Inc., Cboe EDGX Exchange, Inc., Cboe C2 Exchange, Inc. and Cboe Exchange, Inc., Financial Industry Regulatory Authority, Inc., Investors Exchange LLC, Long-Term Stock Exchange, Inc., Miami International Securities Exchange LLC, MEMX, LLC, MIAX Emerald, LLC, MIAX PEARL, LLC, Nasdaq BX, Inc., Nasdaq GEMX, LLC, Nasdaq ISE, LLC, Nasdaq MRX, LLC, Nasdaq PHLX LLC, The NASDAQ Stock Market LLC; and New York Stock Exchange LLC, NYSE American LLC, NYSE Arca, Inc., NYSE Chicago, Inc., and NYSE National, Inc.

Federal Register · Notice · Apr 21, 2021

Second, this proposed change would address comments that treating Execution Venue ATSs like Participants would act as a barrier to entry for smaller ATSs. 24 Whether or not such a potential would … 392 0.0000087 125.28 393 0.00 125.28 394 0.0000086 125.28 395 0.00 125.28 396 0.00001 125.28 397 0.00001 125.28 398 0.000008 125.28 399

Transfer Agent Regulations

Federal Register · Proposed Rule · Dec 31, 2015

Please provide a full explanation. 24. … shares to obtain transfer agent services). 396   See, e.g., id. 397  Exchange Act Section 10, 15 U.S.C. 78j. 398  Exchange Act Rule 10b-5, 17 CFR 240.10b-5. 399

Asset-Backed Securities

Federal Register · Proposed Rule · May 3, 2010

(24) Income verification indicator. … PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933 24.

Regulation S-P: Privacy of Consumer Financial Information and Safeguarding Customer Information

Federal Register · Rule · Jun 3, 2024

addition to an initial notice in the same 12-month period. 398  Public Law 114-94, Sec. 75001, 129 Stat. 1312 (2015) (adding section 503(f) to the GLBA, codified at 15 U.S.C. 6803(f)). 399 … [FR Doc. 2024-11116 Filed 5-31-24; 8:45 am] BILLING CODE 8011-01-P

Conformed to Federal Register version

Agency decision · Agency decision

filed with the Commission within 60 days of the end of the twelve-month period covered by the report, and the twelve month period covered by each report must commence on January 1 of the calendar year.399 … s experience in requiring other types of clearing agencies to provide financial statements within sixty days of the end of the year,400 the Commission believes a 60-day period would provide the CMSP 399

Conformed to Federal Register version

Agency decision · Agency decision

filed with the Commission within 60 days of the end of the twelve-month period covered by the report, and the twelve month period covered by each report must commence on January 1 of the calendar year.399 … s experience in requiring other types of clearing agencies to provide financial statements within sixty days of the end of the year,400 the Commission believes a 60-day period would provide the CMSP 399

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

We expect that most of the costs will arise from the requirements for large private equity fund advisers to report additional information on Form PF, 399 as well as new current reporting requirements … for advisers to qualifying hedge funds as well as new quarterly and annual reporting requirements for private equity funds on the occurrence of reporting events. 399  These costs will be substantially

Financial Responsibility Rules for Broker-Dealers

Federal Register · Rule · Aug 21, 2013

See also Exchange Act Release No. 63961 (Feb. 24, 2011), 76 FR 11542 (Mar. 2, 2011). 4. … Bernard Financial Services Letter; American Bar Association Letter; Cornell Letter. 399   See St. Bernard Financial Services Letter.

Money Market Fund Reform; Amendments to Form PF

Federal Register · Rule · Aug 14, 2014

See, e.g., Comment Letter of Investment Company Institute (Jan. 24, 2013) (available in File No. FSOC-2012-0003) (“ICI Jan. 24 FSOC Comment Letter”). … Alternative 2 at $1,697,000.”) 399  SIFMA Comment Letter.

Conformed to Federal Register version

Agency decision · Agency decision

24. … See 1995 Guidance at text accompanying n.24.

Registered Offering Reform

Federal Register · Proposed Rule · May 26, 2026

We discuss those proposed amendments in section II.G below. 24 24  We also are proposing certain conforming and technical amendments to some of our rules and forms that are intended to simplify … 24.