Documents

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.

Enhancement of Emerging Growth Company Accommodations and Simplification of Filer Status for Reporting Companies

Federal Register · Proposed Rule · May 21, 2026

See Instruction 4.g to Item 24 of Form N-2; Item 27A(d)(2) of Form N-1A. … No. 14215 (Feb. 18, 2025), 90 FR 10447, 10448 (Feb. 24, 2025) (requiring independent agencies to comply with E.O. No. 12866).

Good Faith Determinations of Fair Value

Federal Register · Rule · Jan 6, 2021

, the Commission stated in ASR 113 and ASR 118 that the board need not itself perform each of the specific tasks required to calculate fair value in order to perform its role under section 2(a)(41). 399 … from individuals who are not directors, the findings of such individuals must be carefully reviewed by the directors in order to satisfy themselves that the resulting valuations are fair. 402 399

UNITED STATES DEPARTMENT OF LABOR

Agency decision · Agency decision

D.R. 4-101-c 24, 25-26 Ohio Rule 1.6(b) (5) .1 18 Okla. Rule 1.6 (b) (3) 18 Or. Rule 1.6(b) (4) 18 Pa. Rule 1.6(b) (4) ' 18 R.I. Rule 1.6 (b) (2) 18 S.C. Rule 1.6(b) (2) 18 S.D. … Blue Cross & Blue Shield of Montana/ Inc., 314 F.3d 390, 399 (9th Cir. 2002) (where federal law preempts claim, court need not look to federal common law); Waymire v. Norfolk & W. Ry.

Electronic Delivery of Information Under the Federal Securities Laws

Federal Register · Proposed Rule · Jul 21, 2026

24. … 399   See proposed note to rule 14d-5.

Standards for Covered Clearing Agencies for U.S. Treasury Securities and Application of the Broker-Dealer Customer Protection Rule With Respect to U.S. Treasury Securities

Federal Register · Rule · Jan 16, 2024

Letter, supra note 85, at 23-24. … [FR Doc. 2023-27860 Filed 1-12-24; 8:45 am] BILLING CODE 8011-01-P

Capital, Margin, and Segregation Requirements for Security-Based Swap Dealers and Major Security-Based Swap Participants and Capital and Segregation Requirements for Broker-Dealers

Federal Register · Rule · Aug 22, 2019

Blass, General Counsel, Investment Company Institute (Nov. 24, 2014) (“ICI 11/24/2014 Letter”); ICI 11/19/2018 Letter; Letter from Tim Buckley, Managing Director and Chief Investment Officer, and John … Peirce, regarding an April 24, 2018 meeting with representatives of Citigroup (April 26, 2018) (“Citigroup 4/24/2018 Meeting”).

Fund of Funds Arrangements

Federal Register · Rule · Nov 19, 2020

398 Another commenter requested that the Commission clarify the applicable exemptive relief referenced in the exception, since the Commission also proposed to rescind relevant exemptive relief. 399 … Comment Letter (acquiring funds may make investments pursuant to rule 12d1-1 for the purpose of complying with asset coverage requirements and other legitimate portfolio management purposes). 399

Revision of the Commission's Auditor Independence Requirements

Federal Register · Rule · Dec 5, 2000

at 24. At our public hearings and in comment letters, we also heard a great deal about the “loss leader” phenomenon. … Houle, CPA, Chair, Oregon Board of Accountancy (Sept. 24, 2000). 221   See, e.g., Testimony of K.

Facilitating Capital Formation and Expanding Investment Opportunities by Improving Access to Capital in Private Markets

Federal Register · Rule · Jan 14, 2021

See, e.g., CFA Letter and CFA Institute Letter. 399   See ABA Letter. 400   See Carta Letter. 401   See Ketsal Letter. … Form N-4 Item 24. Financial Statements and Exhibits (b) Exhibits: Instructions 5.

SECURITIES AND EXCHANGE COMMISSION

Agency decision · Agency decision

Some commenters supported the disclosure of any agreement that may influence a broker-dealer’s routing decisions, including oral agreements or arrangements. 399 One commenter explicitly supported the disclosure … broker-dealer and a Specified Venue where the level of execution quality is negotiated for an increase or decrease in payment for order flow. 398 See Rule 606(a)(1); see also supra Section III.B.1.b. 399

Safeguarding Advisory Client Assets

Federal Register · Proposed Rule · Mar 9, 2023

) of the Advisers Act [15 U.S.C. 80b-2(a)(24)] … Alternatively would 24 months be necessary?

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

Federal Register · Rule · Mar 19, 2015

, 2011 (“MFA 1”); Managed Funds Association dated March 24, 2011 (“MFA 2”); Markit North America Inc. … from the relevant authority to indemnify the SDR and the Commission; and (11) designate a CCO who must comply with specified duties. 398  Exchange Act Section 13(n), 15 U.S.C. 78m(n). 399

Regulation Best Execution

Federal Register · Proposed Rule · Jan 27, 2023

, 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 … Please explain. 24.

Conformed to Federal Register version

Agency decision · Agency decision

impact on net income, and only 25% of “little r” restatements had a negative impact on net income. 398 Thus, not every restatement would trigger a recovery of compensation that is tied to net income. 399 … HORIZONS 667 (2015) (finding that 11.8% of “little r” restatements revise net income downwards). 399 Incentive-based compensation is more likely to be recovered if it is tied to more reported items on

Investment Company Names

Federal Register · Rule · Oct 11, 2023

daily basis for name rule compliance—which would de facto be a necessary corollary of the proposed reporting requirement—would be operationally onerous and should not be required by the final rule. 399 … Morgan Asset Management Comment Letter; Capital Group Comment Letter; MFS Comment Letter. 399   See, e.g., J.P. Morgan Asset Management Comment Letter.

Use of Derivatives by Registered Investment Companies and Business Development Companies; Required Due Diligence by Broker-Dealers and Registered Investment Advisers Regarding Retail Customers' Transactions in Certain Leveraged/Inverse Investment Vehicles

Federal Register · Proposed Rule · Jan 24, 2020

S7-24-15. … 6 months-12 months 12 months-18 months 18 months-24 months >24 months [ ] [ ] [ ] [ ] (2.)

Disclosure of Order Handling Information

Federal Register · Rule · Nov 19, 2018

Some commenters supported the disclosure of any agreement that may influence a broker-dealer's routing decisions, including oral agreements or arrangements. 399 One commenter explicitly supported … Operations Manager for 2 hours at $358 per hour) + (Systems Analyst for 1 hour at $257 per hour) = 24 hours and $6,826.

Conformed to Federal Register version

Agency decision · Agency decision

generally opposed the proposed amendment to Rule 13d-2(c) recommended that the Commission require that Schedule 13G amendments pursuant to that rule 397 See letter from MSBA. 398 See letter from EEI. 399 … See DERA Memorandum at nn.3 & 24.

Investment Company Reporting Modernization

Federal Register · Rule · Nov 18, 2016

As a result, we are adopting Form N-PORT's swaps reporting section substantially as proposed. 399 398   See supra footnote 392. 399   See Item C.11.f of Form N-PORT. … third month of each fund's fiscal quarter publicly available. 500 499   See also supra footnote 360 and accompanying text (non-public indexes and custom baskets); supra footnotes 395-399