Documents
Briefs, oral arguments, agency decisions and the Federal Register.
657 results
1.76s
Division of Investment Management
Agency decision · Agency decision
Government Agency Debt (if categorized as no-coupon-paying notes) Treasury/Agency Agency Debt U.S. Treasury Debt Treasury/Agency Treasury Debt U.S. … Government Agency Repurchase Agreement Repo Agency Repo U.S.
Securities and Exchange CommissionDivision of Investment Management
Agency decision · Agency decision
Pension Plans Insurance Companies Non-Profits U.S. Individuals Non-U.S. Individuals Banking/Thrift Inst. State/Muni. Govt. Entities Unknown Non-U.S. … Pension Plans Insurance Companies Non-Profits U.S. Individuals Non-U.S. Individuals Banking/Thrift Inst. State/Muni. Govt. Entities Unknown Non-U.S.
Securities and Exchange CommissionFinancial Responsibility Rules for Broker-Dealers
Federal Register · Rule · Aug 21, 2013
Though SIFMA initially raised concerns about the proposed definition, it later withdrew its recommendation that proprietary accounts of affiliated non-U.S. broker-dealers and non-U.S. banks be excluded … 423 See SIFMA 2 Letter.
78 FR 51824Securities and Exchange CommissionDivision of Investment Management
Agency decision · Agency decision
Asset Type Equity Securities RIC/BDC Securities IG Corporate Bonds Other PIV Securities Other U.S. Govt./Agency Bonds Cash/Cash Equivalents U.S. … IA-2504 April 7, 2006 A statue enacted in the U.S. Virgin Islands which regulates investment advisers.
Securities and Exchange CommissionDivision of Investment Management
Agency decision · Agency decision
Pension Plans U.S. … Pension Plans U.S.
Securities and Exchange CommissionDivision of Investment Management
Agency decision · Agency decision
Entities U.S. … Entities U.S.
Securities and Exchange CommissionDivision of Investment Management
Agency decision · Agency decision
Government Agency Debt (if categorized as no-coupon-paying notes) Treasury/Agency Agency Debt U.S. Treasury Debt Treasury/Agency Treasury Debt U.S. … GOVERNMENT MONEY FUND FRANKLIN ONCHAIN U.S.
Securities and Exchange CommissionDivision of Investment Management
Agency decision · Agency decision
Government Agency Debt (if categorized as no-coupon-paying notes) Treasury/Agency Agency Debt U.S. Treasury Debt Treasury/Agency Treasury Debt U.S. … GOVERNMENT MONEY FUND FRANKLIN ONCHAIN U.S.
Securities and Exchange CommissionDivision of Investment Management
Agency decision · Agency decision
Government Agency Debt (if categorized as no-coupon-paying notes) Treasury/Agency Agency Debt U.S. Treasury Debt Treasury/Agency Treasury Debt U.S. … GOVERNMENT MONEY FUND FRANKLIN ONCHAIN U.S.
Securities and Exchange CommissionConformed to Federal Register version
Agency decision · Agency decision
ET in the U.S.) and the time when U.S. … The Canadian Securities Authorities proposed 482 See DTCC, DTCC T+1 Test Approach: Detailed Testing Framework (Jan. 2023), https://www.dtcc.com/ust1/-/media/Files/PDFs/T2/UST1-Detailed-Test-Document
Securities and Exchange CommissionConformed to Federal Register version
Agency decision · Agency decision
. person; 517 (2) a non-U.S. person whose performance under an SBS is guaranteed by a U.S. person; or (3) a non-U.S. person who, in connection with its SBS dealing activity, uses U.S. personnel located … a U.S. person.
Securities and Exchange CommissionDivision of Investment Management
Agency decision · Agency decision
Government Agency Debt (if categorized as no-coupon-paying notes) Treasury/Agency Agency Debt U.S. Treasury Debt Treasury/Agency Treasury Debt U.S. … GOVERNMENT MONEY FUND FRANKLIN ONCHAIN U.S.
Securities and Exchange CommissionRegulation SBSR-Reporting and Dissemination of Security-Based Swap Information
Federal Register · Rule · Mar 19, 2015
their hedges occur on a regular basis. 422 Valuable information could be obtained by observing whether transactions in related products executed close in time have the same or different prices. 423 … Each trade is disseminated via the relevant consolidated tape. 423 For example, a difference in prices between an equity TRS and the underlying securities might suggest mispricing of either
80 FR 14564Securities and Exchange CommissionAgency decision · Agency decision
advertising in accordance with Securities Act Rule 497 and the Note to Rule 482(c) 497AD EDGARLink Template 3 XFDL Technical Specification Rule 482 REGISTRATION OF SECURITIES BY CERTAIN INVESTMENT … You may make the payment to U.S. Bank by wire transfer or check by mail. U.S. Bank does not support hand delivery. We cannot accept personal checks for payment of fees. U.S. Bank is the U.S.
Securities and Exchange CommissionConformed to Federal Register Version
Agency decision · Agency decision
U.S. … See U.S.
Securities and Exchange CommissionRegulation S-P: Privacy of Consumer Financial Information and Safeguarding Customer Information
Federal Register · Rule · Jun 3, 2024
422 See final rule 248.30(a)(5). 423 See id. … See U.S.
89 FR 47688Securities and Exchange CommissionAmendments to Municipal Securities Disclosure
Federal Register · Rule · Aug 31, 2018
Northway, Inc., 426 U.S. 438, 440 (1976)). … Division of Market Regulation, U.S.
83 FR 44700Securities and Exchange CommissionOpen-End Fund Liquidity Risk Management Programs and Swing Pricing; Form N-PORT Reporting
Federal Register · Proposed Rule · Dec 16, 2022
U.S. … (ICI), The U.S.
87 FR 77172Securities and Exchange CommissionFederal Register · Rule · Jan 11, 2021
See U.S. … U.S.
86 FR 2080Securities and Exchange CommissionStandards for Covered Clearing Agencies
Federal Register · Proposed Rule · May 22, 2014
\ --------------------------------------------------------------------------- \423\ See supra Part II.B.14 (discussing proposed Rule 17Ad- 22(e)(17)) and infra Part VII (providing the proposed rule … The Commission understands that U.S.
79 FR 29508Securities and Exchange Commission
Ask Donna what matters in the record.
She can read the source against your case and show you exactly where the answer came from.