Documents

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.)

Conformed to Federal Register version

Agency decision · Agency decision

have chosen a reporting threshold of equal to or exceeding either (1) five percent of net asset value or (2) $1 billion to be consistent with the thresholds for other counterparty exposure questions,399 … In the case of the proposed estimates, Private Funds Statistics show 24 large liquidity fund advisers filed Form PF in the third quarter of 2021. (24 large liquidity fund advisers x $600 total filing fees

Cybersecurity Risk Management Rule for Broker-Dealers, Clearing Agencies, Major Security-Based Swap Participants, the Municipal Securities Rulemaking Board, National Securities Associations, National Securities Exchanges, Security-Based Swap Data Repositories, Security-Based Swap Dealers, and Transfer Agents

Federal Register · Proposed Rule · Apr 5, 2023

year. 401 398   See section II.A.1. of this release (discussing the definition of “covered entity” and why certain broker-dealers would not be included within the definition). 399 … Grossman, The Informational Role of Warranties and Private Disclosure about Product Quality, 24 J. L.

Public Company Accounting Oversight Board; Notice of Filing of Proposed Rules on a Firm's System of Quality Control and Related Amendments to PCAOB Standards

Federal Register · Notice · Jun 11, 2024

No. 105-2022-002 (Feb. 24, 2022); In the Matter of KPMG, PCAOB Rel. … [FR Doc. 2024-12692 Filed 6-10-24; 8:45 am] BILLING CODE 8011-01-P

Listing Standards for Recovery of Erroneously Awarded Compensation

Federal Register · Rule · Nov 28, 2022

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

Regulation Crypto Assets

Federal Register · Proposed Rule · Aug 21, 2026

For example, securities issued pursuant to the Commission's existing exemptions may be restricted securities  398 or otherwise subject to resale restrictions. 399 Those exemptions also may limit … 230.144(a)(3)(ii) (providing that the term “restricted securities” incudes “[s]ecurities acquired from the issuer that are subject to the resale limitations of § 230.502(d) under Regulation D”). 399

Joint Industry Plan; Notice of Filing of Amendment to the National Market System Plan Governing the Consolidated Audit Trail

Federal Register · Notice · Mar 21, 2023

Based on CAT costs incurred to date, however, CAT LLC believes that the Historical Recovery Period should not be less than 24 months or more than five years. … 15.43 393 3,654,035.00 50.91 394 521,279.00 7.26 395 410,769.00 5.72 396 2,622,813.00 36.54 397 554,541.44 7.73 398 179,200.00 2.50 399

Order Competition Rule

Federal Register · Proposed Rule · Jan 3, 2023

Securities Exchange Act Release Nos. 94310 (Feb. 24, 2022), 87 FR 11748 (Mar. 2, 2022); 94309 (Feb. 24, 2022), 87 FR 11763 (Mar. 2, 2022); 94308 (Feb. 24, 2022), 87 FR 11755 (Mar. 2, 2022); 94307 (Feb. … 24, 2022), 87 FR 11787 (Mar. 2, 2022).

Amendments Regarding the Definition of “Exchange” and Alternative Trading Systems (ATSs) That Trade U.S. Treasury and Agency Securities, National Market System (NMS) Stocks, and Other Securities

Federal Register · Proposed Rule · Mar 18, 2022

24. … 399  17 CFR 242.1001(c).

Modernization of Beneficial Ownership Reporting

Federal Register · Rule · Nov 7, 2023

For example, several commenters disagreed with the Commission's technological advancement-based justifications for the proposed amendments, 399 some of whom raised many of the same concerns that they … See DERA Memorandum at nn.3 & 24.

Conformed to Federal Register version and consolidated with correction 33-11238A

Agency decision · Agency decision

See, e.g., Comment Letter of Freeman Capital Management (July 24, 2022) (“Freeman Capital Management Comment Letter”); Invesco Comment Letter; T. … Morgan Asset Management Comment Letter; Capital Group Comment Letter; MFS Comment Letter. 399 See, e.g., J.P. Morgan Asset Management Comment Letter.

Conformed to Federal Register version

Agency decision · Agency decision

See, e.g., Comment Letter of Freeman Capital Management (July 24, 2022) (“Freeman Capital Management Comment Letter”); Invesco Comment Letter; T. … Morgan Asset Management Comment Letter; Capital Group Comment Letter; MFS Comment Letter. 399 See, e.g., J.P. Morgan Asset Management Comment Letter.

Public Company Accounting Oversight Board; Notice of Filing of Proposed Rules on Firm and Engagement Metrics and Related Amendments to PCAOB Standards

Federal Register · Notice · Dec 11, 2024

This element is discussed further below. 24  QC 1000.53e. … [FR Doc. 2024-28142 Filed 12-10-24; 8:45 am] BILLING CODE 8011-01-P

Cross-Border Security-Based Swap Activities; Re-Proposal of Regulation SBSR and Certain Rules and Forms Relating to the Registration of Security-Based Swap Dealers and Major Security-Based Swap Participants

Federal Register · Proposed Rule · May 23, 2013

Information Sharing Under Sections 21 and 24 of the Exchange Act 2. Comment Summary 3. … 23   See Section VI.C, infra. 24   Id.

Investment Adviser Advertisements; Compensation for Solicitations

Federal Register · Proposed Rule · Dec 10, 2019

Feb. 24, 2005) 16. Citigroup Global Markets Inc. (pub. avail. Oct. 31, 2003) 17. Citigroup Inc. (pub. avail. Oct. 22, 2010) 18. Credit Suisse First Boston Corp. (pub. avail. Aug. 24, 2000) 19. … Sept. 24, 2004) 22. Deutsche Bank Securities Inc. (pub. avail. June 9, 2009) 23. Dougherty & Company LLC (pub. avail. July 3, 2003) 24. Dougherty & Company LLC (pub. avail. Mar. 21, 2003) 25.

Market Data Infrastructure

Federal Register · Proposed Rule · Mar 24, 2020

24. Should the Commission amend Rule 605 in light of the proposed round lot definition? … Lazo, Managing Director and Associate General Counsel, SIFMA, dated Oct. 24, 2018 (“SIFMA Letter”) (attachment to letter).

Conformed to Federal Register version

Agency decision · Agency decision

See infra section XIII.A. 24 2. … See CFTC No Action Letter 17-17 (Mar. 24, 2017) (issued by the CFTC’s Division of Market Oversight).

Transfer Agent Rules

Federal Register · Proposed Rule · Sep 4, 2026

See Form TA-2 Question 5(a). 399   See Form TA-2 Item 4(a). 400   See Form TA-2 Item 4(b). 401   See infra Section V.B.7. … No. 14215 (Feb. 18, 2025), 90 FR 10447, 10448 (Feb. 24, 2025) (requiring independent agencies to comply with E.O. No. 12866).

Recordkeeping and Reporting Requirements for Security-Based Swap Dealers, Major Security-Based Swap Participants, and Broker-Dealers; Capital Rule for Certain Security-Based Swap Dealers

Federal Register · Proposed Rule · May 2, 2014

This release refers to these amendments as the recently adopted amendments or recently adopted requirements of Rule 17a-5. 399   See id. … Liquidity stress test 17a-3(a)(24) 18a-5(a)(11).

Open-End Fund Liquidity Risk Management Programs; Swing Pricing; Re-Opening of Comment Period for Investment Company Reporting Modernization Release

Federal Register · Proposed Rule · Oct 15, 2015

at paragraphs 13 and 24. 2. … See, e.g., Jessica Toonkel, Fund Boards, Management Go on High Alert Around Bond Liquidity, Reuters (Nov. 24, 2014), available at http://www.reuters.com/article/2014/11/24/us-funds-bondholders-alert-idUSKCN0J80AD20141124