Documents

Use of Derivatives by Registered Investment Companies and Business Development Companies

Federal Register · Proposed Rule · Dec 28, 2015

Id., at 24. … S7-24-15.

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

Recordkeeping and Reporting Requirements for Security-Based Swap Dealers, Major Security-Based Swap Participants, and Broker-Dealers

Federal Register · Rule · Dec 16, 2019

Report Part III, which before these amendments was the cover page to be attached to a broker-dealer's annual reports, to accommodate its use by OTC derivatives dealers and stand-alone SBSDs and MSBSPs. 399 … proposal to improve the clarity of FOCUS Report Part III. 403 The Commission is also making several non-substantive changes to the checklist on the second page of FOCUS Report Part III. 404 399

Consolidated Audit Trail

Federal Register · Rule · Aug 1, 2012

24   See Rule 613(a)(1)(xii); Section III.C.2.a., infra … 398   See Rule 613(c)(7)(i)(B); Rule 613(c)(7)(ii)(A); Rule 613(c)(7)(iii)(A); Rule 613(c)(7)(iv)(A); Rule 613(c)(7)(v)(A); Rule 613(c)(7)(vi)(C); and Rule 613(j)(1). 399   See

Asset-Backed Securities Disclosure and Registration

Federal Register · Rule · Sep 24, 2014

See, e.g., proposed Items 2(e)(44) through 2(e)(46) of Schedule L-D. 399   See letters from ASF I and Wells Fargo I. 400   See new Items 1(m)(24)(i) Post-modification interest … rate step indicator; 1(m)(24)(ii) Post-modification step interest rate; 1(m)(24)(iii) Post-modification step date; 1(m)(24)(iv) Post-modification—step principal and interest; and 1(m)(24)(v) Post-modification—number

Special Purpose Acquisition Companies, Shell Companies, and Projections

Federal Register · Rule · Feb 26, 2024

398  Letters from ABA, Goodwin, Ropes & Gray. 399  Letter from Skadden. 6. … See supra note 399 and accompanying text.

Securities Offering Reform

Federal Register · Rule · Aug 3, 2005

Spencer (available September 24, 1982). … (a) Except as provided in section 24(f) of the Investment Company Act of 1940 (15 U.S.C. 80a-24(f)) and in paragraph (b) of this section, where a registration statement is already in effect, the registration

Open-End Fund Liquidity Risk Management Programs and Swing Pricing; Form N-PORT Reporting

Federal Register · Proposed Rule · Dec 16, 2022

24. Should we amend the definition of moderately liquid investment, as proposed? … Total 9,035 5,510 978 8,624,210 24 In contrast, high yield bonds primarily have T+2 settlement.

Amendments to Regulation SHO

Federal Register · Rule · Mar 10, 2010

Vulpi, dated Sept. 24, 2008; letter from Maureen Christensen, dated Oct. 9, 2008; letter from Peter B. … (discussing short sale orders marked “short exempt”). 398   See infra Section III.B.; see also Rules 201(c) and 201(d) As discussed in the Proposal, 399 a trading center must

Conformed to Federal Register version

Agency decision · Agency decision

See, e.g., Merkley; AFR; Bean; Better Markets; Center for American Progress (CAP); Public Citizen; Volcker Alliance; and Data Boiler. 398 See, e.g., Bean; Better Markets; CAP; and Public Citizen. 399 … See Reint Gropp et al., Competition, Risk-Shifting, and Public Bailout Policies, 24 REV. FIN.

Proposed Rule Amendments for Small and Additional Issues Exemptions Under Section 3(b) of the Securities Act

Federal Register · Proposed Rule · Jan 23, 2014

DATES: Comments should be received by March 24, 2014. … Any amendments to the form would have to comply with the requirements of the applicable items and be filed under cover of Form 1-K/A. 401 398   See Section II.C.3.b(2). above. 399

Proposed Amendments to the National Market System Plan Governing the Consolidated Audit Trail To Enhance Data Security

Federal Register · Notice · Oct 16, 2020

been affected, as well as to the Participants and the Commission, promptly after any responsible Plan Processor personnel have a reasonable basis to conclude that a systems or data breach has occurred. 399 … and would not be required if the Plan Processor reasonably estimates the systems or data breach would have no or a de minimis impact on the Plan Processor's operations or on market participants. 399

Regulation Best Interest: The Broker-Dealer Standard of Conduct

Federal Register · Rule · Jul 12, 2019

398  Proposing Release at 21600. 399   Id. … at 23-24 and footnote 41. b.

Conflict Minerals

Federal Register · Rule · Sep 12, 2012

Lee”), Société Minière du Maniema SPRL (Mar. 21, 2012) (“Somima”), Verizon Communications (Jun. 24, 2011) (“Verizon”), and WGC II. … A number of commentators recommended and described specific phase-in periods that focused on issuers unable to determine the origins of their conflict minerals. 399 Although each of these approaches

[Corrected to conform to Federal Register version]

Agency decision · Agency decision

with respect to investment strategies that are not plans or programs for the investment of the proceeds of municipal securities or the recommendation of and brokerage of municipal escrow investments. 399 … for the investment of proceeds of municipal securities that are not municipal derivatives or guaranteed investment contracts, and the recommendation of and brokerage of municipal escrow investments”). 399

Tailored Shareholder Reports, Treatment of Annual Prospectus Updates for Existing Investors, and Improved Fee and Risk Disclosure for Mutual Funds and Exchange-Traded Funds; Fee Information in Investment Company Advertisements

Federal Register · Proposed Rule · Nov 5, 2020

assets and liabilities, a schedule of investments that shows the amount and value of each security owned by the fund on that date, a statement of operations, and a statement of changes in net assets. 399 … See 17 CFR 210.3-18 and 210.6-10 [rules 3-18 and 6-10 of Regulation S-X]. 399   See sections 30(e)(1) through (4) of the Investment Company Act [15 U.S.C. 80a-29(e)(1) through (4)], and

Publication or Submission of Quotations Without Specified Information

Federal Register · Proposed Rule · Oct 30, 2019

years, the SEC has issued orders suspending or revoking the registrations of over 1,100 issuers pursuant to its authority under Section 12(j) of the Exchange Act for issuers with delinquent filings. 24 … In contrast, only 26 (two percent) of listed securities cases involved delinquent filings, 43 (four percent) involved pump-and-dumps, 278 (24 percent) involved financial fraud, 399 (34 percent) involved

Volume-Based Exchange Transaction Pricing for NMS Stocks

Federal Register · Proposed Rule · Nov 6, 2023

24. … Journal of Financial Economics 134.2 (2019): 381-399.

Updated to include Federal Register corrections dated 10/14/14

Agency decision · Agency decision

See 2013 Staff Report on Credit Rating Agency Independence, pp. 21-24. … OF ECONOMIC PERSPECTIVES (Spring 2010), Volume 24, Number 2, p. 211–226; Daniel M.

Private Fund Advisers; Documentation of Registered Investment Adviser Compliance Reviews

Federal Register · Rule · Sep 14, 2023

One commenter suggested that we should require additional detail in the statement of contributions and distributions. 399 We believe that it is important that the statement of contributions and distributions … in the statement of contributions and distributions, such as information about how each contribution and distribution was used and the dates of drawdowns from fund-level subscription facilities. 399