Documents

Joint Industry Plan; Order Approving, as Modified, a National Market System Plan Regarding Consolidated Equity Market Data

Federal Register · Notice · Aug 11, 2021

The U.S. Court of Appeals for the D.C. … The U.S. Court of Appeals for the D.C.

Disclosure Regarding Market Timing and Selective Disclosure of Portfolio Holdings

Federal Register · Proposed Rule · Dec 17, 2003

least once daily, Monday through Friday, at a specific time or times as determined by their boards. 7 Typically, mutual funds calculate their NAVs once each day at or near the close of the major U.S … add 35,545 hours to the burden of completing Forms N-1A, N-3, N-4, and N-6. 75 We estimate that this additional burden would equal total internal costs of $1,608,411 annually, or approximately $423

Special Purpose Acquisition Companies, Shell Companies, and Projections

Federal Register · Proposed Rule · May 13, 2022

De-SPAC Transactions  482 482  The benefits of proposed Item 1603 in connection with disclosures regarding sponsors and conflicts of interest in connection with a de-SPAC transaction on a proxy … GAAP, provide a reconciliation to U.S.

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.

The Enhancement and Standardization of Climate-Related Disclosures for Investors

Federal Register · Rule · Mar 28, 2024

See also U.S. … See, e.g., U.S.

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

For U.S. … See NMS Stock ATS Adopting Release, supra note 2, at 38791. 423   See Rule 304(a)(1)(i).

Regulation Systems Compliance and Integrity

Federal Register · Proposed Rule · Apr 14, 2023

Using daily reports of U.S. … Id. 423   See paragraph (d)(1) of proposed Rule 10. 424   See section II.B.3.b (discussing these proposed requirements in more detail).

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

Federal Register · Rule · Jan 14, 2021

and non-U.S. issuers are excluded from Rule 504 proceeds used in this estimate. … and non-U.S. issuers are excluded from Rule 504 proceeds used in this estimate.

Initial Decision: J.W. Barclay & Co., Inc., John A. Bruno, Michael J. Wills, Edgar B. Alacan, Emmanuel P. Cube, Mayer Dallal, Danoo Noor, Sr, Emanuele A. Scarso, Michael B. Scott; Initial Decision Release No. 239; File No. 3

Agency decision · Agency decision

Kerlikowske liked to deal with different brokers to get investment ideas from multiple sources (Tr. 423). … Naftalin , 441 U.S. 768, 773 n.4 (1979).

SECURITIES AND EXCHANGE COMMISSION

Agency decision · Agency decision

Treasury, U.S. government agency, U.S. government sponsored entity, municipal, non-U.S. sovereign, private fund, registered fund, other).268 We are also adopting a modification from the proposal to add … See Concept Release on the U.S.

Consolidated Audit Trail

Federal Register · Rule · Aug 1, 2012

Under this definition, the non-U.S. broker-dealer referred to above is the “customer” of the U.S. broker-dealer for purposes of the rule. … Because the Rule as adopted does not require a non-U.S. broker-dealer placing orders in NMS securities through a U.S. broker-dealer to provide information about its customers to the consolidated audit

Asset-Backed Securities

Federal Register · Proposed Rule · May 3, 2010

See U.S. … U.S.

Regulation Best Interest: The Broker-Dealer Standard of Conduct

Federal Register · Rule · Jul 12, 2019

See U.S. … (Papers & Proc.) 423 (2011).

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

Federal Register · Rule · Dec 16, 2019

Paragraph (c) references instruments such as U.S. Defense Savings Stamps and U.S. … See U.S.

Conformed to Federal Register version

Agency decision · Agency decision

Among other things, the amendments require covered clearing agencies for U.S. … Compliance by the direct participants of a U.S.

Conflict Minerals

Federal Register · Rule · Sep 12, 2012

See also U.S. … The 2009 Statistics of U.S. Businesses from the U.S.

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

The U.S. … See 2023 U.S.

Procedural Requirements and Resubmission Thresholds Under Exchange Act Rule 14a-8

Federal Register · Proposed Rule · Dec 4, 2019

The U.S. … For related statistics, see letters in response to the Proxy Process Roundtable from U.S.

Note: This document was created by the Staff of the Division of Investment

Agency decision · Agency decision

(C) Non-U.S. creditors (ii) Secured borrowing (A) U.S. depository institutions (B) U.S. creditors that are not U.S. depository institutions (C) Non-U.S. creditors 58. … Individual counterparty exposure table The tables at Questions 412 and 423 that collect the reporting fund’s borrowing and collateral received and lending and posted collateral for each identified creditors

Updated Disclosure Requirements and Summary Prospectus for Variable Annuity and Variable Life Insurance Contracts

Federal Register · Rule · May 1, 2020

Office of Investor Education and Advocacy of the U.S. … internet and 73 percent of U.S. adults 65 and older using the internet.