Documents

Disclosure of Order Handling Information

Federal Register · Proposed Rule · Jul 27, 2016

24. Do commenters believe that the rule should cover institutional orders placed both directly and indirectly with a broker-dealer? … The benefits and costs associated with this requirement are discussed in Section V.C.4. 399   See supra Section III.A.3.

Conformed to Federal Register Version

Agency decision · Agency decision

disruptions that the proposed review and feedback mechanism, with its specified time frames for each step of the process, would have caused in the context of M&A transactions or contested solicitations. 399 … On average, proxy research reports were delivered to clients 14 days before the meeting date [in] M&A transactions and 13 days in contested situations.”). 398 399 See supra note 279 and accompanying

Public Company Accounting Oversight Board; Notice of Filing of Proposed Rules on Firm Reporting

Federal Register · Notice · Dec 5, 2024

at VII:24, VIII:11. 21   Id. at D:3, II:5. … at 24. 27   See id. at 23-24 (footnote omitted).

Investment Adviser Marketing

Federal Register · Rule · Mar 5, 2021

Lauer, 2008 WL 4372896, at 24 (S.D. Fla. … [Used in: Part 1A, Items 1, 11, DRPs; Part 2A, Item 9; Part 2B, Item 3] 24.

Form CRS Relationship Summary; Amendments to Form ADV

Federal Register · Rule · Jul 12, 2019

See Exchange Act rules 17a-3(a)(24) and 17a-4(e)(10) as amended. … Persp. 24-10 (Dec. 2018), available at https://www.ici.org/pdf/per24-10.pdf . 933   See id.

Conformed to Federal Register Version

Agency decision · Agency decision

DATES: This proposal was published in the Federal Register on April 24, 2026. Comments should be received on or before June 23, 2026. … entries and cash lending entries, as is currently required, could lead to advisers having to complete Questions 42(b) and 43(b) for a larger number of counterparties, thereby increasing their costs. 399

Exemptions From the Proxy Rules for Proxy Voting Advice

Federal Register · Rule · Sep 3, 2020

disruptions that the proposed review and feedback mechanism, with its specified time frames for each step of the process, would have caused in the context of M&A transactions or contested solicitations. 399 … On average, proxy research reports were delivered to clients 14 days before the meeting date [in] M&A transactions and 13 days in contested situations.”). 399   See supra note 279 and accompanying

Regulation of NMS Stock Alternative Trading Systems

Federal Register · Proposed Rule · Dec 28, 2015

Please support your arguments. 24. … Please be specific. 399.

Asset-Backed Securities

Federal Register · Rule · Jan 7, 2005

(Jun. 24, 1996). This letter related to non-ABS rather than ABS, but the concept has been subsequently extended to ABS by the staff. … Apart from the two conditions for the exemption, we also are clarifying, as proposed and consistent with a similar provision in our communications exemptions for business combination transactions, 399

The Enhancement and Standardization of Climate-Related Disclosures for Investors

Federal Register · Proposed Rule · Apr 11, 2022

24. … • Scope 1 emissions as direct GHG emissions from operations that are owned or controlled by a registrant;  399 399   See proposed 17 CFR 229.1500(p).

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

Federal Register · Proposed Rule · Nov 23, 2012

These issues have been the focus of numerous comments to the Commission and other regulators, Congressional inquiries, and other public dialogue. 24 24   See, e.g., letter from Senator Tim … Settlement Procedures And Counterparty Risk Management at 11-15. 398   See OTC Derivatives Dealers, Exchange Act Release No. 39454 (Dec. 17, 1997), 62 FR 67940 (Dec. 30, 1997). 399

Application of “Security-Based Swap Dealer” and “Major Security-Based Swap Participant” Definitions to Cross-Border Security-Based Swap Activities; Republication

Federal Register · Rule · Aug 12, 2014

conducted through a foreign branch.\398\ The final rule has been revised from the proposal to further provide that the person should [[Page 47324]] count all dealing transactions of its conduit affiliates.\399 … \399\ See Exchange Act rule 3a71-3(b)(2)(ii).

Executive Compensation and Related Person Disclosure

Federal Register · Rule · Sep 8, 2006

Item 403 also requires disclosure of arrangements known to the company that may result in a change in control of the company. 400 397  Item 403(a). 398  Item 403(b). 399 … Revising the cite “Item 18.15” to read “Item 18.16” in Instruction 8.a. to Item 24.

Crowdfunding

Federal Register · Proposed Rule · Nov 5, 2013

104  17 CFR 230.405. 105  17 CFR 240.3b-2. 106  17 CFR 230.405. 107  17 CFR 240.3b-7. 24. … We believe requiring intermediaries to provide updated material on this basis, rather than at any regular intervals, should help to minimize the ongoing burden on intermediaries. 399  Pursuant

Money Market Fund Reforms; Form PF Reporting Requirements for Large Liquidity Fund Advisers; Technical Amendments to Form N-CSR and Form N-1A

Federal Register · Rule · Aug 3, 2023

The compliance date for the tailored shareholder report requirements ends 18 months after the effective date of Jan. 24, 2023. … additional reporting costs as a result of this amendment, as one commenter suggested, we believe these costs will generally be related to funds adjusting their systems to a different data language. 399

Application of “Security-Based Swap Dealer” and “Major Security-Based Swap Participant” Definitions to Cross-Border Security-Based Swap Activities

Federal Register · Rule · Jul 9, 2014

conducted through a foreign branch. 398 The final rule has been revised from the proposal to further provide that the person should count all dealing transactions of its conduit affiliates. 399 … to mean the direct or indirect power to direct or cause the direction of the management and policies of a person, whether through the ownership of voting securities, by contract or otherwise. 399

Security-Based Swap Execution and Registration and Regulation of Security-Based Swap Execution Facilities

Federal Register · Rule · Dec 15, 2023

See CFTC No Action Letter 17-17 (Mar. 24, 2017) (issued by the CFTC's Division of Market Oversight). … An SBSEF generally should produce records within 24 hours unless there are unusual circumstances.

Securities Whistleblower Incentives and Protections

Federal Register · Rule · Jun 13, 2011

In re Iannochino, 242 F.3d 36, 46 (1st Cir. 2001) (quoting Restatement (Second) of Judgments § 24 (1982)) (internal quotation marks omitted). See also Airframe Systems, Inc. v. … One commenter noted that the proposed rule is especially important because many firms require employees to sign confidentiality agreements. 399 399   See letter from POGO.

Fair Administration and Governance of Self-Regulatory Organizations; Disclosure and Regulatory Reporting by Self-Regulatory Organizations; Recordkeeping Requirements for Self-Regulatory Organizations; Ownership and Voting Limitations for Members of Self-Regulatory Organizations; Ownership Reporting Requirements for Members of Self-Regulatory Organizations; Listing and Trading of Affiliated Securities by a Self-Regulatory Organization

Federal Register · Proposed Rule · Dec 8, 2004

DATES: Comments should be submitted on or before January 24, 2005. … Question 24.

Nationally Recognized Statistical Rating Organizations

Federal Register · Rule · Sep 15, 2014

See 15 U.S.C. 78o-7(d)(2)(B). 399   See 15 U.S.C. 78u-3. … at 24. 885   See id. at 27-37. See also id.