Documents

Standards for Covered Clearing Agencies

Federal Register · Rule · Oct 13, 2016

by FSOC is a U.S. … U.S. Treasury securities would not fall under the definition of qualifying liquid resources. The Commission understands that U.S.

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

Federal Register · Rule · Aug 22, 2019

ICI 2/4/2013 Letter. 422   See American Council of Life Insurers 11/19/2018 Letter; ICI 2/4/2013 Letter; ICI 5/11/2015 Letter; ICI 11/19/2018 Letter; SIFMA AMG 11/19/2018 Letter. 423 … See End-User Exception to Mandatory Clearing of Security-Based Swaps; Proposed Rule, Exchange Act Release No. 63556 (Dec. 15, 2010), 75 FR 79992 (Dec. 21, 2010). 482   See paragraphs (b)

Conformed to Federal Register version

Agency decision · Agency decision

O’Hagan, 521 U.S. at 673 (quoting Chevron, 467 U.S. at 844). … Dudenhoeffer, 573 U.S. 409, 429 (2014).

Substantial Implementation, Duplication, and Resubmission of Shareholder Proposals Under Exchange Act Rule 14a-8

Federal Register · Proposed Rule · Jul 27, 2022

company's annual or special meeting, and it facilitates the ability of all shareholders to consider and vote on such proposals.”); Alan Palmiter & Frank Partnoy, Corporations: A Contemporary Approach 482 … For example, the proposed amendment could have a greater effect on U.S. public companies relative to those that are not subject to the federal proxy rules, namely foreign companies and U.S. private companies

Conformed to Federal Register version

Agency decision · Agency decision

See, e.g., Letter to John Coates, Acting Director, Division of Corporation Finance, U.S. … For example, the proposed amendment could have a greater effect on U.S. public companies relative to those that are not subject to the federal proxy rules, namely foreign companies and U.S. private companies

Regulation B

Federal Register · Proposed Rule · Jun 30, 2004

Bancorp (“U.S. … 422  15 U.S.C. 78c(f). 423  15 U.S.C. 78w(a)(2).

Crowdfunding

Federal Register · Rule · Nov 16, 2015

One commenter suggested that nonresident funding portals be required to clearly indicate on their Web sites that they are organized and operating outside of the U.S. and indicate whether a U.S. or non-U.S … See also U.S.

Regulation of NMS Stock Alternative Trading Systems

Federal Register · Proposed Rule · Dec 28, 2015

Please be specific. 423. What mechanisms are available for NMS Stock ATSs to perform outbound routing? … Please be specific. 482.

Report to Congress on Regulation A / Regulation D Performance

Agency decision · Agency decision

Kothari, DERA Economic and Risk Outlook, U.S. SEC. … Historical Returns of U.S.

Special Purpose Acquisition Companies, Shell Companies, and Projections

Federal Register · Rule · Feb 26, 2024

482  Proposing Release, supra note 7, at 29477. … While U.S.

Daily Computation of Customer and Broker-Dealer Reserve Requirements Under the Broker-Dealer Customer Protection Rule

Federal Register · Rule · Jan 13, 2025

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

Regulation NMS

Federal Register · Rule · Jun 29, 2005

The best execution obligation requires a broker-dealer to seek for its customer's transaction the most favorable terms reasonably available under the circumstances. 482 This standard is premised on … the practical ability of the broker-dealer to determine whether a displayed price is reasonably obtainable under the circumstances. 482   See Securities Exchange Act Release No. 37619A (Sept

Private Fund Advisers; Documentation of Registered Investment Adviser Compliance Reviews

Federal Register · Rule · Sep 14, 2023

We continue to believe that U.S. GAAP is well understood by U.S. investors. U.S. … U.S.

Publication or Submission of Quotations Without Specified Information

Federal Register · Rule · Oct 27, 2020

Thirty-one percent of issuers followed the Exchange Act, Regulation A, or the U.S. … The U.S. Bank reporting standard applies to companies in the OTCQX U.S.

Regulation NMS

Federal Register · Proposed Rule · Dec 27, 2004

See reproposed Rule 600(b)(78). 423   See Section III.G.1. of the Proposing Release. 424   See supra Section II.A.4. … Currently, private linkages are widely used in the equity markets, particularly for trading in Nasdaq stocks. 482 Moreover, the Commission understands that the ITS facilities that currently provide

Public Company Accounting Oversight Board; Notice of Filing of Proposed Rules on Amendment to PCAOB Rule 3502 Governing Contributory Liability

Federal Register · Notice · Jul 2, 2024

Fox Television Stations, Inc., 556 U.S. 502 (2009). … Comment Letter from U.S. Chamber of Commerce at 4.

Securities Act of 1933

Agency decision · Agency decision

As a result, the aff,rliate acquired I,423 shares of Class B-1 Common Stock, 1,423 shates of Class B-2 Common Stock, 2,849 shares of Class B-3 Common Stock, and 313,789 shares of Class B-4 Common Stock … Indian Head, lnc,,559F.2d1202 (2d Cir'), cert, denied,434 u.s. 897 (t977).

Electronic Submission of Certain Materials Under the Securities Exchange Act of 1934; Amendments Regarding the FOCUS Report

Federal Register · Rule · Jan 21, 2025

See, e.g., 15 U.S. … by personnel of an agent of such non-U.S. person located in a U.S. branch or office (“ANE Activity”).

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

Federal Register · Rule · Dec 15, 2023

481   See Letter from Chris Barnard to Commission at 2 (May 21, 2022) (submitted under cover email dated June 6, 2022). 482   See id. … a U.S. person.

Transaction Fee Pilot for NMS Stocks

Federal Register · Rule · Feb 20, 2019

421   See Proposing Release, supra note 2, at 13033. 422   See id. 423   See id. … Table 2—Summary of Transaction-Based Fee Schedules for U.S.