Documents

The Enhancement and Standardization of Climate-Related Disclosures for Investors

Federal Register · Rule · Mar 28, 2024

California Air Resources Board, No. 2:24-cv-00801 (D. C.D. Cal. Jan. 30, 2024). … Reform, Sunrise Project et al.; CalSTRS; Eni SpA; PRI; TotalEnergies; and Wellington Mgmt. 399   See, e.g., letters from Amer. for Fin.

Nationally Recognized Statistical Rating Organizations

Federal Register · Proposed Rule · Jun 8, 2011

preliminary credit rating” includes any credit rating, any range of ratings, or any other indications of a credit rating published prior to the assignment of an initial credit rating for a new issuance. 399 … Reform and Consumer Protection Act, 76 FR at 4503-4505 (Jan. 26, 2011). 396   Id. 397  15 U.S.C. 78o-7(s). 398   See proposed new paragraph (a) of Rule 17g-7. 399

Registration and Regulation of Security-Based Swap Execution Facilities

Federal Register · Proposed Rule · Feb 28, 2011

swap product's terms and conditions; (2) the documentation relied on to establish the basis for compliance with the Exchange Act and rules and regulations thereunder, including the Core Principles;  399 … registered SB SEF has published on its Web site a notice of pending request for approval with the Commission and a copy of the submission, concurrent with the filing of a submission with the Commission. 399

Facilitating Shareholder Director Nominations

Federal Register · Rule · Sep 16, 2010

note that once a nominee is elected to the board of directors, that director will be subject to State law fiduciary duties and owe the same duty to the corporation as any other director on the board. 399 … shareholder or group and the nominee that we are adopting, combined with the fact that any nominee elected will be subject to fiduciary duties, should help address any “special interest” concerns. 399

Registration of Municipal Advisors

Federal Register · Rule · Nov 12, 2013

24   See infra Section III.A.1.c.iii. … on those activities related to investment of the proceeds of municipal securities and related escrow investments, with respect to which there has been significant enforcement activity. 403 399

Crowdfunding

Federal Register · Rule · Nov 16, 2015

and others opposing it. 25 24   See, e.g., AngelList Letter; Arctic Island Letter 4; Campbell R. … The Commission expects that only in unusual circumstances would a funding portal be permitted to delay furnishing records for more than 24 hours.

Business Conduct Standards for Security-Based Swap Dealers and Major Security-Based Swap Participants

Federal Register · Rule · May 13, 2016

calculation, such as requiring independent third-party quotes or limiting the context in which an SBS Entity can use its own bid and offer prices or requiring the daily mark to be an actionable quote. 399 … Consistent with the considerations outlined above, an SBS Entity may choose to do these calculations in-house or to use independent third-party valuation services, as suggested by a commenter. 401 399