Documents

SIMPSON THACHER & BARTLETT LLP

Agency decision · Agency decision

Third, for a period of five years from the date of the guilty plea entered into by CSAG pursuant to the Plea Agreement, the Current Funds will furnish (or cause to be furnished) to each purchaser in a … Opportunities HedgeFocus Fund SCHEDULEB China Renaissance Capital Investment DLJ Real Estate Capital Partners ESP Holdings Global Infrastructure Partners Gulf Capital Helvetica HighTower Holding LLC Hudson Clean

Filings Under the Public Utility Holding Company Act of 1935, As Amended (``Act'')

Federal Register · Notice · Aug 6, 1999

SECURITIES AND EXCHANGE COMMISSION [Release No. 35-27057] Filings Under the Public Utility Holding Company Act of 1935, As Amended (``Act'') July 30, 1999. … and rule 54 under the Act to its application-declaration previously filed under the Act.

Self-Regulatory Organizations; LCH SA; Notice of Filing of Proposed Rule Change Relating to Liquidity Risk Modelling Framework

Federal Register · Notice · Jan 11, 2024

Solicitation of Comments Interested persons are invited to submit written data, views, and arguments concerning the foregoing, including whether the proposed rule change is consistent with the Act. … Comments May Be Submitted by Any of the Following Methods • Use the Commission's internet comment form ( https://www.sec.gov/rules/sro.shtml ) or • Send an email to rule-comments@sec.gov.

Filings Under the Public Utility Holding Company Act of 1935 (``Act'')

Federal Register · Uncategorized Document · Jun 14, 1994

SECURITIES AND EXCHANGE COMMISSION [Release No. 35-26063] Filings Under the Public Utility Holding Company Act of 1935 (``Act'') June 7, 1994. … Each offering under the plan consists of an offering period of 26 months.

Internal Control Over Financial Reporting in Exchange Act Periodic Reports of Non-Accelerated Filers and Newly Public Companies

Federal Register · Rule · Dec 21, 2006

for a transition period postponing compliance with these requirements until the second annual report filed with the Commission. 77 One commenter suggested that the transition period was of “critical … One commenter sought clarification on the transition period, 80 and others suggested expanding the transition period for newly public companies to allow them more time to comply with the requirements

Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Exchanges Pricing Schedule at Options 7

Federal Register · Notice · Mar 19, 2019

Solicitation of Comments Interested persons are invited to submit written data, views, and arguments concerning the foregoing, including whether the proposed rule change is consistent with the Act. … Comments may be submitted by any of the following methods: Electronic Comments • Use the Commission's internet comment form ( http://www.sec.gov/rules/sro.shtml ); or • Send an email to rule-comments

The Mexico Fund, Inc., et al.; Notice of Application

Federal Register · Notice · Jul 24, 2008

ACTION: Notice of application under section 6(c) of the Investment Company Act of 1940 (“Act”) for an exemption from section 19(b) of the Act and rule 19b-1 under the Act. … limits the number of capital gains dividends, as defined in section 852(b)(3)(C) of the Code (“distributions”), that a fund may make with respect to any one taxable year to one, plus a supplemental “clean

Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Temporarily Amend FINRA Rules 1015, 9261, 9524 and 9830 To Permit Hearings Under Those Rules To Be Conducted by Video Conference

Federal Register · Notice · Sep 9, 2020

Solicitation of Comments Interested persons are invited to submit written data, views and arguments concerning the foregoing, including whether the proposed rule change is consistent with the Act. … Comments may be submitted by any of the following methods: Electronic Comments • Use the Commission's internet comment form ( http://www.sec.gov/rules/sro.shtml ); or • Send an email to rule-comments

Instructions for Electronic Filing and Service

Agency decision · Agency decision

(Exchange Act Rel. No. 34-90442 (November 17, 2020) https://www.sec.gov/rules/final/2020/34-90442.pdf). … During this period, in addition to submitting electronic filings through eFAP, participants also must file in either paper format or by email at APfilings@sec.gov.

Joint Industry Plan; Notice of Filing of Amendment No. 21 to the Joint Self-Regulatory Organization Plan Governing the Collection, Consolidation and Dissemination of Quotation and Transaction Information for Nasdaq-Listed Securities Traded on Exchanges on an Unlisted Trading Privileges Basis Submitted by the BATS Exchange, Inc., Chicago Board Options Exchange, Incorporated, Chicago Stock Exchange, Inc., Financial Industry Regulatory Authority, Inc., International Securities Exchange LLC, NASDAQ OMX BX, Inc., NASDAQ OMX PHLX, Inc., Nasdaq Stock Market LLC, National Stock Exchange, Inc., New York Stock Exchange LLC, NYSE Amex, Inc., and NYSE Arca, Inc

Federal Register · Notice · May 13, 2010

Solicitation of Comments The Commission seeks general comments on Amendment No. 21. … Comments may be submitted by any of the following methods: Electronic Comments • Use the Commission's Internet comment form ( http://www.sec.gov/rules/sro.shtml ); or • Send an e-mail to rule-comments

Self-Regulatory Organizations; Order Approving and Notice of Filing and Order Granting Accelerated Approval of Amendment Nos. 2 and 3 to Proposed Rule Change by the American Stock Exchange, Inc. Relating to Index Fund Shares

Federal Register · Notice · Mar 14, 1996

Share prices are ``swept clean'' daily and adjusted for any rights issues, stock dividends or splits. … Finally, the other aspects of Amendment No. 2 concern issues that have been raised in prior Exchange proposals that have been the subject of a full comment period pursuant to Section 19(b) of the Act.

SECURITIES AND EXCHANGE COMMISSION

Agency decision · Agency decision

Securities Act of 1933, as amended, and the rules and regulations promulgated thereunder (the "Securities Act"), pursuant to a registration statement on Form F-3. … As such, their market activities will be subject to Rule 102 throughout the Restricted Period, except to the extent that any of them acts as a "distribution participant" subject to Rule 12 101.

Self-Regulatory Organizations; ICE Clear Credit LLC; Order Approving Proposed Rule Change Relating to the ICC Governance Playbook, ICC Risk Management Framework, and ICC Treasury Operations Policies and Procedures

Federal Register · Notice · Aug 31, 2021

The proposed rule change was published for comment in the Federal Register on July 20, 2021. 3 The Commission did not receive comments regarding the proposed rule change. … The proposed rule change would amend the ICC Governance Playbook, Risk Management Framework, and Treasury Policy to update descriptions of certain internal committees and make other clarification or clean-up

The Adams Express Company and Petroleum & Resources Corporation; Notice of Application

Federal Register · Notice · Dec 19, 2012

ACTION: Notice of application under section 6(c) of the Investment Company Act of 1940 (“Act”) for an exemption from section 19(b) of the Act and rule 19b-1 under the Act. … Applicants request an order pursuant to section 6(c) of the Act granting an exemption from section 19(b) of the Act and rule 19b-1 thereunder to permit each Fund to distribute periodic capital gain dividends

SECURITIES AND EXCHANGE COMMISSION

Agency decision · Agency decision

(cleaned up)). 5 Schwab representatives acquiesced in some aspects of Michael’s involvement with APA. … that a person may apply for consent to associate after a specified period of time, the Commission generally will grant the application upon a proper showing made after expiration of the specified period

UNITED STATES OF AMERICA

Agency decision · Agency decision

period. … For example, KMA does not have access to institutional, advisor or clean share classes.

Filings Under the Public Utility Holding Company Act of 1935, as Amended (“Act”)

Federal Register · Notice · Nov 10, 2005

of the Act. … through and including December 31, 2005 (“Prior Authorization Period”).

Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Change Amending the NYSE American Options Fee Schedule by Revising the Options Regulatory Fee

Federal Register · Notice · Sep 19, 2019

Solicitation of Comments Interested persons are invited to submit written data, views, and arguments concerning the foregoing, including whether the proposed rule change is consistent with the Act. … Comments may be submitted by any of the following methods: Electronic Comments • Use the Commission's internet comment form ( http://www.sec.gov/rules/sro.shtml ); or • Send an email to rule-comments

Filings Under the Public Utility Holding Company Act of 1935 (``Act'')

Federal Register · Uncategorized Document · Mar 18, 1994

Interested persons wishing to comment or request a hearing on the application(s) and/or declaration(s) should submit their views in writing by April 4, 1994 to the Secretary, Securities and Exchange Commission … EEIC contemplates that it will engage in research relative to new generation technology, new transformer efficiency and design, air quality management, and electric vehicle development.

Amendments to Regulation SHO

Federal Register · Rule · Oct 17, 2008

The Commission made this data available to the public for review and comment by including it in a Commission release and re-opening the comment period to the Reproposal on July 7, 2008. 39 The comment … period.”