Documents

Division of Investment Management

Agency decision · Agency decision

Individuals 2017Q2 89 52 51 *** 21 12 9 *** 4 5 *** 2 1 *** 2017Q3 83 55 51 *** 24 *** 10 *** 4 5 *** 2 1 *** 2017Q4 96 53 55 *** 23 *** 9 *** 4 5 *** 2 1 *** 2018Q1 94 52 57 *** 24 13 9 *** 4 5 ** … See Figure 24 for an explanation of each feature. Figure 24: How to Read a Boxplot 10 Form PF has no requirement to inform the SEC if a fund liquidates or otherwise terminates operations.

Self-Regulatory Organizations; the NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Establish an Enhanced Display Distributor Fee

Federal Register · Notice · Jan 23, 2012

downstream subscribers Monthly Enhanced Display Solution Fee per Distributor for right to display products containing API or similar solution   * 1-299 users = $2,000/month. 300-399 … NetCoalition at 24.

Division of Investment Management

Agency decision · Agency decision

Individuals 2017Q3 51 83 55 24 *** *** 10 *** *** 4 5 2 1 *** 2017Q4 55 96 53 23 *** *** 9 *** *** 4 5 2 1 *** 2018Q1 57 94 52 24 *** *** 9 *** *** 4 5 1 1 *** 2018Q2 55 109 52 24 *** *** 12 *** ** … See Figure 24 for an explanation of each feature. Figure 24: How to Read a Boxplot 10 Form PF has no requirement to inform the SEC if a fund liquidates or otherwise terminates operations.

Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Customer Rebate Program, Multiply Listed Options, PIXL Pricing

Federal Register · Notice · Mar 16, 2015

non-Customers, including Professionals, Firms, Broker-Dealers, Specialists and Market Makers, that have orders contra to a Customer PIXL Order is reduced to $0.00 if the Customer PIXL Order is greater than 399 … In making these proposals, the Exchange continues to incentivize members to execute Customer liquidity on the Exchange. 24  Any member or member organization under Common Ownership with another

Division of Investment Management

Agency decision · Agency decision

581 276 52 24 185 40 46 102 2,954 May 2023 1,873 312 325 105 444 76 57 586 274 52 24 200 42 46 *** 2,970 15 Jun 2023 1,886 317 330 105 436 75 56 580 274 56 24 194 41 44 *** 2,986 Jul 2023 1,887 332 … 46 26 24 17 5 *** *** 15,171 Jul 2023 15,258 245 79 46 24 19 *** 5 6 *** 15,698 Aug 2023 14,899 231 74 45 27 19 *** 5 6 *** 15,323 Sep 2023 14,179 238 72 43 24 23 14 6 *** *** 14,606 Oct 2023 13,772

Division of Investment Management

Agency decision · Agency decision

3,387 2021Q1 1,456 1,760 367 693 388 165 177 568 37 24 3,392 2021Q2 1,459 1,765 369 691 389 166 176 590 37 24 3,396 2021Q3 1,457 1,761 369 682 388 165 176 594 37 24 3,387 2021Q4 1,629 1,855 433 734 … Sec-Registered Investment Companies Broker-Dealers 2020Q2 532 428 470 409 362 356 205 91 96 56 50 34 45 78 2020Q3 564 466 494 429 384 368 220 99 101 60 50 37 46 80 2020Q4 607 493 539 458 415 399 227

Division of Investment Management

Agency decision · Agency decision

3,381 2021Q1 1,454 1,759 690 367 388 568 162 177 37 24 3,386 2021Q2 1,457 1,764 688 369 389 589 163 176 37 24 3,390 2021Q3 1,455 1,758 679 369 388 592 162 176 37 24 3,379 3 In this report, “Funds” … 2020Q1 492 410 393 316 376 331 191 76 89 54 45 35 35 73 2020Q2 532 470 428 362 409 356 205 91 96 56 50 45 34 78 2020Q3 564 494 466 384 429 368 220 99 101 60 50 46 37 80 2020Q4 607 539 493 415 458 399

Division of Investment Management

Agency decision · Agency decision

3,385 2021Q1 1,455 1,759 367 692 388 165 177 568 37 24 3,390 2021Q2 1,458 1,764 369 690 389 166 176 589 37 24 3,394 2021Q3 1,456 1,760 369 681 388 165 176 593 37 24 3,385 2021Q4 1,626 1,853 431 731 … 2020Q1 489 388 408 315 375 331 190 76 88 54 45 35 35 73 2020Q2 529 424 469 362 408 356 204 91 96 56 50 34 45 78 2020Q3 562 462 493 383 428 368 219 99 101 60 50 37 46 80 2020Q4 604 489 537 414 457 399

Division of Investment Management

Agency decision · Agency decision

3,380 2021Q1 1,454 1,759 689 367 388 568 162 177 37 24 3,385 2021Q2 1,457 1,764 687 369 389 590 163 176 37 24 3,389 3 In this report, “Funds” means all private funds reported on Form PF and “Advisers … 2020Q1 492 410 393 316 376 331 191 76 89 54 45 35 35 73 2020Q2 532 470 428 362 409 356 205 91 96 56 50 34 45 78 2020Q3 564 494 466 384 429 368 220 99 101 60 50 37 46 80 2020Q4 607 539 493 415 458 399

Division of Investment Management

Agency decision · Agency decision

15 13 10 11 9 5 4 4 2 552 Sep 2024 148 91 67 87 67 24 16 14 10 12 9 5 4 4 3 561 Oct 2024 145 93 68 85 65 24 17 13 10 11 9 5 4 4 3 558 Nov 2024 151 97 70 86 65 24 16 13 11 12 10 6 4 4 3 570 Dec 2024 … 1,012 445 511 574 406 589 268 165 10,346 Mar 2025 5,265 2,129 1,988 1,206 760 1,584 1,695 1,010 449 503 578 404 632 281 166 10,406 Apr 2025 5,262 2,130 1,972 1,205 760 1,556 1,746 1,090 442 492 563 399

Division of Investment Management

Agency decision · Agency decision

3,396 2021Q3 1,458 1,760 369 682 388 176 165 594 37 24 3,387 2021Q4 1,638 1,859 434 738 427 234 176 618 39 24 3,674 2022Q1 1,636 1,858 435 738 428 236 175 607 39 23 3,674 2022Q2 1,640 1,862 435 734 … Pension Plans 2021Q2 105 57 52 24 *** 25 11 *** 8 4 3 *** *** 1 2021Q3 101 50 50 *** *** 27 9 *** 7 3 3 *** *** 1 2021Q4 96 60 57 *** *** 23 9 *** 7 *** 4 3 *** 1 2022Q1 103 51 58 *** *** 24 8 ***

Division of Investment Management

Agency decision · Agency decision

863 34 -829 548 116 -432 315 -82 -397 Jan 2024 773 14 -759 447 33 -414 326 -19 -345 Feb 2024 730 55 -676 415 56 -359 316 -1 -317 Mar 2024 834 54 -780 528 84 -444 306 -30 -336 Apr 2024 726 -32 -758 399 … 11 -388 327 -43 -370 May 2024 665 54 -611 368 77 -291 298 -23 -321 Jun 2024 724 36 -688 461 65 -397 263 -29 -292 Jul 2024 748 59 -689 435 87 -349 312 -28 -340 Aug 2024 723 12 -711 399 48 -352 324

Division of Investment Management

Agency decision · Agency decision

90 24 216 171 39 *** *** 381 267 117 121 *** *** 314 223 69 47 108 3,187 2022Q4 1,074 602 386 *** *** 919 294 60 139 29 87 24 217 165 45 *** *** 376 267 112 125 *** *** 313 219 75 43 107 3,207 2023Q1 … 3,819 2,197 2,488 1,690 1,775 1,373 750 477 854 424 348 274 272 231 216 267 215 170 176 184 199 63 144 154 110 101 76 47 39 30 19 17 8 9 39 2022Q2 7,165 3,415 2,167 2,120 1,523 1,482 1,377 809 478 527 399

Division of Investment Management

Agency decision · Agency decision

21 4,891 Feb 2025 2,764 1,125 267 233 165 139 142 23 24 22 4,903 Mar 2025 2,680 1,080 265 225 169 136 144 23 24 20 4,767 Apr 2025 2,668 1,072 253 228 163 149 158 21 24 20 4,756 May 2025 2,770 1,124 … 255 242 167 143 147 26 25 20 4,918 Jun 2025 2,866 1,176 261 238 168 143 130 28 24 21 5,054 Jul 2025 2,862 1,121 263 239 180 138 128 72 24 20 5,047 Aug 2025 2,917 1,144 262 255 193 143 136 77 24 21

Division of Investment Management

Agency decision · Agency decision

Individuals 2017Q4 55 96 53 23 *** *** 9 *** *** 4 5 2 1 *** 2018Q1 57 94 52 24 *** 13 9 *** *** 4 5 1 1 *** 2018Q2 55 109 52 24 *** 17 12 *** *** 4 3 *** *** *** 2018Q3 57 105 51 23 *** 17 12 *** … See Figure 24 for an explanation of each feature. Figure 24: How to Read a Boxplot 10 Form PF has no requirement to inform the SEC if a fund liquidates or otherwise terminates operations.

Division of Investment Management

Agency decision · Agency decision

Pension Plans 2018Q1 57 52 94 *** 13 24 9 *** 5 4 *** 1 *** 1 2018Q2 55 52 109 *** 17 24 12 *** 3 4 *** *** *** *** 2018Q3 57 51 105 *** 17 23 12 *** 4 4 *** 1 *** 2 2018Q4 55 54 97 *** *** 18 9 ** … See Figure 24 for an explanation of each feature. Figure 24: How to Read a Boxplot 11 Form PF has no requirement to inform the SEC if a fund liquidates or otherwise terminates operations.

Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Pricing Schedule's Preface and Sections I, II and IV

Federal Register · Notice · Mar 25, 2015

Initiating Order Fee for Professional, Firm, Broker-Dealer, Specialist and Market Maker orders that are contra to a Customer PIXL Order is reduced to $0.00 if the Customer PIXL Order is greater than 399 … [FR Doc. 2015-06710 Filed 3-24-15; 8:45 am] BILLING CODE 8011-01-P

NGAM Advisors, LP, et al.; Notice of Application

Federal Register · Notice · Jul 15, 2013

Applicants: c/o Coleen Downs Dineen, NGAM Advisors, L.P., 399 Boylston Street, Boston, MA 02116-9848. FOR FURTHER INFORMATION CONTACT: Jaea F. … and engage in the in-kind transactions that would accompany such sales and redemptions with, certain Acquiring Funds of which the Funds are affiliated persons or a second-tier affiliates. 25 24

Division of Investment Management

Agency decision · Agency decision

Sec-Registered Investment Companies Broker-Dealers 2018Q4 1,518 1,333 1,231 1,045 850 843 555 399 204 205 122 169 118 108 2019Q1 1,550 1,376 1,250 1,068 894 876 604 412 216 209 130 171 126 107 2019Q2 … Entities Sec-Registered Investment Companies Banking/Thrift Inst. 2018Q4 480 404 414 399 323 343 196 82 75 77 48 39 52 32 2019Q1 508 442 428 417 347 353 198 89 79 77 57 42 54 33 2019Q2 520 449 437 428

Division of Investment Management

Agency decision · Agency decision

2,449 2013Q3 1,496 826 530 175 242 461 137 66 37 24 2,480 2013Q4 1,595 863 524 195 245 469 138 68 35 24 2,572 2014Q1 1,594 862 527 195 245 470 141 69 35 24 2,575 2014Q2 1,594 866 525 196 245 494 143 … 336 202 190 62 46 *** 18 15 *** 1,286 2014Q1 683 342 211 188 57 46 *** 17 15 *** 1,305 2014Q2 696 342 227 195 57 46 *** 17 14 *** 1,324 2014Q3 710 340 218 197 57 46 *** 17 15 *** 1,338 2014Q4 710 399