Documents

Asset-Backed Securities

Federal Register · Rule · Jan 7, 2005

Several commenters urged eliminating any restrictions on revolving periods, regardless of the type of asset or the form of registration. 124 Revolving periods, these commenters argued, allow issuers … minimum level, with minor revisions to our proposal in response to comment. 309 Many ABS transactions include “clean up” calls whereby the securities are called and the trust terminated before

BARTHOLOW & MlLLER LLP

Agency decision · Agency decision

NO. 5 Page 1 of 9 Account No. 816280 Plan Term 07/01/09 to 06/30/12 For the Period 10/01 /09 to 1 2/31 /09 APPLIEn·f·~ UNDERWRITERS~ Questions? Changes? Comments? … NO. 6 Page 1of13 Account No. 816280 Plan Term 07/01/09 to 06/30/12 For the Period 01/01 /12 to 03/31 /12 APPLIEn·t·~ UNDERWRITERS ~ Questions? Comments?

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Agency decision · Agency decision

Air Regulatory Grp. v. EPA, 134 S. … Request for Comment on NASDAQ Petition, 68 Fed. Reg. 27,722, 27,722 (May 20, 2003).

Request for Comments on Fund Names

Federal Register · Notice · Mar 6, 2020

-1 (“rule 35d-1” or the “Names Rule”) under the Investment Company Act of 1940 (“Investment Company Act” or “Act”). … appear to treat “ESG” as a type of investment (which is subject to the Names Rule). 23  Based on EDGAR data, approximately 65 funds (excluding unit investment trusts) included the terms “ESG”, “Clean

Regulation Best Interest: The Broker-Dealer Standard of Conduct

Federal Register · Rule · Jul 12, 2019

While most commenters requested an implementation period of 18-24 months, 836 one commenter requested an implementation period of 12-18 months. 837 We believe the operational capability needed … See, e.g., James Chen, Clean Shares, Investopedia, available at https://www.investopedia.com/terms/c/clean-shares.asp , stating that “[t]he mutual fund industry introduced clean shares, along

SECURITIES AND EXCHANGE COMMISSION

Agency decision · Agency decision

Based on Decemer 7, 1994 market values, the Funds held tha following amounts of the saeurities: AM-General - $27,550,000 AIR-Tax Free - 6950,000; and 3. Final Maturity - July 19, 1995. … If you have any further questions or comments regarding this matter, please feel free to contact me at the telephone number set forth above or Ms. Emi11e wrapp at (202) 969-2154.

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

Federal Register · Notice · Jul 16, 2003

Interested persons wishing to comment or request a hearing on the application(s) and/or declaration(s) should submit their views in writing by August 4, 2003 to the Secretary, Securities and Exchange Commission … and rule 54 under the Act.

Modernization of Regulation S-K Items 101, 103, and 105

Federal Register · Rule · Oct 8, 2020

(“FAST Act”). … would not reduce burdens on registrants as the prior period disclosure has already been prepared. 37 Several other commenters expressed concern that the term “reporting period” limited the period

Self-Regulatory Organizations; Morgan Guaranty Trust Company of New York, Brussels Office, as Operator of the Euroclear System; Order Approving Application for Exemption From Registration as a Clearing Agency

Federal Register · Notice · Feb 18, 1998

of 1934 (``Exchange Act'') \4\ and Rule 17ab2-1 thereunder.\5\ Notice of MGT-Brussels' application was published in the Federal Register on May 15, 1997.\6\ Six comment letters were received in response … which includes a procedure to solicit public comment on proposed rule changes.

Proposed Amendment to Rule 102(e) of the Commission's Rules of Practice

Federal Register · Proposed Rule · Jun 18, 1998

DATES: Comments must be received on or before July 20, 1998. ADDRESSES: Submit comments in triplicate to Jonathan G. … Compagnie Nationale Air France, 78 F.3d 664, 668 (D.C. Cir. 1996), citing Farmer v. Brennan, 511 U.S. 825, 836-37 (1994); see generally W.

Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Modify the NYSE American Options Fee Schedule To Modify the Market Maker Sliding Scale Qualification Tiers and Amend the Floor Broker Fixed Cost Prepayment Incentive Program

Federal Register · Notice · Jan 28, 2026

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. … rule-comments@sec.gov.

Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Rent Cabinet Space to Telecommunication Vendors in the Exchange's Backup Datacenter

Federal Register · Notice · Dec 27, 2013

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. … rule-comments@sec.gov.

Self-Regulatory Organizations; MEMX LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend and Restate the Limited Liability Company Agreement of MEMX Holdings LLC

Federal Register · Notice · Apr 3, 2023

Clean-Up Amendments Lastly, the proposal would make various non-substantive “clean-up” amendments throughout the Holdco LLC Agreement to correct minor drafting errors, update section references ( i.e … 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

Securities and Exchange Commission

Agency decision · Agency decision

Not a single commenter clearly objected to expanded tax disclosures.” … Public companies must follow the new FASB standard for annual periods beginning after Dec. 15, 2024 (for calendar-year companies, this means in their 2025 10-Ks).

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

Federal Register · Uncategorized Document · May 13, 1994

SECURITIES AND EXCHANGE COMMISSION [Release No. 35-26047] Filings Under the Public Utility Holding Company Act of 1935 (``Act'') May 6, 1994. … `LLC Act'') or a limited partnership under the Pennsylvania or Delaware Revised Uniform Limited Partnership Act.

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

Federal Register · Notice · May 7, 2004

Act Release No. 27456 and collectively, “Prior Orders”), the Commission authorized IP&L to: (1) Issue and sell through June 30, 2004 (“Prior Authorization Period”), in one or more series, any combination … June 30, 2007 (“Authorization Period”).

Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Fees for Optional Wireless Connectivity for Co-located Clients

Federal Register · Notice · Sep 23, 2014

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

Markman MultiFund Trust, et al; Notice of Application

Federal Register · Notice · Jul 30, 2001

and 17(b) of the Act for an exemption from section 17(a) of the Act. … Section 6(c) of the Act permits the Commission to exempt any person or transactions from any provisions of the Air if such exemption is necessary or appropriate in the public interest and consistent with

SECURITIES AND EXCHANGE COMMISSION

Agency decision · Agency decision

PERF sells computer cleaning products and accessories. 8 5 0 1 WILSHIRE BOULEVARD SUITE 215 BEVERLY HILLS CALIFORNIA 90211 310.358.2330 F 310.358.2344 Catherine McGuire Martin Dunn Jack Murphy … Furthermore, the costs of compliance with the record keeping and periodic reporting requirements would far outweigh any benefits.

CLEARY GOTTLIEB STEEN & HAMILTON LLP

Agency decision · Agency decision

Release No. 8591, Exchange Act Release No. 52,056, Investment Company Act Release No. 26,993, 70 Fed. … Citigroup regained WKSI status in late 2013 at the end of the three-year period specified in Securities Act Rule 405.