Documents

Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Amendment No. 2 to a Proposed Rule Change To List and Trade Shares of the Grayscale Solana Trust Under NYSE Arca Rule 8.201-E (Commodity-Based Trust Shares)

Federal Register · Notice · Aug 19, 2025

Comments received on the proposed rule change are available at: https://www.sec.gov/comments/sr-nysearca-2025-06/srnysearca202506.htm. … Comments may be submitted by any of the following methods: Electronic Comments • Use the Commission's internet comment form ( https://www.sec.gov/rules/sro.shtml ); or • Send an email to rule-comments

CLEARY GOTTLIEB STEEN & HAMILTON LLP

Agency decision · Agency decision

.- MILAN - HONG KONG BEIJING - BUENOS AIRES . SAO PAULO . ABU DHABI . … More specifically, the findings here are unrelated to and do not call into question Citigroup's ability to have produced reliable Exchange Act disclosures during the Relevant Period or its ability to produce

Case 3:26-cv-01846-B

Agency decision · Agency decision

In a webinar that aired on or about December 22, 2022, PAH, through Nelson, stated: “In 2022, we paid out to our investors an annualized average distribution of a little bit over 12%.” … Throughout the Relevant Period, Nelson exercised control over PAH, was acting within the scope of his authority to direct the consulting firm on behalf of PAH, and directed the consulting firm to make

UNITED STATES COURT OF APPEALS

Agency decision · Agency decision

ARGUMENT Both the Securities Act and the Exchange Act define “security” as including an “investment contract.” … See also In re Abbondante, 1934 Act Rel.

Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Amendment No. 2 to a Proposed Rule Change To List and Trade Shares of the Grayscale Ethereum Trust

Federal Register · Notice · May 29, 2024

The proposed rule change was published for comment in the Federal Register on October 27, 2023. 3 On December 5, 2023, pursuant to Section 19(b)(2) of the Act, 4 the Commission designated … Comments may be submitted by any of the following methods: Electronic Comments • Use the Commission's internet comment form ( https://www.sec.gov/rules/sro.shtml ); or • Send an email to rule-comments

Self-Regulatory Organizations; NYSE Arca, Inc.; Order Disapproving a Proposed Rule Change, as Modified by Amendment No. 1, Relating to the Listing and Trading of Shares of the Bitwise Bitcoin ETF Trust Under NYSE Arca Rule 8.201-E

Federal Register · Notice · Oct 16, 2019

The Sponsor asserts that while Huobi might have taken action to clean up wash trading after the Sponsor's initial analysis became public, that “view is challenged” because Huobi's reported trade volume … did not meaningfully drop during that time period.

UNITED STATES COURT OF APPEALS

Agency decision · Agency decision

Although Safe Air for Everyone v. … See, e.g., Comment of Richard H.

UCB S.A.: No

Agency decision · Agency decision

The Subsequent Offer Period and Rule 14d-11 Pursuant to Rule 14d-11 under the Exchange Act, offerors may elect to provide a Subsequent Offering Period of from three U.S. business days to 20 U.S. business … Securities Act.

UCB S.A. : No Action, Interpretive and/or Exemptive Letter of May 19, 2004

Agency decision · Agency decision

The Subsequent Offer Period and Rule 14d-11 Pursuant to Rule 14d-11 under the Exchange Act, offerors may elect to provide a Subsequent Offering Period of from three U.S. business days to 20 U.S. business … Act.

Prohibition Against Conflicts of Interest in Certain Securitizations

Federal Register · Proposed Rule · Sep 28, 2011

Please comment upon the types of risk that are hedged during the warehouse period ( e.g., credit risk, basis risk, default risk, etc. ) as well as the types of instruments used to hedge ( e.g., … incentives during the prohibited time period as required under the statute.

SERENA Software, Inc.: No Action, Interpretive and/or Exemptive Letter of April 13, 2004

Agency decision · Agency decision

Companies Act 1985 (the "Companies Act") as it is required to do pursuant to the Companies Act. … is consistent with Re: Air Products and Chemicals, Inc. and L'Air Liquide S.A.

Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend its Fees Schedule To Make Changes in Connection With the Fees Related to Certain Orders Executed in Automated Improvement Mechanism Auctions, Amend the Customer Volume Incentive Program and Affiliated Volume Plan, and Amend the Cboe Options Historical Depth Description

Federal Register · Notice · May 14, 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. … Comments may be submitted by any of the following methods: Electronic Comments • Use the Commission's internet comment form ( https://www.sec.gov/rules/sro.shtml ); or • Send an email to rule-comments

Tailored Shareholder Reports, Treatment of Annual Prospectus Updates for Existing Investors, and Improved Fee and Risk Disclosure for Mutual Funds and Exchange-Traded Funds; Fee Information in Investment Company Advertisements

Federal Register · Proposed Rule · Nov 5, 2020

period? … Investors purchasing and selling clean shares may be required to pay a commission to a broker.

SECURITIES AND EXCHANGE COMMISSION

Agency decision · Agency decision

Act Release No. 52,065, Investment CQmpany Act Release No. 26,993, 70 Fed. … various provision~ tl.l ~1tsurc that ll&PIDC personnel comply with all applicable environmental stntutcs. regulations, and permits under applicable fcdcrnl and slate law, including but not limited to, the Clean

Conformed to Federal Register Version

Agency decision · Agency decision

The comment period for the Proposing Release was open for 60 days, and we do not believe an extension of the comment period is necessary. … period of time, changing the CCC upon enrollment represents a clean start, and assures that someone who possesses the legacy CCC but is not authorized by the filer at or after enrollment could not continue

AMENDED PETITION FOR RULEMAKING

Agency decision · Agency decision

(comments from ExxonMobil, NAM, Garmin, and U.S. … Commonwealth Equity Servs., LLC, 133 F.4th 152, 167 (1st Cir. 2025) (cleaned up).

William A. Groll, Esq.

Agency decision · Agency decision

Products and Chemicds, Inc-. mid I, ’Air Liquide S.A. … any subsequent offering period.

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

Federal Register · Notice · May 16, 1997

SECURITIES AND EXCHANGE COMMISSION [Release No. 35-26717] Filings Under the Public Utility Holding Company Act of 1935, as Amended (``Act'') May 9, 1997. … Interested persons wishing to comment or request a hearing on the application(s) and/or declaration(s) should submit their views in writing by June 2, 1997, to the Secretary, Securities and Exchange Commission

Initial Decision Release No. 1416

Agency decision · Agency decision

Nano Magic—which specializes in nanotechnology-powered cleaning products—had its trading suspended from May 1, 2020, until May 14, 2020, on these grounds. … During the 10-day suspension period, Nano Magic’s only recourse from the trading suspension and the collateral consequences that could last for years was to file a Rule 550 petition.

SECURITIES AND EXCHANGE COMMISSION

Agency decision · Agency decision

PADLA ST LAWAEC NEW YORK ROME KERNETH L BACHMAN DANIEL B RIC LV PARIS MILAN HINDS RICBARD BE SARA D EBHOTL-ARD WILLIAM B M GURN III HONG KONG BRUSSELS JHN S MASSEY JAREVT BEIJING LONDON BUENOS AIRES … If BAC is deemed an ineligible issuer, BAC would be precluded, for a period of three years from entry of the Order, from qualifying as a WKSI and benefiting from automatic shelf registration and other