Documents

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.

Conformed to Federal Register Version

Agency decision · Agency decision

an estimate that, as of December 31, 2019, nearly 300 funds included the terms “ESG,” “clean,” “environmental,” “impact,” “responsible,” “social” or “sustainable” in their names); Morningstar Comment … We request comment on the proposed transition period. 97. Do commenters agree that a one-year transition period provides time for funds to come into compliance with the proposed names rule?

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.

Procedural Requirements and Resubmission Thresholds Under Exchange Act Rule 14a-8

Federal Register · Proposed Rule · Dec 4, 2019

Request for Comment VII. Small Business Regulatory Enforcement Fairness Act VIII. Statutory Authority I. Introduction A. … Paperwork Reduction Act A.

Investment Adviser Marketing

Federal Register · Rule · Mar 5, 2021

While we had proposed a one-year transition period, two commenters requested a longer transition period to prepare for the new rule's requirements. 838 One of these commenters argued that a two-year … Cain, et al., The Dirt on Coming Clean: Perverse Effects of Disclosing Conflicts of Interest, 34 J. L.

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

Federal Register · Notice · Feb 11, 2000

Interested persons wishing to comment or request a hearing on the applications(s) and/or declaration(s) should submit their views in writing by February 28, 2000, to the Secretary, Securities and Exchange … Capstone designs, fabricates and markets an air-bearing based microturbine that is capable of using various fuels to generate electric power.

Attorney for Plaintiff

Agency decision · Agency decision

Accordingly, during the Relevant Period, Defendants acted as investment advisers to the Funds within the meaning of Section 202(a)(11) of the Advisers Act, 15 U.S.C. § 80b2(a)(11), because they were persons … Document 1 Filed 04/24/26 Page 16 of 46 Another employee commented that, as was often the case, Lucas avoided her when she tried to raise the issue. 4. 65.

EDGAR Filer Access and Account Management

Federal Register · Rule · Dec 27, 2024

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. … Further, for filers that have not reset their CCC for some 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

UNITED STATES COURT OF APPEALS

Agency decision · Agency decision

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

Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change To List and Trade Shares of the KFA Global Carbon ETF Under NYSE Arca Rule 8.600-E

Federal Register · Notice · Aug 29, 2019

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 … All comments received will be posted without change. Persons submitting comments are cautioned that we do not redact or edit personal identifying information from comment submissions.

Investment Company Names

Federal Register · Proposed Rule · Jun 17, 2022

estimate that, as of December 31, 2019, nearly 300 funds included the terms “ESG,” “clean,” “environmental,” “impact,” “responsible,” “social” or “sustainable” in their names); Morningstar Comment Letter … We request comment on the proposed transition period. 97. Do commenters agree that a one-year transition period provides time for funds to come into compliance with the proposed names rule?

William A. Groll, Esq.

Agency decision · Agency decision

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

Self-Regulatory Organizations; Fixed Income Clearing Corporation; Order Approving Proposed Rule Change To Amend the Rules Regarding the GCF Repo Service To Adopt Changes Recommended by the Tri-Party Repo Infrastructure Reform Task Force

Federal Register · Notice · Aug 14, 2012

of 1934 (“Act”). 1 The proposed rule change was published for comment in the Federal Register on June 26, 2012. 2 The Commission received no comment letters. … Other Rule Changes FICC is also making technical clean-up changes to Section 7 of GSD Rule 20, which relate to the GCF Repo collateral process.

MLX Corporation; Notice of Application

Federal Register · Notice · Dec 15, 1997

On May 19, 1997, MLX was granted an order (the ``Existing Order'') exempting it from most of the provisions of the Act during the period from the date of the Existing Order to December 31, 1997.\1\ However … During the period of time MLX is exempted from registration under the Act, MLX will not purchase or otherwise acquire any additional securities other than securities that are rated investment grade or

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

Framework for Enhancing the Quality of Financial Information Through Improvement of Oversight of the Auditing Process

Federal Register · Proposed Rule · Jul 5, 2002

On occasion, firms have received “clean” peer review reports despite well-publicized problems within a firm. … If a different period is appropriate, what period should it be? We solicit comment on allowing a small number of accountants to be on a PAB.

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

Federal Register · Notice · Aug 30, 1999

and rules 43 and 46 under the Act. … and rule 54 under the Act.

Procedural Requirements and Resubmission Thresholds Under Exchange Act Rule 14a-8

Federal Register · Rule · Nov 4, 2020

Several commenters offered views that were specific to the proposed holding periods. … the Preliminary Staff Analysis was added to the comment file after the comment period closed in February 2020.

Administration of the Electronic Data Gathering, Analysis, and Retrieval System

Federal Register · Rule · Feb 3, 2021

of the Securities Exchange Act of 1934 (“Exchange Act”), and Section 2(c) of the Investment Company Act of 1940 (“Investment Company Act”) require us, when engaging in rulemaking that requires us to consider … threats, there may be benefits to the users of EDGAR. 36 In particular, users, including investors, analysts, asset managers, and data collection companies, may incur fewer costs associated with cleaning

Broker-Dealer Reports

Federal Register · Proposed Rule · Jun 27, 2011

The Commission generally requests comment on the proposed compliance date and transition period. … In addition, the Commission requests comment on the following questions: • Will the proposed compliance date and transition period for the Annual Reporting Amendments provide sufficient time for broker-dealers