Documents

RESPONSE OF THE OFFICE OF

Agency decision · Agency decision

Act. … Owner will provide its review and comments on the Initial Plans within ten (10) business days after receipt of the Initial Plans.

Self-Regulatory Organizations; Nasdaq GEMX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule General 8 Section 1 Related to Co-Location Services

Federal Register · Notice · Feb 2, 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

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Agency decision · Agency decision

D.C. 20549 February 25 , 1997 VIA FACSIMILE AND AIR MAIL Mr. … On July 27, 1995, the SEC proposed for pUblic comment amendments to Rule 17f-5 that would, among other things, amend the definition of "eligible foreign custodian."

Case: 13-4385

Agency decision · Agency decision

Refco, Inc., 198 F.3d 37 (2d Cir. 1999) ...................................................17 In re Air Cargo Shipping Servs. … See In re Air Cargo Shipping Servs.

SEC.gov

Agency decision · Agency decision

Exchange Act Release No. 58775, 73 FR at 61699. … See Exchange Act Release No. 60388, 74 FR at 38277-78. The thirty-five calendar day close out period expires once the deemed to own security has actually been delivered.

SECURITIES AND EXCHANGE COMMISSION

Agency decision · Agency decision

Perres, Exchange Act Release No. 79858, 2017 WL 280080, at *4 (Jan. 23, 2017) (holding that violations that persisted “over a two-year period [are] recurrent—not isolated—misconduct”). 39 See, e.g., Navellier … SEC, 45 F.3d 1515, 1519 (11th Cir. 1995); Air Prods. & Chems., Inc. v. FERC, 650 F.2d 687, 709–10 (5th Cir. 1981). 53 2001).

UNITED STATES RULE l if -ÇC~'; J(/ / I

Agency decision · Agency decision

ACT X(l/I ~40 SEION UNITED STATES RULE l if -ÇC~'; J(/ / I . I t SECURITIES AND EXCHANGE =MMJSSION PULIC .... ~ WASHINGTON. … System development syste To facilta~.w-iodel, a new software is being develope by Andersen Consulting aecording to HonE-kong Clean~'~Jequirements.

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

Federal Register · Notice · Feb 15, 1996

[[Page 6046]] SECURITIES AND EXCHANGE COMMISSION [Release No. 35-26470] Filings Under the Public Utility Holding Company Act of 1935, as Amended (``Act'') February 9, 1996. … Interested persons wishing to comment or request a hearing on the application(s) and/or declaration(s) should submit their views in writing by March 4, 1996, to the Secretary, Securities and Exchange Commission

Registration and Regulation of Security-Based Swap Execution Facilities

Federal Register · Proposed Rule · Feb 28, 2011

Proposed Rule 806(c)(2) would require the Commission to provide a 30-day public comment period within the 90-day period that the stay is in effect and to publish a notice of the 30-day comment period on … Proposed Rule 807(c) would require the Commission to provide a 30-day public comment period within the 90-day period that the stay is in effect and to publish a notice of the 30-day comment period on the

Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, To Adopt Rules To List and Trade FLEX Options

Federal Register · Notice · Nov 29, 2024

However, ISE will file a clean-up amendment so that subparagraph (5) will refer instead to Complex Options Orders. This clean-up will align ISE's rule to MRX Options 3, Section 15(a)(1)(C). … 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

SECURITIES AND EXCHANGE COMMISSION

Agency decision · Agency decision

Ingersoll-Rand Ingersoll-Rand, along with its consolidated subsidiaries, is a diversified, global company that provides products, services and solutions to enhance the quality and comfort of air in homes … upon are, among other things: The Companies Act contains numerous separate enactments implemented over a 50-year period and is due to be consolidated into a single piece oflegislation, the Companies

Conflict Minerals

Federal Register · Rule · Sep 12, 2012

the comment period). … At the end of the letter, the commentator describes itself as a “research, advisory and consulting firm focusing on clean tech, alternative energy and corporate sustainability.”

UNITED STATES DISTRICT COURT

Agency decision · Agency decision

During the Relevant Period, Delgado managed and controlled Goliath. … space for Goliath and donated approximately $4 million of investor Funds to charitable organizations so that Goliath could promote its purported investment opportunity through sponsorships and convey an air

Conformed to Federal Register version and consolidated with correction 34-97990A

Agency decision · Agency decision

The proposed retention periods also conform to existing retention periods for brokerdealers and investment advisers. … If records should be preserved for different periods of time, which records should have different time periods and what should those periods of time be? 90.

SECURITIES AND EXCHANGE COMMIS~WIP?

Agency decision · Agency decision

The Timing of the Subsequent Offering Period and Prompt Payment Thereunder Pursuant to Rule 14d-11 under the Exchange Act, offerors may elect to provide a Subsequent Offering Period of from three U.S. … Offer for lnnogy Holdings plc (available March 22, 2002); Schlumberger Limited Offer for Sema plc (available July 2, 2001); Amerada Hess Corporation Offer for LASMO plc (available December 13, 2000); and Air

Enhancement of Emerging Growth Company Accommodations and Simplification of Filer Status for Reporting Companies

Federal Register · Proposed Rule · May 21, 2026

Request for Comment VI. Congressional Review Act VII. Initial Regulatory Flexibility Act Analysis A. Reasons for, and Objectives of, the Proposed Action B. Legal Basis C. … Unresolved Staff Comments In an annual report, if the registrant has received written comments from the Commission staff regarding its periodic reports under the Exchange Act not less than 180 days before

Disclosure of Order Execution Information

Federal Register · Proposed Rule · Jan 20, 2023

Paperwork Reduction Act A. Summary of Collection of Information B. Proposed Use of Information C. Respondents D. Total PRA Burdens E. Request for Comment VII. Economic Analysis A. … If not, what grace period do commenters think would be appropriate? Would one month be sufficient in this context?

SECURITIES AND EXCHANGE COMMISSION

Agency decision · Agency decision

of the Offers does not exceed 40% of the average daily trading volume of Common Shares on a worldwide basis for the same period; 2 iii. … Based upon the foregoing, and subject to the assumptions and qualifications herein contained, we are of the opinion that, as of the date hereof: Buenos Aires Caracas Guadalajara Juarez Lima Mexico City

Conformed to Federal Register Version

Agency decision · Agency decision

Unresolved Staff Comments In an annual report, if the registrant has received written comments from the Commission staff regarding its periodic reports under the Exchange Act not less than 180 days before … If the registrant has received written comments from the Commission staff regarding its periodic or current reports under the Act not less than 180 days before the end of its fiscal year to which the annual

Public Company Accounting Oversight Board; Notice of Filing of Proposed Rules on Auditing Accounting Estimates, Including Fair Value Measurements, and Amendments to PCAOB Auditing Standards

Federal Register · Notice · Apr 4, 2019

It may only come into question if a `clean' audit report is followed by the collapse of the company.” … of Title I of the Act.