Documents

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Agency decision · Agency decision

No. 96-423-CC RESPONSE OF THE OFFICE OF CHIEF COUNSEL ITT Hartford Mutual Funds DIVISION OF INVESTMENT MANAGEMENT File No. 811-7589 Your letter of October 25, 1996 requests assurance that the staff would … Washington, DC 20549 Rule 482 under the Securities Act of1933 Rule 34b- 1 under the Investment Company Act of 1940 Re: ITT Hartford Mutual Funds, Inc.

Securities Uniformity; Annual Conference on Uniformity of Securities Law

Federal Register · Uncategorized Document · Mar 30, 1994

Market 2000 In January 1994, the Division completed a major study of the structure of the U.S. equity markets and the regulatory environment in which our markets operate. … that practice, and whether steps should be taken to curb the practice. --------------------------------------------------------------------------- \12\Investment Adviser Oversight Act of 1993, S. 423

Covered Investment Fund Research Reports

Federal Register · Rule · Dec 13, 2018

Approximately one-third of U.S. corporate equity issues, one-quarter of U.S. municipal securities, one-fifth of corporate debt, one-fifth of U.S. commercial paper, and one-tenth of U.S. treasury and agency … business or small organization. 422 As of December 31, 2017, the Commission estimates that there were approximately 1,043 broker-dealers that would be considered small entities as defined above. 423

Division of Investment Management

Agency decision · Agency decision

Non-U.S. Individuals Non-Profits State/Muni. Govt. Entities State/Muni. Govt. Pension Plans U.S. … Non-U.S. Individuals Non-Profits State/Muni. Govt. Entities State/Muni. Govt. Pension Plans U.S.

Division of Investment Management

Agency decision · Agency decision

Analytics Office Annual Registered Investment Company Update Form N-CEN Data, period ending December 2025 This is a report of the Staff of the Division of Investment Management’s Analytics Office of the U.S … 335 280 346 67 160 2024 2,813 2,067 1,726 2,029 1,814 1,530 914 669 575 423 482 298 347 198 172 2025 3,009 2,443 2,378 2,058 1,995 1,349 782 640 614 513 503 385 283 219 194 Table 6.27: Aggregate ATNA

Division of Investment Management

Agency decision · Agency decision

Non-U.S. Individuals Non-Profits State/Muni. Govt. Entities State/Muni. Govt. Pension Plans U.S. … Non-U.S. Individuals Non-Profits State/Muni. Govt. Entities State/Muni. Govt. Pension Plans U.S.

U.S. Securities and Exchange Commission

Agency decision · Agency decision

Non-U.S. Individuals Non-Profts State/Muni. Govt. Entities State/Muni. Govt. Pension Plans U.S. … Non-U.S. Individuals Non-Profts State/Muni. Govt. Entities State/Muni. Govt. Pension Plans U.S.

Division of Investment Management

Agency decision · Agency decision

Non-U.S. Individuals State/Muni. Govt. Entities Non-Profits U.S. Individuals State/Muni. Govt. … Non-U.S. Individuals State/Muni. Govt. Entities Non-Profits U.S. Individuals State/Muni. Govt.

Division of Investment Management

Agency decision · Agency decision

Unknown Non-U.S. … Unknown Non-U.S.

No-Action Letter: Department of Labor (October 26, 2011)

Agency decision · Agency decision

Incoming Letters U.S. Department of Labor, Employee Benefits Security Administration Final Rule: Fiduciary Requirements for Disclosure in Participant-Directed Individual Account Plans , U.S. … Department of Labor, Employee Benefits Security Administration (75 FR 64910) Final Rule: Requirements for Fee Disclosure to Plan Fiduciaries and Participants � Applicability Dates , U.S.

Division of Investment Management

Agency decision · Agency decision

Entities Non-U.S. Individuals State/Muni. Govt. Pension Plans U.S. … Entities Non-U.S. Individuals State/Muni. Govt. Pension Plans U.S.

Division of Investment Management

Agency decision · Agency decision

Unknown Non-U.S. … Unknown Non-U.S.

Self-Regulatory Organizations; Notice of Filing and Order Granting Accelerated Approval to a Proposed Rule Change and Amendment No. 1 Thereto by the Cincinnati Stock Exchange Relating to Shareholder Approval of Equity Compensation Plans

Federal Register · Notice · Nov 7, 2003

An equity compensation plan that provides non-U.S. employees with substantially the same benefits as a comparable Section 401(a) plan, Section 423 plan or parallel excess plan that the listed company provides … . employees with substantially the same benefits as a comparable Section 401(a) plan, Section 423 plan or parallel excess plan that the listed company provides to its U.S. employees, but for features necessary

Self-Regulatory Organizations; Notice of Filing of a Proposed Rule Change and Amendment Nos. 1 and 2 Thereto and Order Granting Accelerated Approval to a Proposed Rule Change and Amendment Nos. 1 and 2 Thereto by the Boston Stock Exchange, Inc. Relating to Shareholder Approval of Equity Compensation Plans

Federal Register · Notice · Nov 7, 2003

An equity-compensation plan that provides non-U.S. employees with substantially the same benefits as a comparable Section 401(a) plan, Section 423 plan or parallel excess plan that the listed company provides … . employees with substantially the same benefits as a comparable Section 401(a) plan, Section 423 plan or parallel excess plan that the listed company provides to its U.S. employees, but for features necessary

IN THE UNITED STATES COURT OF APPEALS

Agency decision · Agency decision

Provident Securities Co., 423 U.S. 232, 252 (1976) (quoting Bershad v. McDonough, 428 F.2d at 696). See also Gollust v. Mendell, 501 U.S. 115, 122 (1991); Reliance Electric Co. v. … Provident Securities Co., 423 U.S. at 252. See also Gollust v. Mendell, 501 U.S. at 122; H.R. Rep. No. 1383, 73d Cong., 2d Sess. 13 (1934).

No-Action Letter: American Retirement Association (February 18, 2015)

Agency decision · Agency decision

No. 2012127934 File No. 132-3 In the Staff No-Action Letter to the U.S. … Related Letter Staff Letter (Securities Act of 1933 — Rule 482) , November 16, 2015 http://www.sec.gov/divisions/investment/noaction/2015/american-retirement-sssociation-021815-482.htm Home

Self-Regulatory Organizations; Notice of Filing and Order Granting Accelerated Approval to a Proposed Rule Change by the Pacific Exchange, Inc. Relating to its Shareholder Approval Policy for Its Listed Companies Regarding Stock Option Plans and Other Equity Compensation Arrangements

Federal Register · Notice · Nov 7, 2003

(iv) An equity compensation plan that provides non-U.S. employees with substantially the same benefits as a comparable Section 401(a) plan, Section 423 plan or parallel excess plan that the listed company … . employees with substantially the same benefits as a comparable Section 401(a) plan, Section 423 plan or parallel excess plan that the listed company provides to its U.S. employees, but for features necessary

Adoption of Updated EDGAR Filer Manual

Federal Register · Rule · Jan 20, 2000

• 497AD —Prospectus filed by certain investment companies under Rule 482  6 (482 ads). 7 Filers who are required to file 482 ads with us in accordance with Rule 497 and the NOTE … The January 24, 2000 edition of the EDGAR Filer Manual: Guide for Electronic Filing with the U.S.

Covered Investment Fund Research Reports

Federal Register · Proposed Rule · Jun 8, 2018

(“non-482 performance information”)?  … Approximately one-third of U.S. corporate equity issues, one-quarter of U.S. municipal securities, one-fifth of corporate debt, one-fifth of U.S. commercial paper, and one-tenth of U.S. treasury and agency

Investment Company Advertising: Target Date Retirement Fund Names and Marketing

Federal Register · Proposed Rule · Jun 23, 2010

Bovbjerg, Director, Education, Workforce, and Income Security, United States Government Accountability Office, before the U.S. … Securities and Exchange Commission and the U.S.