undertaking letter sample

1886 results for undertaking letter sample

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  • Crowdfunding

    The Securities and Exchange Commission is adopting new Regulation under the Securities Act of 1933 and the Securities Exchange Act of 1934 to implement the requirements of Title III of the Jumpstart Our Business Startups Act. Regulation prescribes rules governing the offer and sale of securities under new Section 4(a)(6) of the Securities Act of 1933. Regulation also provides a framework for...

    ... III of the JOBS Act.\14\ We received over 485 comment letters on the Proposing Release, including from professional and trade ... with what the Commission adopted for issuers undertaking Tier 1 offerings under Regulation A.\371\ We believe the benefits ...(suggesting the Commission provide prototypes of Form C and sample disclosures); RocketHub (seeking a simple, standardized general ...

  • Crowdfunding

    The Securities and Exchange Commission is proposing for comment new Regulation under the Securities Act of 1933 and the Securities Exchange Act of 1934 to implement the requirements of Title III of the Jumpstart Our Business Startups Act. Regulation would prescribe rules governing the offer and sale of securities under new Section 4(a)(6) of the Securities Act of 1933. The proposal also would...

    ... \2\ See Stephenson Letter; Richard Waters, Startups seek the `wisdom of crowds,' Financial ... association of which it is a member, this written undertaking, signed by a duly authorized representative of the third party. ... banks are not lending enough to small businesses as the sample period of the study includes the most recent recession. \835\ ...

  • Regulation Systems Compliance and Integrity

    The Securities and Exchange Commission (``Commission'') is adopting new (``Regulation SCI'') under the Securities Exchange Act of 1934 (``Exchange Act'') and conforming amendments to Regulation ATS under the Exchange Act. Regulation SCI will apply to certain self-regulatory organizations (including registered clearing agencies), alternative trading systems (``ATSs''), plan processors, and exempt

    ... portions of the SCI Proposal, and references in comment letters, this Release will continue to use the terms ARP, ARP Inspection ... determine, for example, the duration of the testing, the sample size of transactions tested, the scenarios tested, and the scope ... and its representatives by submitting a written undertaking, in a form acceptable to the Commission, by such service bureau ...

  • Regulation Systems Compliance and Integrity

    The Securities and Exchange Commission (``Commission'') is proposing (``Regulation SCI'') under the Securities Exchange Act of 1934 (``Exchange Act'') and conforming amendments to Regulation ATS under the Exchange Act. Proposed Regulation SCI would apply to certain self-regulatory organizations (including registered clearing agencies), alternative trading systems (``ATSs''), plan processors, and

    ...All comment letters should refer to File No. S7-01-13. This file number should be ... determine, for example, the duration of the testing, the sample size of transactions tested, the scenarios tested, and the scope ... and its representatives by submitting a written undertaking, in a form acceptable to the Commission, by such service bureau ...

  • If you request copyright permissions on a regular basis, consider creating a standard permissions form: developing your own permissions letter will ensure completeness in your requests.

    .... Checklist for Your Standard Permissions Letter . Figure 1 is one sample for you to review. By undertaking an Internet search, you will come across a variety of sample ...

  • Rep. Mac Thornberry Holds a Markup On the National Defense Authorization Act for F.Y. 2016

    ... the member before he or she offers the amendment, have a letter from the respected committee Chairman indicating their waiver of ..., you know, when you look at the language here and I've sampled like the previous gentleman that spoke, Mr. Russell, I spent 29 ... B61 in Europe, which is going to be very expensive undertaking. It's about $10 to $12 billion dollars in a life extension ...

  • Recordkeeping and Reporting Requirements for Security-Based Swap Dealers, Major Security-Based Swap Participants, and Broker-Dealers; Capital Rule for Certain Security-Based Swap Dealers

    In accordance with the Dodd-Frank Wall Street Reform and Consumer Protection Act (``Dodd-Frank Act''), the Securities and Exchange Commission (``Commission''), pursuant to the Securities Exchange Act of 1934 (``Exchange Act''), is proposing recordkeeping, reporting, and notification requirements applicable to security-based swap dealers (``SBSDs'') and major security-based swap participants (``MSB

    ... to disclose to the special entity that it is not undertaking to act in the best interest of the special entity as otherwise ...In response, the Commission staff issued a no-action letter stating that the staff would not recommend enforcement action to ... for index credit default swaps was $16.8 trillion over the sample period of January 1, 2011 through December 31, 2011. For the same ...

  • Electric Power Generation, Transmission, and Distribution; Electrical Protective Equipment

    OSHA last issued rules for the construction of transmission and distribution installations in 1972. Those provisions are now out of date and inconsistent with the more recently promulgated general industry standard covering the operation and maintenance of electric power generation, transmission, and distribution lines and equipment. OSHA is revising the construction standard to make it more...

    ...Such tests are performed only on equipment samples that are to be discarded. Paragraph (a)(2)(iv), which is ... maintenance and has provided clarification in numerous letters of interpretation, including the Agency's Memorandum for Regional ... rulemaking participants noted that IEEE and NFPA are undertaking a joint research effort to address issues related to methods of ...

  • Nationally Recognized Statistical Rating Organizations

    In accordance with the Dodd-Frank Wall Street Reform and Consumer Protection Act (``Dodd-Frank Act'') and to enhance oversight, the Securities and Exchange Commission (``Commission'') is: adopting amendments to existing rules and new rules that apply to credit rating agencies registered with the Commission as (``NRSROs''); adopting a new rule and form that apply to providers of third-party due...

    ... of NRSROs.\7\ The Commission received a number of comment letters in response to the proposals.\8\ The comments on specific ...Fin. 1293-. 1328 (2012). The authors analyze a sample of 916 CDOs and find that a large credit rating agency frequently ... by commenters may be helpful to the Commission in undertaking the analysis of whether a particular NRSRO should be considered ...

  • Control of Air Pollution From Motor Vehicles: Tier 3 Motor Vehicle Emission and Fuel Standards

    This action establishes more stringent vehicle emissions standards and will reduce the sulfur content of gasoline beginning in 2017, as part of a systems approach to addressing the impacts of motor vehicles and fuels on air quality and public health. The gasoline sulfur standard will make emission control systems more effective for both existing and new vehicles, and will enable more stringent...

    ... the Water-Gas-Shift Reaction Over Pd/Ceria.'' Catalysis Letters, 85, Issues 3-4, pg. 139-146. \282\ Li-Dun, A., Quan, D.Y. ... The study sample described in this analysis consisted of 93 cars and light trucks ...EPA is undertaking a study to better characterize the causes and frequency of such ...

  • Joint Industry Plans; Order Approving the National Market System Plan To Implement a Tick Size Pilot Program by BATS Exchange, Inc., BATS Y-Exchange, Inc., Chicago Stock Exchange, Inc., EDGA Exchange, Inc., EDGX Exchange, Inc., Financial Industry Regulatory Authority, Inc., NASDAQ OMX BX, Inc., NASDAQ OMX PHLX LLC, The Nasdaq Stock Market LLC, New York Stock Exchange LLC, NYSE MKT LLC, and NYSE Arca, Inc., as Modified by the Commission, for a Two-Year Period

    ... November 7, 2014.\5\ The Commission received 77 comment letters in response to the NMS plan.\6\ On. Page 27515. February 26, ..., and would provide the Tick Size Pilot with a broad sample. However, in response to the comments received, the Commission ...(B) Compliance Undertaking. By subscribing to and submitting the Plan for approval by ...

  • 17 CFR 140.99 - Requests for exemptive, no-action and interpretative letters.

    ...(name and title). and(ii) An undertaking made by the person on whose behalf the Letter is sought or by that person's authorized ...Citation of a representative sample of prior Letters is sufficient where a comprehensive recitation of prior Letters on a given topic ...

  • Severity, Employment, and Gender: Factors Influencing Independence for Adults with Multiple Sclerosis

    Based on a sample drawn from the NARCOMS Registry (a national multiple sclerosis research project) and four National Multiple Sclerosis Chapters (N = 3,781), this study examined the impact of severity of multiple sclerosis (MS), employment status, and gender on home and community functioning and confidence in ability to maintain an independent living status. Results from MANOVA analyses indicated that...

  • Control of Air Pollution From Motor Vehicles: Tier 3 Motor Vehicle Emission and Fuel Standards

    This action would establish more stringent vehicle emissions standards and reduce the sulfur content of gasoline beginning in 2017, as part of a systems approach to addressing the impacts of motor vehicles and fuels on air quality and public health. The proposed gasoline sulfur standard would make emission control systems more effective for both existing and new vehicles, and would enable more...

    ... \13\ Letter to EPA Administrator Jackson, with white paper, from Alliance of ... The study sample described in this analysis consisted of 81 cars and light trucks ... will greatly reduce the likelihood of a laboratory undertaking important measurements without some assurance that the instrument ...

  • Administering Social Security: Challenges Yesterday and Today

    During its 75-year history, the Social Security Administration (SSA) has faced many administrative challenges. This article depicts some of those challenges—involving legislative demands, staffing and workloads, infrastructure and technology, logistics and procedures, emergency response operations, and other matters—and the steps that SSA has taken to deal with them.

    ... organization of which the employee was a member, to the letter carrier, or to the post office by hand or via mail (Wyatt and ... outlined the procedure for assigning SSNs and carried sample Forms SS-4 and SS-5, as well as a Social Security card specimen. ...Training was a major undertaking. How could SSA give its entire direct-service staff a 2-week ...

  • Amendments for Small and Additional Issues Exemptions Under the Securities Act (Regulation A)

    We are adopting amendments to Regulation A and other rules and forms to implement Section 401 of the Jumpstart Our Business Startups (JOBS) Act. Section 401 of the JOBS Act added Section 3(b)(2) to the Securities Act of 1933, which directs the Commission to adopt rules exempting from the registration requirements of the Securities Act offerings of up to $50 million of securities annually. The...

    ...,\22\ the Equity Capital Formation Task Force,\23\ comment letters received on Title IV of the JOBS Act before the Commission's ... A if permitted by Rule 415.\484\ By reference to the undertakings of Item 512(a) of Regulation S-K,\485\ Rule 415 does not ... are also not eligible for amended Regulation A, from this sample, which leads to a higher estimate of the number of issuers that ...

  • Higher education leadership competencies: quantitatively refining a qualitative model.

    ...2). Leadership is, indeed, a dynamic undertaking that both researchers and practitioners have struggled to make ... skills require proficiency in multiple formats, such as letters, memos, and emails. All three types of communication manifest ...A convenience sample of 29 individuals was identified and selected from a major ...

  • Ceo Statements of Aggressiveness and the Competitive Aggressiveness of Firms: Is There a Relationship?

    ... aggressive organizations. A content analysis of letters to shareholders and trade publications was performed. Aggression scores for the content analysis were generated using the software package DICTION. The study examined two industries over a five-year time span. The findings indicate that CEO statements of aggressiveness do not significantly impact the competitive aggressiveness of their organizations.

  • Registration of Municipal Advisors

    Section 975 of Title IX of the Dodd-Frank Wall Street Reform and Consumer Protection Act (``Dodd-Frank Act'') amended Section 15B of the Securities Exchange Act of 1934 (``Exchange Act'') to require municipal advisors, as defined below, to register with the Securities and Exchange Commission (``Commission'' or ``SEC''), effective October 1, 2010. To enable municipal advisors to temporarily...

    ...The Commission received over 1,000 comment letters on the Proposal, representing a wide range of viewpoints, which ... meeting the objective criteria specified in the undertaking and used to select the obligated persons for whom financial ... note 38 (``For the $16.8 million mean issue size in our sample, the present value benefits of choosing a high-quality advisor ...

  • Pay Ratio Disclosure

    We are adopting amendments to Item 402 of Regulation S-K to implement Section 953(b) of the Dodd-Frank Wall Street Reform and Consumer Protection Act. Section 953(b) directs the Commission to amend Item 402 of Regulation S-K to require disclosure of the median of the annual total compensation of all employees of a registrant (excluding the chief executive officer), the annual total compensation...

    ...General. b. Compliance Cost Estimates in Comment Letters. i. Center on Executive Compensation Survey. ii. Chamber ... pay ratio disclosure for investors to utilize when undertaking their say-on-pay votes. ... compensation measure applied to each employee in the sample, the registrant would calculate that employee's annual total ...

  • Rep. Mario Diaz-Balart Holds a Hearing On Federal Railroad Administration, Pipeline and Hazardous Materials Safety Administration and Federal Motor Carrier Safety Administration Budgets for F.Y. 2016

    ... Do you think this evaluation contains a representative sample of the trucking industry? . DARLING: The evaluation in -- ... . You recently sent a letter to the major law enforcement groups who enlist they help. Can ... We are currently undertaking a large naturalistic study on the hours of service. . We've ...

  • Broker-Dealers And Investment Advisers Now Targeted By Both Cyber Intruders And SEC Cybersecurity Examiners

    ... are managing cybersecurity threats.4 FINRA's sweeps letter requested information on over a dozen cybersecurity issues, and ...Attached as an appendix to the Risk Alert is a sample list of 28 requests for documents and information (with detailed ... imposed a $250,000 fine, independent consultant undertaking, and other sanctions on an investment adviser for various ...

  • Oil and Gas; Hydraulic Fracturing on Federal and Indian Lands

    On May 11, 2012, the Bureau of Land Management (BLM) published in the Federal Register a proposed rule titled Oil and Gas; Well Stimulation, Including Hydraulic Fracturing, on Federal and Indian Lands. Because of significant public interest in hydraulic fracturing and this rulemaking, on May 24, 2013, the BLM published in the Federal Register a supplemental notice of proposed rulemaking and...

    ... be used and demonstrated for all wells, not just a sample well. For surface casing, the final rule does not require a ...In undertaking NEPA analysis to support the Bureau's decision to issue a permit, ... \23\ The comment letter from ConocoPhillips, dated August 22, 2013, is available in the ...

  • Asset-Backed Securities Disclosure and Registration

    We are adopting significant revisions to Regulation AB and other rules governing the offering process, disclosure, and reporting for asset-backed securities (``ABS''). The final rules require that, with some exceptions, prospectuses for public offerings under the Securities Act of 1933 (``Securities Act'') and ongoing reports under the Securities Exchange Act of 1934 (``Exchange Act'') of asset-ba

    ... A. Background. B. Summary of Comment Letters on the PRA Analysis. C. Revisions to Proposals. D. PRA ... the likelihood of isolating a unique mortgage in a sample pool of mortgage loans by considering different levels and ..., however, removing Item 512(l) of Regulation S-K, the undertaking previously required for providing static pool information on a ...