Securities and Exchange Commission – Federal Register Recent Federal Regulation Documents

Share |
Results 1 - 50 of 18,756
 
Document Number: 2014-19706
Type: Notice
Date: 2014-08-20
Agency: Securities and Exchange Commission, Agencies and Commissions
Document Number: 2014-19707
Type: Notice
Date: 2014-08-19
Agency: Securities and Exchange Commission, Agencies and Commissions
Document Number: 2014-19583
Type: Notice
Date: 2014-08-19
Agency: Securities and Exchange Commission, Agencies and Commissions
Document Number: 2014-19421
Type: Proposed Rule
Date: 2014-08-18
Agency: Securities and Exchange Commission, Agencies and Commissions
The Securities and Exchange Commission is proposing to amend rule 206(3)-3T under the Investment Advisers Act of 1940, a temporary rule that establishes an alternative means for investment advisers that are registered with the Commission as broker-dealers to meet the requirements of section 206(3) of the Investment Advisers Act when they act in a principal capacity in transactions with certain of their advisory clients. The amendment would extend the date on which rule 206(3)-3T will sunset from December 31, 2014 to December 31, 2016.
Document Number: 2014-19338
Type: Notice
Date: 2014-08-15
Agency: Securities and Exchange Commission, Agencies and Commissions
Summary of Application: Applicants request an order that would amend and supersede a prior order (the ``Non-Affiliated Sub-Adviser Order'') \1\ that permits them to enter into and materially amend subadvisory agreements for certain multi-managed funds with non- affiliated sub-advisers without shareholder approval and grants relief from certain disclosure requirements. The requested order would permit applicants to enter into, and amend, such agreements with Wholly-Owned Sub-Advisers (as defined below) and non-affiliated sub-advisers without shareholder approval.