Securities and Exchange Commission – Federal Register Recent Federal Regulation Documents

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Document Number: 2014-24877
Type: Notice
Date: 2014-10-17
Agency: Securities and Exchange Commission, Agencies and Commissions
Document Number: 2014-24685
Type: Notice
Date: 2014-10-17
Agency: Securities and Exchange Commission, Agencies and Commissions
Document Number: 2014-24684
Type: Notice
Date: 2014-10-17
Agency: Securities and Exchange Commission, Agencies and Commissions
Document Number: 2014-24423
Type: Notice
Date: 2014-10-15
Agency: Securities and Exchange Commission, Agencies and Commissions
Summary of Application: Applicants request an order to permit certain unit investment trusts to: (a) Impose sales charges on a deferred basis and waive the deferred sales charge in certain cases; (b) offer unitholders certain exchange and rollover options; (c) publicly offer units without requiring the Depositor to take for its own account $100,000 worth of units; and (d) distribute capital gains resulting from the sale of portfolio securities within a reasonable time after receipt.
Document Number: 2014-24300
Type: Rule
Date: 2014-10-14
Agency: Securities and Exchange Commission, Agencies and Commissions
The Securities and Exchange Commission (``Commission'') is correcting a final rule that appeared in the Federal Register of September 15, 2014 (79 FR 55078). The rule applies to credit rating agencies registered with the Commission as nationally recognized statistical rating organizations (``NRSROs''), providers of third-party due diligence services for asset-backed securities, and issuers and underwriters of asset-backed securities.\1\
Document Number: 2014-24209
Type: Notice
Date: 2014-10-10
Agency: Securities and Exchange Commission, Agencies and Commissions
Document Number: 2014-23978
Type: Notice
Date: 2014-10-08
Agency: Securities and Exchange Commission, Agencies and Commissions
Document Number: 2014-23977
Type: Notice
Date: 2014-10-08
Agency: Securities and Exchange Commission, Agencies and Commissions
Document Number: 2014-23990
Type: Notice
Date: 2014-10-07
Agency: Securities and Exchange Commission, Agencies and Commissions
Document Number: 2014-23989
Type: Notice
Date: 2014-10-07
Agency: Securities and Exchange Commission, Agencies and Commissions