Securities and Exchange Commission – Federal Register Recent Federal Regulation Documents

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Sunshine Act Meeting
Document Number: 2016-23697
Type: Notice
Date: 2016-09-29
Agency: Securities and Exchange Commission, Agencies and Commissions
Order of Suspension of Trading; i n the Matter of Accel Brands, Inc.
Document Number: 2016-23696
Type: Notice
Date: 2016-09-29
Agency: Securities and Exchange Commission, Agencies and Commissions
Extension of Comment Period for Disclosure Update and Simplification
Document Number: 2016-23489
Type: Proposed Rule
Date: 2016-09-29
Agency: Securities and Exchange Commission, Agencies and Commissions
The Securities and Exchange Commission is extending the comment period for a proposal to amend certain of its disclosure requirements that may have become redundant, duplicative, overlapping, outdated, or superseded, in light of other Commission disclosure requirements, U.S. Generally Accepted Accounting Principles (``U.S. GAAP''), International Financial Reporting Standards (``IFRS''), or changes in the information environment [Release No. 33-10110; 34-78310; IC-32175; 81 FR 51607 (July 13, 2016)]. The release also solicits comment on certain Commission disclosure requirements that overlap with, but require information incremental to, U.S. GAAP to determine whether to retain, modify, eliminate, or refer them to the Financial Accounting Standards Board for potential incorporation into U.S. GAAP. The original comment period is scheduled to end on October 3, 2016. The Commission is extending the time period in which to provide the Commission with comments until November 2, 2016. This action will allow interested persons additional time to analyze the issues and prepare their comments.
Order of Suspension of Trading
Document Number: 2016-23561
Type: Notice
Date: 2016-09-28
Agency: Securities and Exchange Commission, Agencies and Commissions
Self-Regulatory Organizations; NASDAQ BX, Inc.; Notice of Filing of Proposed Rule Change To Amend BX Rules 4702 and 4703
Document Number: 2016-23324
Type: Notice
Date: 2016-09-28
Agency: Securities and Exchange Commission, Agencies and Commissions
Political Contributions by Certain Investment Advisers: Ban on Third-Party Solicitation; Order With Respect to FINRA Rule 2030
Document Number: 2016-23225
Type: Rule
Date: 2016-09-28
Agency: Securities and Exchange Commission, Agencies and Commissions
The Securities and Exchange Commission (``Commission'' or ``SEC'') is issuing an order finding that Financial Industry Regulatory Authority (``FINRA'') rule 2030 (the ``FINRA Pay to Play Rule'') imposes substantially equivalent or more stringent restrictions on broker-dealers than rule 206(4)-5 (the ``SEC Pay to Play Rule) under the Investment Advisers Act of 1940 (the ``Advisers Act'') imposes on investment advisers and is consistent with the objectives of the SEC Pay to Play Rule.
Political Contributions by Certain Investment Advisers: Ban on Third-Party Solicitation; Order With Respect to MSRB Rule G-37
Document Number: 2016-23224
Type: Rule
Date: 2016-09-28
Agency: Securities and Exchange Commission, Agencies and Commissions
The Securities and Exchange Commission (``Commission'' or ``SEC'') is issuing an order finding that Municipal Securities Rulemaking Board (``MSRB'') rule G-37 (the ``MSRB Pay to Play Rule'') imposes substantially equivalent or more stringent restrictions on municipal advisors than rule 206(4)-5 (the ``SEC Pay to Play Rule) under the Investment Advisers Act of 1940 (the ``Advisers Act'') imposes on investment advisers and is consistent with the objectives of the SEC Pay to Play Rule.
Sunshine Act Meeting
Document Number: 2016-23326
Type: Notice
Date: 2016-09-26
Agency: Securities and Exchange Commission, Agencies and Commissions
Sunshine Act Meeting
Document Number: 2016-23325
Type: Notice
Date: 2016-09-26
Agency: Securities and Exchange Commission, Agencies and Commissions
Altegris KKR Commitments Master Fund, et al.; Notice of Application
Document Number: 2016-22905
Type: Notice
Date: 2016-09-23
Agency: Securities and Exchange Commission, Agencies and Commissions
Northern Lights Fund Trust and Dearborn Capital Management, LLC; Notice of Application
Document Number: 2016-22793
Type: Notice
Date: 2016-09-22
Agency: Securities and Exchange Commission, Agencies and Commissions
Sunshine Act Meeting; Additional Item
Document Number: 2016-22906
Type: Notice
Date: 2016-09-21
Agency: Securities and Exchange Commission, Agencies and Commissions
In the Matter of All Energy Corp., and As Seen On TV, Inc.; Order of Suspension of Trading
Document Number: 2016-22731
Type: Notice
Date: 2016-09-20
Agency: Securities and Exchange Commission, Agencies and Commissions
Submission for OMB Review; Comment Request
Document Number: 2016-22625
Type: Notice
Date: 2016-09-20
Agency: Securities and Exchange Commission, Agencies and Commissions
List of Rules To Be Reviewed Pursuant to the Regulatory Flexibility Act
Document Number: 2016-22563
Type: Proposed Rule
Date: 2016-09-20
Agency: Securities and Exchange Commission, Agencies and Commissions
The Securities and Exchange Commission is publishing a list of rules to be reviewed pursuant to Section 610 of the Regulatory Flexibility Act. The list is published to provide the public with notice that these rules are scheduled for review by the agency and to invite public comment on whether the rules should be continued without change, or should be amended or rescinded to minimize any significant economic impact of the rules upon a substantial number of such small entities.
SEC Advisory Committee on Small and Emerging Companies
Document Number: 2016-22562
Type: Notice
Date: 2016-09-20
Agency: Securities and Exchange Commission, Agencies and Commissions
The Securities and Exchange Commission Advisory Committee on Small and Emerging Companies is providing notice that it will hold a public meeting on Wednesday, October 5, 2016, in Multi-Purpose Room LL- 006 at the Commission's headquarters, 100 F Street NE., Washington, DC. The meeting will begin at 9:30 a.m. (EDT) and will be open to the public. The meeting will be webcast on the Commission's Web site at www.sec.gov. Persons needing special accommodations to take part because of a disability should notify the contact person listed below. The public is invited to submit written statements to the Committee. The agenda for the meeting includes matters relating to rules and regulations affecting small and emerging companies under the federal securities laws.
Submission for OMB Review; Comment Request
Document Number: 2016-22543
Type: Notice
Date: 2016-09-20
Agency: Securities and Exchange Commission, Agencies and Commissions
Global X Funds, et al.; Notice of Application
Document Number: 2016-22542
Type: Notice
Date: 2016-09-20
Agency: Securities and Exchange Commission, Agencies and Commissions
Submission for OMB Review; Comment Request
Document Number: 2016-22541
Type: Notice
Date: 2016-09-20
Agency: Securities and Exchange Commission, Agencies and Commissions