Securities and Exchange Commission – Federal Register Recent Federal Regulation Documents

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Document Number: 2016-12390
Type: Rule
Date: 2016-05-26
Agency: Securities and Exchange Commission, Agencies and Commissions
Rule 15b12-1, by its terms, will expire and no longer be effective on July 31, 2016. Interested persons should be aware that as of that date, any broker or dealer, including a broker or dealer that is also dually registered as a futures commission merchant (``BD/ FCM''), shall be prohibited under the Commodity Exchange Act (``CEA'') from offering or entering into a transaction described in the CEA with a person who is not an eligible contract participant (``retail forex transaction'').
Document Number: 2016-12231
Type: Notice
Date: 2016-05-26
Agency: Securities and Exchange Commission, Agencies and Commissions
The Securities and Exchange Commission Investor Advisory Committee, established pursuant to Section 911 of the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010, is providing notice that it will hold a telephonic meeting on Tuesday, June 7, 2016. The meeting will begin at 11:00 a.m. (ET) and conclude at 12:30 p.m. and will be open to the public via telephone at 1-888-240-3210, participant code 7250901. The public is invited to submit written statements to the Committee.
Document Number: 2016-12291
Type: Notice
Date: 2016-05-24
Agency: Securities and Exchange Commission, Agencies and Commissions
Document Number: 2016-12290
Type: Notice
Date: 2016-05-24
Agency: Securities and Exchange Commission, Agencies and Commissions
Document Number: 2016-12167
Type: Proposed Rule
Date: 2016-05-24
Agency: Securities and Exchange Commission, Agencies and Commissions
The Securities and Exchange Commission (``Commission'') intends to issue an order that would adjust for inflation, as appropriate, dollar amount thresholds in the rule under the Investment Advisers Act of 1940 that permits investment advisers to charge performance-based fees to ``qualified clients.'' Under that rule, an investment adviser may charge performance-based fees if a ``qualified client'' has a certain minimum net worth or minimum dollar amount of assets under the management of the adviser. The Commission's order would increase, to reflect inflation, the minimum net worth that a ``qualified client'' must have under the rule. The order would not increase the minimum dollar amount of assets under management.
Document Number: 2016-12166
Type: Rule
Date: 2016-05-24
Agency: Securities and Exchange Commission, Agencies and Commissions
The Securities and Exchange Commission (``SEC'' or ``Commission'') is making a technical correction to a burden estimate for Paperwork Reduction Act purposes and a corresponding estimate in the Economic Analysis of the business conduct standards for security- based swap dealers and major security-based swap participants.
Document Number: 2016-12116
Type: Notice
Date: 2016-05-24
Agency: Securities and Exchange Commission, Agencies and Commissions
Document Number: 2016-12115
Type: Notice
Date: 2016-05-24
Agency: Securities and Exchange Commission, Agencies and Commissions
Document Number: 2016-11958
Type: Notice
Date: 2016-05-20
Agency: Securities and Exchange Commission, Agencies and Commissions
Document Number: 2016-11875
Type: Notice
Date: 2016-05-20
Agency: Securities and Exchange Commission, Agencies and Commissions
Document Number: 2016-11874
Type: Notice
Date: 2016-05-20
Agency: Securities and Exchange Commission, Agencies and Commissions
Document Number: 2016-11873
Type: Notice
Date: 2016-05-20
Agency: Securities and Exchange Commission, Agencies and Commissions
Document Number: 2016-11872
Type: Notice
Date: 2016-05-20
Agency: Securities and Exchange Commission, Agencies and Commissions
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