Securities and Exchange Commission – Federal Register Recent Federal Regulation Documents

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Sunshine Act Meeting
Document Number: 2017-01142
Type: Notice
Date: 2017-01-18
Agency: Securities and Exchange Commission, Agencies and Commissions
Owl Rock Capital Corporation, et al.; Notice of Application
Document Number: 2017-00963
Type: Notice
Date: 2017-01-18
Agency: Securities and Exchange Commission, Agencies and Commissions
Adjustments to Civil Monetary Penalty Amounts
Document Number: 2017-00421
Type: Rule
Date: 2017-01-18
Agency: Securities and Exchange Commission, Agencies and Commissions
The Securities and Exchange Commission (the ``Commission'') is adopting a final rule to implement the Federal Civil Penalties Inflation Adjustment Act Improvements Act of 2015 (the ``2015 Act''), which amended the Federal Civil Penalties Inflation Adjustment Act of 1990 (the ``Inflation Adjustment Act''), as previously amended by the Debt Collection Improvement Act of 1996 (the ``DCIA''). The 2015 Act requires all agencies to annually adjust for inflation the civil monetary penalties that can be imposed under the statutes administered by the agency. Pursuant to this requirement, this final rule performs the first annual adjustment for inflation of the maximum amount of civil monetary penalties administered by the Commission under the Securities Act of 1933, the Securities Exchange Act of 1934, the Investment Company Act of 1940, the Investment Advisers Act of 1940, and certain penalties under the Sarbanes-Oxley Act of 2002. This adjustment will apply to all penalties imposed after the effective date of this final rule for violations after November 2, 2015. For violations that occurred on or before November 2, 2015, the Commission is reinstating the penalty amounts in the Commission's prior penalty adjustments performed under the DCIA.
Brown Advisory LLC; Notice of Application
Document Number: 2017-00778
Type: Notice
Date: 2017-01-17
Agency: Securities and Exchange Commission, Agencies and Commissions
Guardian Variable Products Trust and Park Avenue Institutional Advisers LLC; Notice of Application
Document Number: 2017-00628
Type: Notice
Date: 2017-01-13
Agency: Securities and Exchange Commission, Agencies and Commissions
Proposed Collection; Comment Request
Document Number: 2017-00469
Type: Notice
Date: 2017-01-12
Agency: Securities and Exchange Commission, Agencies and Commissions
Sunshine Act Meeting
Document Number: 2017-00376
Type: Notice
Date: 2017-01-10
Agency: Securities and Exchange Commission, Agencies and Commissions
Hartford Funds Exchange-Traded Trust, et al.; Notice of Application]
Document Number: 2017-00227
Type: Notice
Date: 2017-01-10
Agency: Securities and Exchange Commission, Agencies and Commissions
Krane Funds Advisors, LLC, et al.;
Document Number: 2017-00226
Type: Notice
Date: 2017-01-10
Agency: Securities and Exchange Commission, Agencies and Commissions