Securities and Exchange Commission – Federal Register Recent Federal Regulation Documents

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Document Number: 2015-09789
Type: Notice
Date: 2015-04-27
Agency: Securities and Exchange Commission, Agencies and Commissions
Document Number: 2015-09685
Type: Notice
Date: 2015-04-24
Agency: Securities and Exchange Commission, Agencies and Commissions
Document Number: 2015-09556
Type: Notice
Date: 2015-04-24
Agency: Securities and Exchange Commission, Agencies and Commissions
The Applicant requests that the Commission issue an order declaring the Applicant to be a person not within the intent of section 202(a)(11), which defines the term ``investment adviser.''
Document Number: 2015-09496
Type: Notice
Date: 2015-04-24
Agency: Securities and Exchange Commission, Agencies and Commissions
Document Number: 2015-09495
Type: Notice
Date: 2015-04-24
Agency: Securities and Exchange Commission, Agencies and Commissions
Document Number: 2015-09555
Type: Notice
Date: 2015-04-23
Agency: Securities and Exchange Commission, Agencies and Commissions
Document Number: 2015-09320
Type: Notice
Date: 2015-04-21
Agency: Securities and Exchange Commission, Agencies and Commissions
Document Number: 2015-09067
Type: Notice
Date: 2015-04-21
Agency: Securities and Exchange Commission, Agencies and Commissions
Summary of Application: Applicants seek an order pursuant to section 26(c) of the 1940 Act, approving the substitution of shares issued by certain series of Voya Variable Portfolios, Inc. (the ``Replacement Funds'') for shares of certain registered investment companies currently held by subaccounts of the Accounts (the ``Existing Funds''), to support certain variable annuity contracts (collectively, the ``Contracts'') issued by the Companies.
Document Number: 2015-08993
Type: Notice
Date: 2015-04-20
Agency: Securities and Exchange Commission, Agencies and Commissions
Document Number: 2015-08992
Type: Notice
Date: 2015-04-20
Agency: Securities and Exchange Commission, Agencies and Commissions
Document Number: 2015-08991
Type: Notice
Date: 2015-04-20
Agency: Securities and Exchange Commission, Agencies and Commissions
Document Number: 2015-08982
Type: Rule
Date: 2015-04-20
Agency: Securities and Exchange Commission, Agencies and Commissions
The Securities and Exchange Commission (the Commission) is adopting revisions to the Electronic Data Gathering, Analysis, and Retrieval System (EDGAR) Filer Manual and related rules to reflect updates to the EDGAR system. The updates are being made primarily to support the 2015 US GAAP financial reporting and 2015 EXCH taxonomies; add new form types for registration of Security-based swap data repositories (SDR); revise the Form ID Application Confirmation screen; remove references to the Paper Form ID; and revise Item 1 on submission form type MA-A. The EDGAR system was upgraded to support the new 2015 taxonomies and revised MA-A form functionalities on March 9, 2015. The EDGAR system is scheduled to be upgraded to support the other functionalities on April 13, 2015.
Document Number: 2015-07305
Type: Rule
Date: 2015-04-20
Agency: Securities and Exchange Commission, Agencies and Commissions
We are adopting amendments to Regulation A and other rules and forms to implement Section 401 of the Jumpstart Our Business Startups (JOBS) Act. Section 401 of the JOBS Act added Section 3(b)(2) to the Securities Act of 1933, which directs the Commission to adopt rules exempting from the registration requirements of the Securities Act offerings of up to $50 million of securities annually. The final rules include issuer eligibility requirements, content and filing requirements for offering statements, and ongoing reporting requirements for issuers in Regulation A offerings.
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