Securities and Exchange Commission – Federal Register Recent Federal Regulation Documents

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Document Number: 2016-14931
Type: Notice
Date: 2016-06-24
Agency: Securities and Exchange Commission, Agencies and Commissions
Document Number: 2016-14930
Type: Notice
Date: 2016-06-24
Agency: Securities and Exchange Commission, Agencies and Commissions
Document Number: 2016-14876
Type: Rule
Date: 2016-06-23
Agency: Securities and Exchange Commission, Agencies and Commissions
The Securities and Exchange Commission is issuing a final interpretation with respect to the definition of automated quotation under Rule 600(b)(3) of Regulation NMS.
Document Number: 2016-14840
Type: Notice
Date: 2016-06-23
Agency: Securities and Exchange Commission, Agencies and Commissions
Document Number: 2016-14730
Type: Rule
Date: 2016-06-22
Agency: Securities and Exchange Commission, Agencies and Commissions
This release makes technical corrections to rules that were published in the Federal Register on September 24, 2014 (79 FR 57184). The Commission adopted revisions to Regulation AB and other rules governing the offering process, disclosure, and reporting for asset- backed securities. These technical amendments are being published to restore rule text that was inadvertently changed, revise outdated cross-references, and make other technical corrections.
Document Number: 2016-14477
Type: Notice
Date: 2016-06-17
Agency: Securities and Exchange Commission, Agencies and Commissions
Document Number: 2016-13915
Type: Rule
Date: 2016-06-17
Agency: Securities and Exchange Commission, Agencies and Commissions
In accordance with Section 764(a) of Title VII of the Dodd- Frank Wall Street Reform and Consumer Protection Act of 2010 (``Dodd- Frank Act''), the Securities and Exchange Commission (``Commission'') is adopting Rules 15Fi-1 and 15Fi-2 under the Securities Exchange Act of 1934 (``Exchange Act'') requiring security-based swap dealers and major security-based swap participants to provide trade acknowledgments and to verify those trade acknowledgments in security-based swap transactions. The Commission also is amending Rule 3a71-6 under the Exchange Act to address the potential availability of substituted compliance in connection with those trade acknowledgment and verification requirements.
Document Number: 2016-14379
Type: Notice
Date: 2016-06-16
Agency: Securities and Exchange Commission, Agencies and Commissions
Document Number: 2016-14211
Type: Notice
Date: 2016-06-16
Agency: Securities and Exchange Commission, Agencies and Commissions
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