Securities and Exchange Commission – Federal Register Recent Federal Regulation Documents

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Pacific Global ETF Trust and Cadence Capital Management LLC
Document Number: 2018-27128
Type: Notice
Date: 2018-12-14
Agency: Securities and Exchange Commission, Agencies and Commissions
Proposed Collection; Comment Request
Document Number: 2018-27094
Type: Notice
Date: 2018-12-14
Agency: Securities and Exchange Commission, Agencies and Commissions
Proposed Collection; Comment Request
Document Number: 2018-27093
Type: Notice
Date: 2018-12-14
Agency: Securities and Exchange Commission, Agencies and Commissions
Proposed Collection; Comment Request
Document Number: 2018-27092
Type: Notice
Date: 2018-12-14
Agency: Securities and Exchange Commission, Agencies and Commissions
Submission for OMB Review; Comment Request
Document Number: 2018-27091
Type: Notice
Date: 2018-12-14
Agency: Securities and Exchange Commission, Agencies and Commissions
Submission for OMB Review; Comment Request
Document Number: 2018-27090
Type: Notice
Date: 2018-12-14
Agency: Securities and Exchange Commission, Agencies and Commissions
Submission for OMB Review; Comment Request
Document Number: 2018-27089
Type: Notice
Date: 2018-12-14
Agency: Securities and Exchange Commission, Agencies and Commissions
Covered Investment Fund Research Reports
Document Number: 2018-26613
Type: Rule
Date: 2018-12-13
Agency: Securities and Exchange Commission, Agencies and Commissions
The Commission is adopting a new rule under the Securities Act of 1933 to establish a safe harbor for an unaffiliated broker or dealer participating in a securities offering of a covered investment fund to publish or distribute a covered investment fund research report. If the conditions in the rule are satisfied, the publication or distribution of a covered investment fund research report would be deemed not to be an offer for sale or offer to sell the covered investment fund's securities for purposes of sections 2(a)(10) and 5(c) of the Securities Act of 1933. The Commission is also adopting a new rule under the Investment Company Act of 1940 to exclude a covered investment fund research report from the coverage of section 24(b) of the Investment Company Act, except to the extent the research report is otherwise not subject to the content standards in self-regulatory organization rules related to research reports. We are also adopting a conforming amendment to rule 101 of Regulation M, and a technical amendment to Form 12b-25.
Submission for OMB Review; Comment Request
Document Number: 2018-26851
Type: Notice
Date: 2018-12-12
Agency: Securities and Exchange Commission, Agencies and Commissions
Cliffwater Corporate Lending Fund and Cliffwater LLC
Document Number: 2018-26797
Type: Notice
Date: 2018-12-12
Agency: Securities and Exchange Commission, Agencies and Commissions