Securities and Exchange Commission – Federal Register Recent Federal Regulation Documents

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Submission for OMB Review; Comment Request; Extension: Rule 18f-1 and Form N-18f-1
Document Number: 2023-01741
Type: Notice
Date: 2023-01-30
Agency: Securities and Exchange Commission, Agencies and Commissions
Submission for OMB Review; Comment Request; Extension: Rule 602
Document Number: 2023-01740
Type: Notice
Date: 2023-01-30
Agency: Securities and Exchange Commission, Agencies and Commissions
Submission for OMB Review; Comment Request; Extension: Rule 201 and Rule 200(g) of Regulation SHO
Document Number: 2023-01739
Type: Notice
Date: 2023-01-30
Agency: Securities and Exchange Commission, Agencies and Commissions
AEW Capital Management, L.P.
Document Number: 2023-01737
Type: Notice
Date: 2023-01-30
Agency: Securities and Exchange Commission, Agencies and Commissions
Fidelity Private Credit Fund and Fidelity Diversifying Solutions LLC
Document Number: 2023-01735
Type: Notice
Date: 2023-01-30
Agency: Securities and Exchange Commission, Agencies and Commissions
Sunshine Act Meetings
Document Number: 2023-01972
Type: Notice
Date: 2023-01-30
Agency: Securities and Exchange Commission, Agencies and Commissions
Regulation Best Execution
Document Number: 2022-27644
Type: Proposed Rule
Date: 2023-01-27
Agency: Securities and Exchange Commission, Agencies and Commissions
The Securities and Exchange Commission (``Commission'') is proposing new rules under the Securities Exchange Act of 1934 (``Exchange Act'') relating to a broker-dealer's duty of best execution. Proposed Regulation Best Execution would enhance the existing regulatory framework concerning the duty of best execution by requiring detailed policies and procedures for all broker-dealers and more robust policies and procedures for broker-dealers engaging in certain conflicted transactions with retail customers, as well as related review and documentation requirements.
Submission for OMB Review; Comment Request; Extension: Notice of Exempt Preliminary Roll-Up Communication
Document Number: 2023-01615
Type: Notice
Date: 2023-01-27
Agency: Securities and Exchange Commission, Agencies and Commissions
Submission for OMB Review; Comment Request; Extension: Rule 15Fi-2
Document Number: 2023-01614
Type: Notice
Date: 2023-01-27
Agency: Securities and Exchange Commission, Agencies and Commissions
Submission for OMB Review; Comment Request; Extension: Rule 19b-4 and Form 19b-4
Document Number: 2023-01613
Type: Notice
Date: 2023-01-27
Agency: Securities and Exchange Commission, Agencies and Commissions
Order Making Fiscal Year 2023 Annual Adjustments to Transaction Fee Rates
Document Number: 2023-01578
Type: Notice
Date: 2023-01-26
Agency: Securities and Exchange Commission, Agencies and Commissions
Proposed Collection; Comment Request; Extension: Rule 15c3-1
Document Number: 2023-01519
Type: Notice
Date: 2023-01-26
Agency: Securities and Exchange Commission, Agencies and Commissions
Sunshine Act Meetings
Document Number: 2023-01579
Type: Notice
Date: 2023-01-25
Agency: Securities and Exchange Commission, Agencies and Commissions
Submission for OMB Review; Comment Request; Extension: Rule 155.EXT
Document Number: 2023-01428
Type: Notice
Date: 2023-01-25
Agency: Securities and Exchange Commission, Agencies and Commissions
GuideStone Funds and GuideStone Capital Management, LLC
Document Number: 2023-01398
Type: Notice
Date: 2023-01-25
Agency: Securities and Exchange Commission, Agencies and Commissions
Calmwater Asset Management, LLC
Document Number: 2023-01397
Type: Notice
Date: 2023-01-25
Agency: Securities and Exchange Commission, Agencies and Commissions
Adoption of Updated EDGAR Filer Manual
Document Number: 2023-01200
Type: Rule
Date: 2023-01-24
Agency: Securities and Exchange Commission, Agencies and Commissions
The Securities and Exchange Commission (``Commission'') is adopting amendments to Volumes I and II of the Electronic Data Gathering, Analysis, and Retrieval system (``EDGAR'') Filer Manual (``Filer Manual'') and related rules and forms. EDGAR Releases 22.4 and 22.4.1 will be deployed in the EDGAR system on December 19, 2022, and January 3, 2023, respectively.
Forum Real Estate Income Fund, et al.
Document Number: 2023-01247
Type: Notice
Date: 2023-01-24
Agency: Securities and Exchange Commission, Agencies and Commissions
Submission for OMB Review; Comment Request; Extension: Trust Indenture Act Rules 7a-15 Through 7a-37
Document Number: 2023-01246
Type: Notice
Date: 2023-01-24
Agency: Securities and Exchange Commission, Agencies and Commissions
Submission for OMB Review; Comment Request: Extension: Rule 17a-14 and Form CRS
Document Number: 2023-01254
Type: Notice
Date: 2023-01-24
Agency: Securities and Exchange Commission, Agencies and Commissions
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