Securities and Exchange Commission – Federal Register Recent Federal Regulation Documents

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Proposed Collection; Comment Request; Extension: Rule 17Ac2-1
Document Number: 2024-08413
Type: Notice
Date: 2024-04-19
Agency: Securities and Exchange Commission, Agencies and Commissions
Submission for OMB Review; Comment Request; Extension: Rule 12d2-2 and Form 25
Document Number: 2024-08381
Type: Notice
Date: 2024-04-19
Agency: Securities and Exchange Commission, Agencies and Commissions
Adoption of Updated EDGAR Filer Manual
Document Number: 2024-08091
Type: Rule
Date: 2024-04-19
Agency: Securities and Exchange Commission, Agencies and Commissions
The Securities and Exchange Commission ("Commission") is adopting amendments to Volume II of the Electronic Data Gathering, Analysis, and Retrieval system Filer Manual ("EDGAR Filer Manual" or "Filer Manual") and related rules and forms. EDGAR Release 24.1 will be deployed in the EDGAR system on March 18, 2024.
Proposed Collection; Comment Request; Extension: Credit Risk Retention-Regulation RR
Document Number: 2024-08097
Type: Notice
Date: 2024-04-17
Agency: Securities and Exchange Commission, Agencies and Commissions
Submission for OMB Review; Comment Request
Document Number: 2024-08096
Type: Notice
Date: 2024-04-17
Agency: Securities and Exchange Commission, Agencies and Commissions
Proposed Collection; Comment Request; Extension: Form ABS-EE
Document Number: 2024-08034
Type: Notice
Date: 2024-04-16
Agency: Securities and Exchange Commission, Agencies and Commissions
Proposed Collection; Comment Request; Extension: Form F-6-Registration Statement
Document Number: 2024-07925
Type: Notice
Date: 2024-04-16
Agency: Securities and Exchange Commission, Agencies and Commissions
Aether Infrastructure & Natural Resources Fund and Aether Investment Partners, LLC
Document Number: 2024-07893
Type: Notice
Date: 2024-04-15
Agency: Securities and Exchange Commission, Agencies and Commissions
Proposed Collection; Comment Request; Extension: Form 15
Document Number: 2024-07923
Type: Notice
Date: 2024-04-15
Agency: Securities and Exchange Commission, Agencies and Commissions
Proposed Collection; Comment Request; Extension: Securities Exchange Act 1934-Rule 12g3-2
Document Number: 2024-07874
Type: Notice
Date: 2024-04-15
Agency: Securities and Exchange Commission, Agencies and Commissions
Disclosure of Order Execution Information
Document Number: 2024-05556
Type: Rule
Date: 2024-04-15
Agency: Securities and Exchange Commission, Agencies and Commissions
The Securities and Exchange Commission ("Commission" or "SEC") is adopting amendments to a rule under the Securities Exchange Act of 1934 ("Exchange Act") that requires disclosures for order executions in national market system ("NMS") stocks. First, the amendments expand the scope of reporting entities subject to the preexisting rule that requires market centers to make available to the public monthly execution quality reports to encompass broker-dealers with a larger number of customers. Next, the amendments modify the definition of "covered order" to include certain orders submitted outside of regular trading hours and certain orders submitted with stop prices. In addition, the amendments modify the information required to be reported under the rule, including changing how orders are categorized by order size as well as how they are categorized by order type. The amendments, as part of the changes to the order size categories, modify the rule to capture execution quality information for fractional share orders, odd-lot orders, and larger-sized orders. Additionally, the amendments modify reporting requirements for non- marketable limit orders ("NMLOs") in order to capture more relevant execution quality information for these orders by requiring statistics to be reported from the time such orders become executable. The amendments modify time-to-execution categories and require average time to execution to be measured in increments of a millisecond or finer and calculated on a share-weighted basis for all orders. The amendments require that the time of order receipt and time of order execution be measured in increments of a millisecond or finer, and that realized spread be calculated at multiple time intervals. Finally, the amendments enhance the accessibility of the reported execution quality statistics by requiring all reporting entities to make a summary report available.
Proposed Collection; Comment Request; Extension: Form 3-Initial Statement of Beneficial Ownership of Securities
Document Number: 2024-07841
Type: Notice
Date: 2024-04-15
Agency: Securities and Exchange Commission, Agencies and Commissions
Submission for OMB Review; Comment Request; Extension: Rule 9b-1
Document Number: 2024-07807
Type: Notice
Date: 2024-04-12
Agency: Securities and Exchange Commission, Agencies and Commissions
The Enhancement and Standardization of Climate-Related Disclosures for Investors; Delay of Effective Date
Document Number: 2024-07648
Type: Rule
Date: 2024-04-12
Agency: Securities and Exchange Commission, Agencies and Commissions
On March 28, 2024, the Securities and Exchange Commission ("Commission") published final rules in the Federal Register, titled "The Enhancement and Standardization of Climate-Related Disclosures for Investors" ("Final Rules" or "Rules"), in order to amend its rules under the Securities Act of 1933 ("Securities Act") and Securities Exchange Act of 1934 ("Exchange Act") to require registrants to provide certain climate-related information in their registration statements and annual reports. The Final Rules were to become effective on May 28, 2024. This document announces that the effective date of the Final Rules is delayed pending the completion of judicial review in consolidated proceedings in the Eighth Circuit.
Submission for OMB Review; Comment Request; Extension: Rule 11a-3
Document Number: 2024-07664
Type: Notice
Date: 2024-04-11
Agency: Securities and Exchange Commission, Agencies and Commissions
Proposed Collection; Comment Request; Extension: Rule 18a-9
Document Number: 2024-07695
Type: Notice
Date: 2024-04-11
Agency: Securities and Exchange Commission, Agencies and Commissions
Sunshine Act Meetings
Document Number: 2024-07666
Type: Notice
Date: 2024-04-10
Agency: Securities and Exchange Commission, Agencies and Commissions
Exemption for Certain Investment Advisers Operating Through the Internet
Document Number: 2024-06865
Type: Rule
Date: 2024-04-09
Agency: Securities and Exchange Commission, Agencies and Commissions
The Securities and Exchange Commission ("SEC" or "Commission") is adopting amendments to the rule under the Investment Advisers Act of 1940 that exempts certain investment advisers that provide advisory services through the internet ("internet investment advisers") from the prohibition on Commission registration, as well as related amendments to Form ADV. The amendments are designed to modernize the rule's conditions to account for the evolution in technology and the investment advisory industry since the initial adoption of the rule in 2002.
Sunshine Act Meetings
Document Number: 2024-07481
Type: Notice
Date: 2024-04-08
Agency: Securities and Exchange Commission, Agencies and Commissions
Sunshine Act Meetings
Document Number: 2024-07460
Type: Notice
Date: 2024-04-08
Agency: Securities and Exchange Commission, Agencies and Commissions
Share Repurchase Disclosure Modernization
Document Number: 2024-06187
Type: Rule
Date: 2024-04-08
Agency: Securities and Exchange Commission, Agencies and Commissions
The Securities and Exchange Commission ("Commission") is adopting technical amendments to various rules and forms under the Securities Exchange Act of 1934 ("Exchange Act") and the Investment Company Act of 1940 ("Investment Company Act") to reflect a Federal court's vacatur of rule amendments that the Commission adopted on May 3, 2023, to modernize and improve disclosure about repurchases of an issuer's equity securities that are registered under the Exchange Act ("Repurchase Rule"). The court's vacatur of the Repurchase Rule was effective as of December 19, 2023, and had the legal effect of reverting to the rules and forms that existed prior to the effective date of the Repurchase Rule. These technical amendments revise the Code of Federal Regulations ("CFR") to reflect the court's vacatur of the Repurchase Rule.
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