Securities and Exchange Commission 2016 – Federal Register Recent Federal Regulation Documents

Results 151 - 200 of 2,320
Goldman Sachs BDC, Inc., et al.; Notice of Application
Document Number: 2016-29796
Type: Notice
Date: 2016-12-13
Agency: Securities and Exchange Commission, Agencies and Commissions
Fidus Investment Corporation, et al.; Notice of Application
Document Number: 2016-29795
Type: Notice
Date: 2016-12-13
Agency: Securities and Exchange Commission, Agencies and Commissions
Stifel, Nicolaus & Company, Inc., et al.; Notice of Application and Temporary Order
Document Number: 2016-29793
Type: Notice
Date: 2016-12-13
Agency: Securities and Exchange Commission, Agencies and Commissions
Sunshine Act Meeting
Document Number: 2016-29794
Type: Notice
Date: 2016-12-12
Agency: Securities and Exchange Commission, Agencies and Commissions
Proposed Collection; Comment Request
Document Number: 2016-29493
Type: Notice
Date: 2016-12-09
Agency: Securities and Exchange Commission, Agencies and Commissions
CWM Advisors, LLC, et al.; Notice of Application
Document Number: 2016-29301
Type: Notice
Date: 2016-12-07
Agency: Securities and Exchange Commission, Agencies and Commissions
Wells Fargo Advisors, LLC and Wells Fargo Advisors Financial Network, LLC; Notice of Application
Document Number: 2016-29300
Type: Notice
Date: 2016-12-07
Agency: Securities and Exchange Commission, Agencies and Commissions
UBS Financial Services Inc.; Notice of Application
Document Number: 2016-29299
Type: Notice
Date: 2016-12-07
Agency: Securities and Exchange Commission, Agencies and Commissions
Robert W. Baird & Co. Incorporated; Notice of Application
Document Number: 2016-29298
Type: Notice
Date: 2016-12-07
Agency: Securities and Exchange Commission, Agencies and Commissions
Merrill Lynch, Pierce, Fenner & Smith Incorporated; Notice of Application
Document Number: 2016-29297
Type: Notice
Date: 2016-12-07
Agency: Securities and Exchange Commission, Agencies and Commissions
Sunshine Act Meeting
Document Number: 2016-29296
Type: Notice
Date: 2016-12-06
Agency: Securities and Exchange Commission, Agencies and Commissions
Sunshine Act Meeting
Document Number: 2016-29295
Type: Notice
Date: 2016-12-06
Agency: Securities and Exchange Commission, Agencies and Commissions