Securities and Exchange Commission 2019 – Federal Register Recent Federal Regulation Documents

Results 101 - 150 of 1,988
Sunshine Act Meetings
Document Number: 2019-27111
Type: Notice
Date: 2019-12-16
Agency: Securities and Exchange Commission, Agencies and Commissions
Recordkeeping and Reporting Requirements for Security-Based Swap Dealers, Major Security-Based Swap Participants, and Broker-Dealers
Document Number: 2019-20678
Type: Rule
Date: 2019-12-16
Agency: Securities and Exchange Commission, Agencies and Commissions
In accordance with the Dodd-Frank Wall Street Reform and Consumer Protection Act (``Dodd-Frank Act''), the Securities and Exchange Commission (``Commission''), pursuant to the Securities Exchange Act of 1934 (``Exchange Act''), is adopting recordkeeping, reporting, and notification requirements applicable to security-based swap dealers (``SBSDs'') and major security-based swap participants (``MSBSPs''), securities count requirements applicable to certain SBSDs, and additional recordkeeping requirements applicable to broker- dealers to account for their security-based swap and swap activities. The Commission also is making substituted compliance available with respect to recordkeeping, reporting, and notification requirements under Section 15F of the Exchange Act and the rules thereunder.
Proposed Collection; Comment Request
Document Number: 2019-26870
Type: Notice
Date: 2019-12-13
Agency: Securities and Exchange Commission, Agencies and Commissions
Proposed Collection; Comment Request
Document Number: 2019-26869
Type: Notice
Date: 2019-12-13
Agency: Securities and Exchange Commission, Agencies and Commissions
Proposed Collection; Comment Request
Document Number: 2019-26868
Type: Notice
Date: 2019-12-13
Agency: Securities and Exchange Commission, Agencies and Commissions
Sunshine Act Meetings
Document Number: 2019-26955
Type: Notice
Date: 2019-12-12
Agency: Securities and Exchange Commission, Agencies and Commissions