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

Results 351 - 400 of 1,988
Sunshine Act Meetings
Document Number: 2019-24053
Type: Notice
Date: 2019-11-01
Agency: Securities and Exchange Commission, Agencies and Commissions
Sunshine Act Meetings
Document Number: 2019-24051
Type: Notice
Date: 2019-11-01
Agency: Securities and Exchange Commission, Agencies and Commissions
OSI ETF Trust and O'Shares Investment Advisers, LLC; Notice of Application
Document Number: 2019-23940
Type: Notice
Date: 2019-11-01
Agency: Securities and Exchange Commission, Agencies and Commissions
Sunshine Act Meetings
Document Number: 2019-23935
Type: Notice
Date: 2019-10-31
Agency: Securities and Exchange Commission, Agencies and Commissions
Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 1940
Document Number: 2019-23706
Type: Notice
Date: 2019-10-31
Agency: Securities and Exchange Commission, Agencies and Commissions
Applicant, a closed-end investment company, seeks an order declaring that it has ceased to be an investment company. On September 25, 2019, applicant made a liquidating distribution to its shareholders based on net asset value. Expenses of $165,679 incurred in connection with the liquidation were paid by the applicant. Filing Date: The application was filed on October 1, 2019. Applicant's Address: 3375 Westpark Drive, #472, Houston, Texas 77005.
Sunshine Act Meetings
Document Number: 2019-23773
Type: Notice
Date: 2019-10-30
Agency: Securities and Exchange Commission, Agencies and Commissions
Amendments to Procedures With Respect to Applications Under the Investment Company Act of 1940
Document Number: 2019-23082
Type: Proposed Rule
Date: 2019-10-30
Agency: Securities and Exchange Commission, Agencies and Commissions
The Securities and Exchange Commission (the ``Commission'') is proposing amending rule 0-5 under the Investment Company Act of 1940 (``Act'') to establish an expedited review procedure for applications that are substantially identical to recent precedent as well as a new rule to establish an internal timeframe for review of applications outside of such expedited procedure. In addition, the Commission is proposing amending rule 0-5 under the Act to deem an application outside of expedited review withdrawn when the applicant does not respond in writing to comments within 120 days.
Publication or Submission of Quotations Without Specified Information
Document Number: 2019-21260
Type: Proposed Rule
Date: 2019-10-30
Agency: Securities and Exchange Commission, Agencies and Commissions
The Securities and Exchange Commission (the ``SEC'' or the ``Commission'') is proposing amendments to 17 CFR 240.15c2-11 (the ``Rule'') under the Securities Exchange Act of 1934 (the ``Exchange Act''). The Rule governs the publication of quotations for securities in a quotation medium other than a national securities exchange, i.e., over-the-counter (``OTC'') securities. The Commission is proposing to provide greater transparency to investors and other market participants by requiring that information about the issuer and the security be current and publicly available; limit certain existing exceptions to the Rule, including the ``piggyback exception,'' to provide greater protections to retail investors; reduce regulatory burdens on broker- dealers for the publication of quotations of certain OTC securities that may be less susceptible to potential fraud and manipulation, such as securities of certain issuers with higher capitalization and securities that were issued in underwritten offerings; and streamline the Rule, remove obsolete provisions without undermining the important investor protections of the Rule, and make technical, non-substantive changes. The Commission is also seeking comment about information repositories.
Investor Advisory Committee Meeting
Document Number: 2019-23607
Type: Notice
Date: 2019-10-29
Agency: Securities and Exchange Commission, Agencies and Commissions
The Securities and Exchange Commission Investor Advisory Committee, established pursuant to Section 911 of the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010, is providing notice that it will hold a public meeting. The public is invited to submit written statements to the Committee.
Submission for OMB Review; Comment Request
Document Number: 2019-23602
Type: Notice
Date: 2019-10-29
Agency: Securities and Exchange Commission, Agencies and Commissions
Submission for OMB Review; Comment Request
Document Number: 2019-23601
Type: Notice
Date: 2019-10-29
Agency: Securities and Exchange Commission, Agencies and Commissions
Submission for OMB Review; Comment Request
Document Number: 2019-23600
Type: Notice
Date: 2019-10-29
Agency: Securities and Exchange Commission, Agencies and Commissions
Submission for OMB Review; Comment Request
Document Number: 2019-23599
Type: Notice
Date: 2019-10-29
Agency: Securities and Exchange Commission, Agencies and Commissions
Submission for OMB Review; Comment Request
Document Number: 2019-23598
Type: Notice
Date: 2019-10-29
Agency: Securities and Exchange Commission, Agencies and Commissions
Proposed Collection; Comment Request
Document Number: 2019-23597
Type: Notice
Date: 2019-10-29
Agency: Securities and Exchange Commission, Agencies and Commissions
Submission for OMB Review; Comment Request
Document Number: 2019-23596
Type: Notice
Date: 2019-10-29
Agency: Securities and Exchange Commission, Agencies and Commissions
MassMutual Select Funds, et al.
Document Number: 2019-23554
Type: Notice
Date: 2019-10-29
Agency: Securities and Exchange Commission, Agencies and Commissions