Securities and Exchange Commission November 13, 2020 – Federal Register Recent Federal Regulation Documents

Sunshine Act Meetings
Document Number: 2020-25214
Type: Notice
Date: 2020-11-13
Agency: Securities and Exchange Commission, Agencies and Commissions
Notice of Substituted Compliance Application Submitted by the Bundesanstalt für Finanzdienstleistungsaufsicht in Connection With Certain Requirements Applicable to Security-Based Swap Entities Subject to Regulation in the Federal Republic of Germany; Proposed Order
Document Number: 2020-25166
Type: Notice
Date: 2020-11-13
Agency: Securities and Exchange Commission, Agencies and Commissions
The Securities and Exchange Commission (``Commission'' or ``SEC'') is soliciting public comment on an application by the Bundesanstalt f[uuml]r Finanzdienstleistungsaufsicht (``BaFin'') requesting that, pursuant to rule 3a71-6 under the Securities Exchange Act of 1934 (``Exchange Act''), the Commission determine that registered security-based swap dealers and registered major security- based swap participants (``SBS Entities'') that are not U.S. persons and that are subject to certain regulation in the Federal Republic of Germany (``Germany'') may comply with certain requirements under the Exchange Act via compliance with corresponding requirements of Germany and the European Union. The Commission also is soliciting comment on a proposed Order providing for the conditional availability of substituted compliance in connection with the application.
Upstart Holdings, Inc.
Document Number: 2020-25160
Type: Notice
Date: 2020-11-13
Agency: Securities and Exchange Commission, Agencies and Commissions
Asset Management Advisory Committee
Document Number: 2020-25123
Type: Notice
Date: 2020-11-13
Agency: Securities and Exchange Commission, Agencies and Commissions
Notice is being provided that the Securities and Exchange Commission Asset Management Advisory Committee (``AMAC'') will hold a public meeting on December 1, 2020, by remote means. The meeting will begin at 9:00 a.m. (ET) and will be open to the public via webcast on the Commission's website at www.sec.gov. Persons needing special accommodations to take part because of a disability should notify the contact person listed below. The public is invited to submit written statements to the Committee. The meeting will include a discussion of matters in the asset management industry relating to the Private Investments Subcommittee; the ESG Subcommittee, including potential recommendations from that Subcommittee; and the Diversity & Inclusion Subcommittee, including a panel discussion on improving diversity and inclusion. The meeting will also include a discussion of AMAC's administrative matters during a portion of the meeting that will not be open to the public.
Self-Regulatory Organizations; The Depository Trust Company; Order Approving a Proposed Rule Change To Amend Rule 4
Document Number: 2020-25060
Type: Notice
Date: 2020-11-13
Agency: Securities and Exchange Commission, Agencies and Commissions
Invesco Capital Management LLC, et al.; Notice of Application
Document Number: 2020-25050
Type: Notice
Date: 2020-11-13
Agency: Securities and Exchange Commission, Agencies and Commissions
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