Securities and Exchange Commission 2020 – Federal Register Recent Federal Regulation Documents
Results 151 - 200 of 2,159
Electronic Signatures in Regulation S-T Rule 302
We are adopting amendments to Regulation S-T and the Electronic Data Gathering, Analysis, and Retrieval system (``EDGAR'') Filer Manual (``EDGAR Filer Manual'' or ``Filer Manual'') to permit the use of electronic signatures in signature authentication documents required under Regulation S-T in connection with electronic filings on EDGAR that are required to be signed. We are also adopting corresponding revisions to several rules and forms under the Securities Act of 1933 (``Securities Act''), Securities Exchange Act of 1934 (``Exchange Act''), and Investment Company Act of 1940 (``Investment Company Act'') to permit the use of electronic signatures in signature authentication documents in connection with certain other filings.
Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 1940
Applicant, a closed-end investment company, seeks an order declaring that it has ceased to be an investment company. On May 17, 2019, August 28, 2019, December 20, 2019, April 2, 2020, and July1, 2020, applicant made liquidating distributions to its shareholders based on net asset value. Expenses of $44,500 incurred in connection with the liquidation were paid by the applicant. Applicant also has retained approximately $26,000 for the purpose of paying outstanding liabilities. Filing Date: The application was filed on August 14, 2020. Applicant's Address: Jonathan.gaines@dechert.com.
Order Granting Conditional Exemptive Relief, Pursuant to Section 36 of the Securities Exchange Act of 1934 (“Exchange Act”) With Respect to Futures Contracts on the SPIKESTM
The Minneapolis Grain Exchange, Inc. (or any successor thereto) (``MGEX'') has expressed an interest in listing and trading contracts for sale for future delivery on the SPIKES\TM\ Index (``SPIKES'') (such futures contracts (and any options thereon) hereinafter referred to as the ``Product''). After careful consideration, the Securities and Exchange Commission (``SEC'' or ``Commission'') believes that the Product has the potential to offer competition with the only comparable incumbent volatility product in the market, and is therefore conditionally exempting the Product from the definition of ``security future'' for all purposes other than as follows: First, the anti-fraud and anti-manipulation provisions under the Exchange Act will continue to apply; second, MGEX will continue to be subject to the requirement to register with the Commission as a national securities exchange (which may be done pursuant to a notice filing) and comply with related amendment and supplemental filing requirements; and third, MGEX will continue to be required, in its capacity as a national securities exchange, to make available to the Commission (or its representatives) books and records relating to transactions in the Product, upon request, and to make itself available to inspection and examination by the Commission (or its representatives), upon request. However, because registration as a notice-registered national securities exchange is intended only as a means to facilitate the Commission's ability to exercise its books and records and examination authority over the Product, MGEX will be exempt from compliance with all other requirements applicable to national securities exchanges. Taken together, these actions will allow the Product to trade as a futures contract on MGEX, a designated contract market (``DCM'') and derivatives clearing organization (``DCO'') that is subject to the jurisdiction of the Commodity Futures Trading Commission (``CFTC''), consistent with the terms and conditions set forth below.
Statement on Central Counterparties Authorized Under the European Markets Infrastructure Regulation Seeking To Register as a Clearing Agency or To Request Exemptions From Certain Requirements Under the Securities Exchange Act of 1934
The Securities and Exchange Commission (``SEC'') is issuing a policy statement and guidance regarding future applications from a central counterparty (``CCP'') authorized under the European Market Infrastructure Regulation (``EMIR'') and based in the European Union (an ``EU CCP'') that is seeking to register as a clearing agency with the SEC under the Securities Exchange Act of 1934 (``Exchange Act'') and future requests by EU CCPs for exemptions from certain SEC requirements.
This site is protected by reCAPTCHA and the Google
Privacy Policy and
Terms of Service apply.
