Securities and Exchange Commission 2021 – Federal Register Recent Federal Regulation Documents

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Adoption of Updated EDGAR Filer Manual, Form ID Amendments
Document Number: 2021-08759
Type: Rule
Date: 2021-05-11
Agency: Securities and Exchange Commission, Agencies and Commissions
The Securities and Exchange Commission (the ``Commission'') is adopting amendments to Volumes I and II of the Electronic Data Gathering, Analysis, and Retrieval system (``EDGAR'') Filer Manual (``EDGAR Filer Manual'' or ``Filer Manual''), a related form, and related rules. The amendments result in a more uniform and secure process for EDGAR access by requiring certain applicants that already have an EDGAR Central Index Key (or CIK) account number, but do not have EDGAR access codes, to submit the related form and an authenticating document to obtain access to EDGAR. The related form has also been amended to update its instructions and cross-references to Volume I of the Filer Manual. The revisions to Volume II reflect additional updates to the EDGAR system.
Sunshine Act Meeting; Cancellation
Document Number: 2021-09940
Type: Notice
Date: 2021-05-10
Agency: Securities and Exchange Commission, Agencies and Commissions
Sunshine Act Meetings
Document Number: 2021-09939
Type: Notice
Date: 2021-05-10
Agency: Securities and Exchange Commission, Agencies and Commissions
Trinity Capital, Inc.
Document Number: 2021-09650
Type: Notice
Date: 2021-05-07
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: 2021-09524
Type: Notice
Date: 2021-05-06
Agency: Securities and Exchange Commission, Agencies and Commissions
Applicant seeks an order declaring that it has ceased to be an investment company. On November 12, 2020, and December 9, 2020 applicant made liquidating distributions to its shareholders based on net asset value. Expenses of approximately $10,700 incurred in connection with the liquidation were paid by the applicant. Filing Date: The application was filed on March 11, 2021. Applicant's Address: Craig.Ruckman@allianzgi.com.
Reopening of Comment Period for Universal Proxy
Document Number: 2021-08301
Type: Proposed Rule
Date: 2021-05-06
Agency: Securities and Exchange Commission, Agencies and Commissions
The Securities and Exchange Commission (``Commission'') is reopening the comment period for its proposal to require the use of universal proxy cards in all non-exempt solicitations in connection with contested elections of directors (``Proposed Rules''). The Proposed Rules were set forth in a release published in the Federal Register on November 10, 2016 (Release No. 34-79164) (``2016 Release''), and the related comment period ended on January 9, 2017. The reopening of this comment period is intended to allow interested persons further opportunity to analyze and comment upon the Proposed Rules in light of developments since the publication of the Proposed Rules, including developments in corporate governance matters affecting funds.
Sunshine Act Meeting; Date Change
Document Number: 2021-09552
Type: Notice
Date: 2021-05-05
Agency: Securities and Exchange Commission, Agencies and Commissions