Securities and Exchange Commission – Federal Register Recent Federal Regulation Documents

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Exemption for Certain Investment Advisers Operating Through the Internet
Document Number: 2024-06865
Type: Rule
Date: 2024-04-09
Agency: Securities and Exchange Commission, Agencies and Commissions
The Securities and Exchange Commission ("SEC" or "Commission") is adopting amendments to the rule under the Investment Advisers Act of 1940 that exempts certain investment advisers that provide advisory services through the internet ("internet investment advisers") from the prohibition on Commission registration, as well as related amendments to Form ADV. The amendments are designed to modernize the rule's conditions to account for the evolution in technology and the investment advisory industry since the initial adoption of the rule in 2002.
Sunshine Act Meetings
Document Number: 2024-07481
Type: Notice
Date: 2024-04-08
Agency: Securities and Exchange Commission, Agencies and Commissions
Sunshine Act Meetings
Document Number: 2024-07460
Type: Notice
Date: 2024-04-08
Agency: Securities and Exchange Commission, Agencies and Commissions
Share Repurchase Disclosure Modernization
Document Number: 2024-06187
Type: Rule
Date: 2024-04-08
Agency: Securities and Exchange Commission, Agencies and Commissions
The Securities and Exchange Commission ("Commission") is adopting technical amendments to various rules and forms under the Securities Exchange Act of 1934 ("Exchange Act") and the Investment Company Act of 1940 ("Investment Company Act") to reflect a Federal court's vacatur of rule amendments that the Commission adopted on May 3, 2023, to modernize and improve disclosure about repurchases of an issuer's equity securities that are registered under the Exchange Act ("Repurchase Rule"). The court's vacatur of the Repurchase Rule was effective as of December 19, 2023, and had the legal effect of reverting to the rules and forms that existed prior to the effective date of the Repurchase Rule. These technical amendments revise the Code of Federal Regulations ("CFR") to reflect the court's vacatur of the Repurchase Rule.
Submission for OMB Review; Comment Request; Extension: Supplier Diversity Business Management System
Document Number: 2024-07208
Type: Notice
Date: 2024-04-05
Agency: Securities and Exchange Commission, Agencies and Commissions
Deregistration Under Section 8(f) of the Investment Company Act of 1940
Document Number: 2024-07083
Type: Notice
Date: 2024-04-03
Agency: Securities and Exchange Commission, Agencies and Commissions
Applicant seeks an order declaring that it has ceased to be an investment company. On November 30, 2022, applicant made a liquidating distribution to its shareholders based on net asset value. Expenses of $986,416 incurred in connection with the liquidation were paid by the applicant and the applicant's investment adviser. Filing Dates: The application was filed on March 24, 2023 and amended on March 18, 2024. Applicant's Address: c/o Capital Growth Management, One International Place, 31st Floor, Boston, Massachusetts 02110.
Sunshine Act Meetings
Document Number: 2024-06961
Type: Notice
Date: 2024-04-01
Agency: Securities and Exchange Commission, Agencies and Commissions
Coller Secondaries Private Equity Opportunities Fund, et al.
Document Number: 2024-06541
Type: Notice
Date: 2024-03-28
Agency: Securities and Exchange Commission, Agencies and Commissions
Oaktree Fund Advisors, LLC and Oaktree Diversified Income Fund Inc.
Document Number: 2024-06540
Type: Notice
Date: 2024-03-28
Agency: Securities and Exchange Commission, Agencies and Commissions
Submission for OMB Review; Comment Request; Extension: Rule 13h-1 and Form 13H
Document Number: 2024-06631
Type: Notice
Date: 2024-03-28
Agency: Securities and Exchange Commission, Agencies and Commissions
Submission for OMB Review; Comment Request; Extension: Form N-CEN
Document Number: 2024-06630
Type: Notice
Date: 2024-03-28
Agency: Securities and Exchange Commission, Agencies and Commissions
Submission for OMB Review; Comment Request; Extension: Form PF & Rule 204(b)-1
Document Number: 2024-06629
Type: Notice
Date: 2024-03-28
Agency: Securities and Exchange Commission, Agencies and Commissions
Submission for OMB Review; Comment Request; Extension: Rule 18f-4
Document Number: 2024-06628
Type: Notice
Date: 2024-03-28
Agency: Securities and Exchange Commission, Agencies and Commissions
Submission for OMB Review; Comment Request; Extension: Rule 34b-1
Document Number: 2024-06627
Type: Notice
Date: 2024-03-28
Agency: Securities and Exchange Commission, Agencies and Commissions
The Enhancement and Standardization of Climate-Related Disclosures for Investors
Document Number: 2024-05137
Type: Rule
Date: 2024-03-28
Agency: Securities and Exchange Commission, Agencies and Commissions
The Securities and Exchange Commission ("Commission") is adopting amendments to its rules under the Securities Act of 1933 ("Securities Act") and Securities Exchange Act of 1934 ("Exchange Act") that will require registrants to provide certain climate-related information in their registration statements and annual reports. The final rules will require information about a registrant's climate- related risks that have materially impacted, or are reasonably likely to have a material impact on, its business strategy, results of operations, or financial condition. In addition, under the final rules, certain disclosures related to severe weather events and other natural conditions will be required in a registrant's audited financial statements.
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