Securities and Exchange Commission – Federal Register Recent Federal Regulation Documents

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Market Data Infrastructure
Document Number: 2020-28370
Type: Rule
Date: 2021-04-09
Agency: Securities and Exchange Commission, Agencies and Commissions
The Securities and Exchange Commission (``Commission'' or ``SEC'') is amending Regulation National Market System (``Regulation NMS'') under the Securities Exchange Act of 1934 (``Exchange Act'') to modernize the national market system for the collection, consolidation, and dissemination of information with respect to quotations for and transactions in national market system (``NMS'') stocks (``NMS information''). Specifically, the Commission is expanding the content of NMS information that is required to be collected, consolidated, and disseminated as part of the national market system under Regulation NMS and is amending the method by which such NMS information is collected, calculated, and disseminated by fostering a competitive environment for the dissemination of NMS information via a decentralized consolidation model with competing consolidators.
Notice of Substituted Compliance Application Submitted by the United Kingdom Financial Conduct Authority in Connection With Certain Requirements Applicable to Security-Based Swap Dealers and Major Security-Based Swap Participants Subject to Regulation in the United Kingdom; Proposed Order
Document Number: 2021-07255
Type: Notice
Date: 2021-04-08
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 United Kingdom Financial Conduct Authority (``FCA'') 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 (together, ``SBS Entities'') that are not U.S. persons and that are subject to certain regulation in the United Kingdom (``UK'') may comply with certain requirements under the Exchange Act via compliance with corresponding requirements of the UK. The Commission also is soliciting comment on a proposed Order providing for conditional substituted compliance in connection with the application.
Reopening of Comment Period for Order Proposing Conditional Substituted Compliance in Connection With Certain Requirements Applicable to Non-U.S. Security-Based Swap Dealers and Major Security-Based Swap Participants Subject to Regulation in the French Republic
Document Number: 2021-07254
Type: Notice
Date: 2021-04-08
Agency: Securities and Exchange Commission, Agencies and Commissions
The Securities and Exchange Commission (``Commission'') is reopening the comment period for its proposed conditional substituted compliance order, published in the Federal Register on December 29, 2020, in connection with certain requirements applicable to non-U.S. security-based swap dealers and major security-based swap participants subject to regulation in the French Republic (``Proposed Order''). The reopening of the comment period is intended to allow interested persons time to analyze and comment upon potential changes to the Proposed Order and additional questions related to the Proposed Order.
Sunshine Act Meetings
Document Number: 2021-07081
Type: Notice
Date: 2021-04-05
Agency: Securities and Exchange Commission, Agencies and Commissions
Sunshine Act Meetings
Document Number: 2021-07065
Type: Notice
Date: 2021-04-05
Agency: Securities and Exchange Commission, Agencies and Commissions
Holding Foreign Companies Accountable Act Disclosure
Document Number: 2021-06292
Type: Rule
Date: 2021-04-05
Agency: Securities and Exchange Commission, Agencies and Commissions
We are adopting interim final amendments to Forms 20-F, 40-F, 10-K, and N-CSR to implement the disclosure and submission requirements of the Holding Foreign Companies Accountable Act (``HFCA Act''). The interim final amendments will apply to registrants that the Securities and Exchange Commission (``Commission'') identifies as having filed an annual report with an audit report issued by a registered public accounting firm that is located in a foreign jurisdiction and that the Public Company Accounting Oversight Board (``PCAOB'') is unable to inspect or investigate completely because of a position taken by an authority in that jurisdiction. Consistent with the HFCA Act, the amendments require the submission of documentation to the Commission establishing that such a registrant is not owned or controlled by a governmental entity in that foreign jurisdiction and also require disclosure in a foreign issuer's annual report regarding the audit arrangements of, and governmental influence on, such registrants.
Submission for OMB Review; Comment Request
Document Number: 2021-06732
Type: Notice
Date: 2021-04-01
Agency: Securities and Exchange Commission, Agencies and Commissions
Proposed Collection; Comment Request
Document Number: 2021-06731
Type: Notice
Date: 2021-04-01
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: 2021-06654
Type: Notice
Date: 2021-04-01
Agency: Securities and Exchange Commission, Agencies and Commissions
Applicant seeks an order declaring that it has ceased to be an investment company. Applicant has never made a public offering of its securities under the Investment Company Act of 1940. Filing Date: The application was filed on February 22, 2021, and amended on March 25, 2021. Applicant's Address: kevin.bettsteller@dlapiper.com.
Regulatory Flexibility Agenda
Document Number: 2021-04360
Type: Proposed Rule
Date: 2021-03-31
Agency: Securities and Exchange Commission, Agencies and Commissions
The Securities and Exchange Commission is publishing the Chairman's agenda of rulemaking actions pursuant to the Regulatory Flexibility Act (RFA) (Pub. L. 96-354, 94 Stat. 1164) (Sep. 19, 1980). The items listed in the Regulatory Flexibility Agenda for Fall 2020 reflect only the priorities of the Chairman of the U.S. Securities and Exchange Commission, and do not necessarily reflect the view and priorities of any individual Commissioner. Information in the agenda was accurate on October 7, 2020, the date on which the Commission's staff completed compilation of the data. To the extent possible, rulemaking actions by the Commission since that date have been reflected in the agenda. The Commission invites questions and public comment on the agenda and on the individual agenda entries. The Commission is now printing in the Federal Register, along with our preamble, only those agenda entries for which we have indicated that preparation of an RFA analysis is required. The Commission's complete RFA agenda will be available online at www.reginfo.gov.
Proposed Collection; Comment Request
Document Number: 2021-06243
Type: Notice
Date: 2021-03-26
Agency: Securities and Exchange Commission, Agencies and Commissions
Proposed Collection; Comment Request
Document Number: 2021-06242
Type: Notice
Date: 2021-03-26
Agency: Securities and Exchange Commission, Agencies and Commissions