Securities and Exchange Commission – Federal Register Recent Federal Regulation Documents

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Sunshine Act Meetings
Document Number: 2019-24955
Type: Notice
Date: 2019-11-15
Agency: Securities and Exchange Commission, Agencies and Commissions
Prohibitions and Restrictions on Proprietary Trading and Certain Interests in, and Relationships With, Hedge Funds and Private Equity Funds
Document Number: 2019-22695
Type: Rule
Date: 2019-11-14
Agency: Commodity Futures Trading Commission, Agencies and Commissions, Federal Deposit Insurance Corporation, Federal Reserve System, Securities and Exchange Commission, Department of Treasury, Office of the Comptroller of the Currency
The OCC, Board, FDIC, SEC, and CFTC are adopting amendments to the regulations implementing section 13 of the Bank Holding Company Act. Section 13 contains certain restrictions on the ability of a banking entity and nonbank financial company supervised by the Board to engage in proprietary trading and have certain interests in, or relationships with, a hedge fund or private equity fund. These final amendments are intended to provide banking entities with clarity about what activities are prohibited and to improve supervision and implementation of section 13.
Fixed Income Market Structure Advisory Committee
Document Number: 2019-24653
Type: Notice
Date: 2019-11-13
Agency: Securities and Exchange Commission, Agencies and Commissions
The Securities and Exchange Commission is publishing this notice to announce that the Chairman of the Commission, with the concurrence of the other Commissioners, has approved the renewal of the Securities and Exchange Commission Fixed Income Market Structure Advisory Committee.
Investment Company Act Release No. 33681; File No. 812-15036
Document Number: 2019-24468
Type: Notice
Date: 2019-11-12
Agency: Securities and Exchange Commission, Agencies and Commissions
Sunshine Act Meetings
Document Number: 2019-24500
Type: Notice
Date: 2019-11-08
Agency: Securities and Exchange Commission, Agencies and Commissions
Proposed Collection; Comment Request
Document Number: 2019-24418
Type: Notice
Date: 2019-11-08
Agency: Securities and Exchange Commission, Agencies and Commissions
Sunshine Act Meetings
Document Number: 2019-24376
Type: Notice
Date: 2019-11-07
Agency: Securities and Exchange Commission, Agencies and Commissions
Sunshine Act Meetings
Document Number: 2019-24357
Type: Notice
Date: 2019-11-07
Agency: Securities and Exchange Commission, Agencies and Commissions
SEC Small Business Capital Formation Advisory Committee
Document Number: 2019-24314
Type: Notice
Date: 2019-11-07
Agency: Securities and Exchange Commission, Agencies and Commissions
The Securities and Exchange Commission Small Business Capital Formation Advisory Committee, established pursuant to Section 40 of the Securities Exchange Act of 1934 as added by the SEC Small Business Advocate Act of 2016, is providing notice that it will hold a public meeting. The public is invited to submit written statements to the Committee.
Self-Regulatory Organizations; Long-Term Stock Exchange, Inc.; Order Declaring Effective a Minor Rule Violation Plan
Document Number: 2019-23977
Type: Notice
Date: 2019-11-04
Agency: Securities and Exchange Commission, Agencies and Commissions