Securities and Exchange Commission – Federal Register Recent Federal Regulation Documents

Results 1 - 50 of 28,726
Sunshine Act Meeting; Cancellation
Document Number: 2019-12775
Type: Notice
Date: 2019-06-14
Agency: Securities and Exchange Commission, Agencies and Commissions
Amendment to Single Issuer Exemption for Broker-Dealers
Document Number: 2019-12563
Type: Rule
Date: 2019-06-14
Agency: Securities and Exchange Commission, Agencies and Commissions
The Commission is adopting an amendment to an exemptive provision in the broker-dealer annual reporting rule under the Securities Exchange Act of 1934 (``Exchange Act''). The exemption provides that a broker-dealer is not required to engage an independent public accountant to certify the broker-dealer's annual reports filed with the Commission if, among other things, the securities business of the broker-dealer has been limited to acting as broker (agent) for a single issuer in soliciting subscriptions for securities of that issuer.
Sunshine Act Meetings
Document Number: 2019-12551
Type: Notice
Date: 2019-06-13
Agency: Securities and Exchange Commission, Agencies and Commissions
Proposed Collection; Comment Request
Document Number: 2019-12515
Type: Notice
Date: 2019-06-13
Agency: Securities and Exchange Commission, Agencies and Commissions
Proposed Collection; Comment Request
Document Number: 2019-12423
Type: Notice
Date: 2019-06-12
Agency: Securities and Exchange Commission, Agencies and Commissions
Sunshine Act Meetings
Document Number: 2019-12328
Type: Notice
Date: 2019-06-10
Agency: Securities and Exchange Commission, Agencies and Commissions
Submission for OMB Review; Comment Request; Extension: Rule 17a-7
Document Number: 2019-12042
Type: Notice
Date: 2019-06-07
Agency: Securities and Exchange Commission, Agencies and Commissions
Submission for OMB Review; Comment Request
Document Number: 2019-12041
Type: Notice
Date: 2019-06-07
Agency: Securities and Exchange Commission, Agencies and Commissions
Submission for OMB Review; Comment Request
Document Number: 2019-12039
Type: Notice
Date: 2019-06-07
Agency: Securities and Exchange Commission, Agencies and Commissions
Submission for OMB Review; Comment Request
Document Number: 2019-12038
Type: Notice
Date: 2019-06-07
Agency: Securities and Exchange Commission, Agencies and Commissions
Initial Form ATS-N Filing; Notice of Extension of Commission Review Period
Document Number: 2019-11894
Type: Notice
Date: 2019-06-06
Agency: Securities and Exchange Commission, Agencies and Commissions
Initial Form ATS-N Filing; Notice of Extension of Commission Review Period
Document Number: 2019-11893
Type: Notice
Date: 2019-06-06
Agency: Securities and Exchange Commission, Agencies and Commissions
Initial Form ATS-N Filing; Notice of Extension of Commission Review Period
Document Number: 2019-11892
Type: Notice
Date: 2019-06-06
Agency: Securities and Exchange Commission, Agencies and Commissions
Initial Form ATS-N Filing; Notice of Extension of Commission Review Period
Document Number: 2019-11891
Type: Notice
Date: 2019-06-06
Agency: Securities and Exchange Commission, Agencies and Commissions
Initial Form ATS-N Filing; Notice of Extension of Commission Review Period
Document Number: 2019-11890
Type: Notice
Date: 2019-06-06
Agency: Securities and Exchange Commission, Agencies and Commissions