Securities and Exchange Commission – Federal Register Recent Federal Regulation Documents

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Proposed Collection; Comment Request
Document Number: 2019-26870
Type: Notice
Date: 2019-12-13
Agency: Securities and Exchange Commission, Agencies and Commissions
Proposed Collection; Comment Request
Document Number: 2019-26869
Type: Notice
Date: 2019-12-13
Agency: Securities and Exchange Commission, Agencies and Commissions
Proposed Collection; Comment Request
Document Number: 2019-26868
Type: Notice
Date: 2019-12-13
Agency: Securities and Exchange Commission, Agencies and Commissions
Sunshine Act Meetings
Document Number: 2019-26955
Type: Notice
Date: 2019-12-12
Agency: Securities and Exchange Commission, Agencies and Commissions
Proposed Collection; Comment Request
Document Number: 2019-26629
Type: Notice
Date: 2019-12-11
Agency: Securities and Exchange Commission, Agencies and Commissions
Submission for OMB Review; Comment Request
Document Number: 2019-26628
Type: Notice
Date: 2019-12-11
Agency: Securities and Exchange Commission, Agencies and Commissions
Proposed Collection; Comment Request
Document Number: 2019-26627
Type: Notice
Date: 2019-12-11
Agency: Securities and Exchange Commission, Agencies and Commissions
Investment Adviser Advertisements; Compensation for Solicitations
Document Number: 2019-24651
Type: Proposed Rule
Date: 2019-12-10
Agency: Securities and Exchange Commission, Agencies and Commissions
The Securities and Exchange Commission (the ``Commission'' or the ``SEC'') is proposing amendments under the Investment Advisers Act of 1940 (the ``Advisers Act'' or the ``Act'') to the rules that prohibit certain investment adviser advertisements and payments to solicitors, respectively. The proposed amendments to the advertising rule reflect market developments since the rule's adoption in 1961. The proposed amendments to the solicitation rule update its coverage to reflect regulatory changes and the evolution of industry practices since we adopted the rule in 1979. The Commission is also proposing amendments to Form ADV that are designed to provide the Commission with additional information regarding advisers' advertising practices. Finally, the Commission is proposing amendments under the Advisers Act to the books and records rule, to correspond to the proposed changes to the advertising and solicitation rules.
Sunshine Act Meetings
Document Number: 2019-26509
Type: Notice
Date: 2019-12-09
Agency: Securities and Exchange Commission, Agencies and Commissions
Sunshine Act Meetings
Document Number: 2019-26496
Type: Notice
Date: 2019-12-09
Agency: Securities and Exchange Commission, Agencies and Commissions
Lazard Asset Management LLC and Lazard ESC Funds LLC
Document Number: 2019-26407
Type: Notice
Date: 2019-12-09
Agency: Securities and Exchange Commission, Agencies and Commissions
Blackstone Alternative Alpha Fund, et al.
Document Number: 2019-26309
Type: Notice
Date: 2019-12-06
Agency: Securities and Exchange Commission, Agencies and Commissions
Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Remove Its Partial Post Only at Limit Order Type; Correction
Document Number: 2019-26299
Type: Notice
Date: 2019-12-06
Agency: Securities and Exchange Commission, Agencies and Commissions
The Securities and Exchange Commission published a document in the Federal Register on November 29, 2019, concerning a Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Remove its Partial Post Only at Limit Order Type. The document contained a typographical error.
Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 1940
Document Number: 2019-26230
Type: Notice
Date: 2019-12-05
Agency: Securities and Exchange Commission, Agencies and Commissions
Applicant, a closed-end investment company, seeks an order declaring that it has ceased to be an investment company. On July 11, 2019, applicant made a final liquidating distribution to its shareholders based on net asset value. Expenses of $285,369 incurred in connection with the liquidation were paid by applicant's investment adviser. Filing Dates: The application was filed on September 18, 2019, and amended on November 13, 2019. Applicant's Address: 50 South LaSalle Street, Chicago, Illinois 60603.