Securities and Exchange Commission – Federal Register Recent Federal Regulation Documents

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Submission for OMB Review; Comment Request; Extension: Rule 9b-1
Document Number: 2024-07807
Type: Notice
Date: 2024-04-12
Agency: Securities and Exchange Commission, Agencies and Commissions
The Enhancement and Standardization of Climate-Related Disclosures for Investors; Delay of Effective Date
Document Number: 2024-07648
Type: Rule
Date: 2024-04-12
Agency: Securities and Exchange Commission, Agencies and Commissions
On March 28, 2024, the Securities and Exchange Commission ("Commission") published final rules in the Federal Register, titled "The Enhancement and Standardization of Climate-Related Disclosures for Investors" ("Final Rules" or "Rules"), in order to amend its rules under the Securities Act of 1933 ("Securities Act") and Securities Exchange Act of 1934 ("Exchange Act") to require registrants to provide certain climate-related information in their registration statements and annual reports. The Final Rules were to become effective on May 28, 2024. This document announces that the effective date of the Final Rules is delayed pending the completion of judicial review in consolidated proceedings in the Eighth Circuit.
Submission for OMB Review; Comment Request; Extension: Rule 11a-3
Document Number: 2024-07664
Type: Notice
Date: 2024-04-11
Agency: Securities and Exchange Commission, Agencies and Commissions
Proposed Collection; Comment Request; Extension: Rule 18a-9
Document Number: 2024-07695
Type: Notice
Date: 2024-04-11
Agency: Securities and Exchange Commission, Agencies and Commissions
Sunshine Act Meetings
Document Number: 2024-07666
Type: Notice
Date: 2024-04-10
Agency: Securities and Exchange Commission, Agencies and Commissions
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
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