Securities and Exchange Commission – Federal Register Recent Federal Regulation Documents

Results 1 - 50 of 27,739
Covered Investment Fund Research Reports
Document Number: 2018-26613
Type: Rule
Date: 2018-12-13
Agency: Securities and Exchange Commission, Agencies and Commissions
The Commission is adopting a new rule under the Securities Act of 1933 to establish a safe harbor for an unaffiliated broker or dealer participating in a securities offering of a covered investment fund to publish or distribute a covered investment fund research report. If the conditions in the rule are satisfied, the publication or distribution of a covered investment fund research report would be deemed not to be an offer for sale or offer to sell the covered investment fund's securities for purposes of sections 2(a)(10) and 5(c) of the Securities Act of 1933. The Commission is also adopting a new rule under the Investment Company Act of 1940 to exclude a covered investment fund research report from the coverage of section 24(b) of the Investment Company Act, except to the extent the research report is otherwise not subject to the content standards in self-regulatory organization rules related to research reports. We are also adopting a conforming amendment to rule 101 of Regulation M, and a technical amendment to Form 12b-25.
Submission for OMB Review; Comment Request
Document Number: 2018-26851
Type: Notice
Date: 2018-12-12
Agency: Securities and Exchange Commission, Agencies and Commissions
Cliffwater Corporate Lending Fund and Cliffwater LLC
Document Number: 2018-26797
Type: Notice
Date: 2018-12-12
Agency: Securities and Exchange Commission, Agencies and Commissions
Symmetry Panoramic Trust and Symmetry Partners, LLC
Document Number: 2018-26795
Type: Notice
Date: 2018-12-12
Agency: Securities and Exchange Commission, Agencies and Commissions
Sunshine Act Meetings
Document Number: 2018-26822
Type: Notice
Date: 2018-12-10
Agency: Securities and Exchange Commission, Agencies and Commissions
Sunshine Act Meetings
Document Number: 2018-26738
Type: Notice
Date: 2018-12-10
Agency: Securities and Exchange Commission, Agencies and Commissions
Sunshine Act Meetings
Document Number: 2018-26737
Type: Notice
Date: 2018-12-10
Agency: Securities and Exchange Commission, Agencies and Commissions
Stone Ridge Trust II, et al.
Document Number: 2018-26668
Type: Notice
Date: 2018-12-10
Agency: Securities and Exchange Commission, Agencies and Commissions
Sunshine Act Meeting; Cancellation
Document Number: 2018-26656
Type: Notice
Date: 2018-12-07
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: 2018-26487
Type: Notice
Date: 2018-12-06
Agency: Securities and Exchange Commission, Agencies and Commissions
Applicant seeks an order declaring that it has ceased to be an investment company. On January 31, 2018, applicant made liquidating distributions to its shareholders based on net asset value. Expenses of $13,717 incurred in connection with the liquidation were paid by the applicant. Filing Date: The application was filed on October 29, 2018. Applicant's Address: c/o Morgan Stanley Investment Management Inc., 522 Fifth Avenue, New York, New York 10036.
Order Regarding Alternative Net Capital Computation for BofAML Securities, Inc.
Document Number: 2018-26404
Type: Notice
Date: 2018-12-06
Agency: Securities and Exchange Commission, Agencies and Commissions