Securities and Exchange Commission – Federal Register Recent Federal Regulation Documents

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Sunshine Act Meetings
Document Number: 2020-23245
Type: Notice
Date: 2020-10-20
Agency: Securities and Exchange Commission, Agencies and Commissions
Notice of Intention To Cancel Registration Pursuant to Section 203(h) of the Investment Advisers Act of 1940
Document Number: 2020-23178
Type: Notice
Date: 2020-10-20
Agency: Securities and Exchange Commission, Agencies and Commissions
Self-Regulatory Organizations; the Depository Trust Company; Notice of Filing of an Advance Notice To Amend Rule 4
Document Number: 2020-23143
Type: Notice
Date: 2020-10-20
Agency: Securities and Exchange Commission, Agencies and Commissions
Sunshine Act Meetings
Document Number: 2020-23085
Type: Notice
Date: 2020-10-16
Agency: Securities and Exchange Commission, Agencies and Commissions
Update of Statistical Disclosures for Bank and Savings and Loan Registrants
Document Number: 2020-20655
Type: Rule
Date: 2020-10-16
Agency: Securities and Exchange Commission, Agencies and Commissions
We are adopting rules to update our statistical disclosure requirements for banking registrants. These registrants currently provide many disclosures in response to the items set forth in Industry Guide 3 (``Guide 3''), Statistical Disclosure by Bank Holding Companies, which are not Commission rules. The amendments update and expand the disclosures that registrants are required to provide, codify certain Guide 3 disclosure items and eliminate other Guide 3 disclosure items that overlap with Commission rules, U.S. Generally Accepted Accounting Principles (``U.S. GAAP''), or International Financial Reporting Standards (``IFRS''). In addition, we are relocating the codified disclosure requirements to a new subpart of Regulation S-K and rescinding Guide 3.
Proposed Amendments to the National Market System Plan Governing the Consolidated Audit Trail To Enhance Data Security
Document Number: 2020-18801
Type: Notice
Date: 2020-10-16
Agency: Securities and Exchange Commission, Agencies and Commissions
The Securities and Exchange Commission is proposing amendments to the national market system plan governing the consolidated audit trail. The proposed amendments are designed to enhance the security of the consolidated audit trail.
Snowflake, Inc.
Document Number: 2020-22824
Type: Notice
Date: 2020-10-15
Agency: Securities and Exchange Commission, Agencies and Commissions
Rescission of Effective-Upon-Filing Procedure for NMS Plan Fee Amendments and Modified Procedures for Proposed NMS Plans and Plan Amendments
Document Number: 2020-18572
Type: Rule
Date: 2020-10-15
Agency: Securities and Exchange Commission, Agencies and Commissions
The Securities and Exchange Commission (``Commission'' or ``SEC'') is amending Regulation NMS under the Securities Exchange Act of 1934 (``Exchange Act'') to rescind a provision that allows a proposed amendment to a national market system plan (``NMS plan'') to become effective upon filing if the proposed amendment establishes or changes a fee or other charge. As a result of rescinding the provision, such a proposed amendment instead will be subject to the procedures under which there must be an opportunity for public comment and Commission approval by order prior to effectiveness. The Commission also is amending its regulations to require that proposed NMS plans and proposed amendments to existing NMS plans be filed with the Commission by email, and is amending its regulations to modify the procedures applicable to the Commission's handling of proposed NMS plans and plan amendments, including fee amendments. Finally, the Commission is adopting amendments to its rules of practice regarding disapproval proceedings and its delegations of authority to the Director of the Division of Trading and Markets (``Division'').