Securities and Exchange Commission – Federal Register Recent Federal Regulation Documents

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Proposed Collection; Comment Request
Document Number: 2018-00514
Type: Notice
Date: 2018-01-16
Agency: Securities and Exchange Commission, Agencies and Commissions
Proposed Collection; Comment Request
Document Number: 2018-00504
Type: Notice
Date: 2018-01-16
Agency: Securities and Exchange Commission, Agencies and Commissions
Proposed Collection; Comment Request
Document Number: 2018-00503
Type: Notice
Date: 2018-01-16
Agency: Securities and Exchange Commission, Agencies and Commissions
Proposed Collection; Comment Request
Document Number: 2018-00502
Type: Notice
Date: 2018-01-16
Agency: Securities and Exchange Commission, Agencies and Commissions
Proposed Collection; Comment Request
Document Number: 2018-00501
Type: Notice
Date: 2018-01-16
Agency: Securities and Exchange Commission, Agencies and Commissions
Proposed Collection; Comment Request
Document Number: 2018-00500
Type: Notice
Date: 2018-01-16
Agency: Securities and Exchange Commission, Agencies and Commissions
Proposed Collection; Comment Request
Document Number: 2018-00499
Type: Notice
Date: 2018-01-16
Agency: Securities and Exchange Commission, Agencies and Commissions
Proposed Collection; Comment Request
Document Number: 2018-00498
Type: Notice
Date: 2018-01-16
Agency: Securities and Exchange Commission, Agencies and Commissions
Proposed Collection; Comment Request
Document Number: 2018-00497
Type: Notice
Date: 2018-01-16
Agency: Securities and Exchange Commission, Agencies and Commissions
Proposed Collection; Comment Request
Document Number: 2018-00496
Type: Notice
Date: 2018-01-16
Agency: Securities and Exchange Commission, Agencies and Commissions
Proposed Collection; Comment Request
Document Number: 2018-00495
Type: Notice
Date: 2018-01-16
Agency: Securities and Exchange Commission, Agencies and Commissions
Proposed Collection; Comment Request
Document Number: 2018-00494
Type: Notice
Date: 2018-01-16
Agency: Securities and Exchange Commission, Agencies and Commissions
Proposed Collection; Comment Request
Document Number: 2018-00493
Type: Notice
Date: 2018-01-16
Agency: Securities and Exchange Commission, Agencies and Commissions
Proposed Collection; Comment Request
Document Number: 2018-00492
Type: Notice
Date: 2018-01-16
Agency: Securities and Exchange Commission, Agencies and Commissions
Proposed Collection; Comment Request
Document Number: 2018-00491
Type: Notice
Date: 2018-01-16
Agency: Securities and Exchange Commission, Agencies and Commissions
Submission for OMB Review; Comment Request
Document Number: 2018-00490
Type: Notice
Date: 2018-01-16
Agency: Securities and Exchange Commission, Agencies and Commissions
Proposed Collection; Comment Request
Document Number: 2018-00489
Type: Notice
Date: 2018-01-16
Agency: Securities and Exchange Commission, Agencies and Commissions
Treatment of Certain Communications Involving Security-Based Swaps That May Be Purchased Only by Eligible Contract Participants
Document Number: 2018-00347
Type: Rule
Date: 2018-01-16
Agency: Securities and Exchange Commission, Agencies and Commissions
We are adopting a rule under the Securities Act of 1933 (``Securities Act'') to provide that certain communications involving security-based swaps will not be deemed to constitute ``offers'' of such security-based swaps for purposes of Section 5 of the Securities Act. The final rule covers the publication or distribution of price quotes that relate to security-based swaps that may be purchased only by persons who are eligible contract participants (``covered SBS'') and are traded or processed on or through certain trading platforms. The final rule also covers a broker, dealer, or security-based swap dealer's publication or distribution of written communications that discuss covered SBS and that meet the definition of ``research report'' in Rule 139(d) under the Securities Act and certain other conditions.
Harbor Funds and Harbor Capital Advisors, Inc.
Document Number: 2018-00431
Type: Notice
Date: 2018-01-12
Agency: Securities and Exchange Commission, Agencies and Commissions
Regulatory Flexibility Agenda
Document Number: 2017-28247
Type: Unknown
Date: 2018-01-12
Agency: Securities and Exchange Commission, Agencies and Commissions
The Securities and Exchange Commission is publishing the Chairman's agenda of rulemaking actions pursuant to the Regulatory Flexibility Act (RFA) (Pub. L. 96-354, 94 Stat. 1164) (Sep. 19, 1980). The items listed in the Regulatory Flexibility Agenda for autumn 2017 reflect only the priorities of the Chairman of the U.S. Securities and Exchange Commission, and do not necessarily reflect the view and priorities of any individual Commissioner. Information in the agenda was accurate on October 6, 2017, the date on which the Commission's staff completed compilation of the data. To the extent possible, rulemaking actions by the Commission since that date have been reflected in the agenda. The Commission invites questions and public comment on the agenda and on the individual agenda entries. The Commission is now printing in the Federal Register, along with our preamble, only those agenda entries for which we have indicated that preparation of an RFA analysis is required. The Commission's complete RFA agenda will be available online at www.reginfo.gov.
Adjustments to Civil Monetary Penalty Amounts
Document Number: 2018-00387
Type: Notice
Date: 2018-01-11
Agency: Securities and Exchange Commission, Agencies and Commissions
The Securities and Exchange Commission (the ``Commission'') is publishing this notice pursuant to the Federal Civil Penalties Inflation Adjustment Act Improvements Act of 2015 (the ``2015 Act''). This Act requires all agencies to annually adjust for inflation the civil monetary penalties that can be imposed under the statutes administered by the agency and publish the adjusted amounts in the Federal Register. This notice sets forth the annual inflation adjustment of the maximum amount of civil monetary penalties (``CMPs'') administered by the Commission under the Securities Act of 1933, the Securities Exchange Act of 1934 (the ``Exchange Act''), the Investment Company Act of 1940, the Investment Advisers Act of 1940, and certain penalties under the Sarbanes-Oxley Act of 2002. These amounts are effective beginning on January 15, 2018, and will apply to all penalties imposed after that date for violations of the aforementioned statutes that occurred after November 2, 2015.
Staff Accounting Bulletin No. 117
Document Number: 2018-00352
Type: Rule
Date: 2018-01-11
Agency: Securities and Exchange Commission, Agencies and Commissions
This staff accounting bulletin modifies portions of the interpretive guidance included in the Staff Accounting Bulletin Series in order to make the relevant interpretive guidance consistent with authoritative accounting guidance and Securities and Exchange Commission rules and regulations. Specifically, the staff is updating the Series in order to bring existing guidance into conformity with the Financial Accounting Standards Board Accounting Standards Codification Topic 321, InvestmentsEquity Securities.