Securities and Exchange Commission 2013 – Federal Register Recent Federal Regulation Documents

Results 351 - 400 of 2,207
Sunshine Act Meeting
Document Number: 2013-26559
Type: Notice
Date: 2013-11-05
Agency: Securities and Exchange Commission, Agencies and Commissions
OFS Capital Corporation, et al.; Notice of Application
Document Number: 2013-26412
Type: Notice
Date: 2013-11-05
Agency: Securities and Exchange Commission, Agencies and Commissions
Securities Investor Protection Corporation
Document Number: 2013-26165
Type: Proposed Rule
Date: 2013-11-05
Agency: Securities and Exchange Commission, Agencies and Commissions
The Securities Investor Protection Corporation (``SIPC'') filed a proposed rule change with the Securities and Exchange Commission (``Commission''). The proposed rule change amends SIPC Rule 400, entitled ``Rules Relating to Satisfaction of Customer Claims for Standardized Options,'' which relates to the satisfaction of customer claims for standardized options under the Securities Investor Protection Act of 1970 (``SIPA''). The Commission is publishing the proposed rule change for public comment. Because SIPC rules have the force and effect as if promulgated by the Commission, those rules are published in Title 17 of the Code of Federal Regulations.
Crowdfunding
Document Number: 2013-25355
Type: Proposed Rule
Date: 2013-11-05
Agency: Securities and Exchange Commission, Agencies and Commissions
The Securities and Exchange Commission is proposing for comment new Regulation Crowdfunding under the Securities Act of 1933 and the Securities Exchange Act of 1934 to implement the requirements of Title III of the Jumpstart Our Business Startups Act. Regulation Crowdfunding would prescribe rules governing the offer and sale of securities under new Section 4(a)(6) of the Securities Act of 1933. The proposal also would provide a framework for the regulation of registered funding portals and brokers that issuers are required to use as intermediaries in the offer and sale of securities in reliance on Section 4(a)(6). In addition, the proposal would exempt securities sold pursuant to Section 4(a)(6) from the registration requirements of Section 12(g) of the Securities Exchange Act of 1934.
DBX ETF Trust, et al.; Notice of Application
Document Number: 2013-26272
Type: Notice
Date: 2013-11-04
Agency: Securities and Exchange Commission, Agencies and Commissions
High End Ventures, Inc., Order of Suspension of Trading
Document Number: 2013-26317
Type: Notice
Date: 2013-11-01
Agency: Securities and Exchange Commission, Agencies and Commissions
Newtech Resources Ltd., Order of Suspension of Trading
Document Number: 2013-26316
Type: Notice
Date: 2013-11-01
Agency: Securities and Exchange Commission, Agencies and Commissions
In the Matter of Press Ventures, Inc.; Order of Suspension of Trading
Document Number: 2013-26293
Type: Notice
Date: 2013-11-01
Agency: Securities and Exchange Commission, Agencies and Commissions
Cambria ETF Trust, et al.; Notice of Application
Document Number: 2013-26068
Type: Notice
Date: 2013-11-01
Agency: Securities and Exchange Commission, Agencies and Commissions
Medley Capital Corporation, et al.; Notice of Application
Document Number: 2013-26038
Type: Notice
Date: 2013-11-01
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: 2013-26037
Type: Notice
Date: 2013-11-01
Agency: Securities and Exchange Commission, Agencies and Commissions
Applicant seeks an order declaring that it has ceased to be an investment company. On August 30, 2013, applicant made a liquidating distribution to its shareholder, based on net asset value. Expenses of approximately $3,500 incurred in connection with the liquidation were paid by SEI Investments Management Corporation, applicant's investment adviser. Filing Date: The application was filed on September 27, 2013. Applicant's Address: One Freedom Valley Dr., Oaks, PA 19456.
Submission for OMB Review; Comment Request
Document Number: 2013-26036
Type: Notice
Date: 2013-11-01
Agency: Securities and Exchange Commission, Agencies and Commissions
Submission for OMB Review; Comment Request
Document Number: 2013-26035
Type: Notice
Date: 2013-11-01
Agency: Securities and Exchange Commission, Agencies and Commissions
Ameritas Life Insurance Corp., et al; Notice of Application
Document Number: 2013-25831
Type: Notice
Date: 2013-10-31
Agency: Securities and Exchange Commission, Agencies and Commissions
VTL Associates, LLC, et al.; Notice of Application
Document Number: 2013-25648
Type: Notice
Date: 2013-10-30
Agency: Securities and Exchange Commission, Agencies and Commissions
Sunshine Act Meeting
Document Number: 2013-25647
Type: Notice
Date: 2013-10-29
Agency: Securities and Exchange Commission, Agencies and Commissions
Submission for OMB Review; Comment Request
Document Number: 2013-25447
Type: Notice
Date: 2013-10-29
Agency: Securities and Exchange Commission, Agencies and Commissions