Securities and Exchange Commission March 2014 – Federal Register Recent Federal Regulation Documents

Results 51 - 100 of 183
Submission for OMB Review; Comment Request
Document Number: 2014-06601
Type: Notice
Date: 2014-03-26
Agency: Securities and Exchange Commission, Agencies and Commissions
Standards for Covered Clearing Agencies
Document Number: 2014-05806
Type: Proposed Rule
Date: 2014-03-26
Agency: Securities and Exchange Commission, Agencies and Commissions
The Securities and Exchange Commission (``SEC'' or ``Commission'') proposes to amend Rule 17Ad-22 and add Rule 17Ab2-2 pursuant to Section 17A of the Securities Exchange Act of 1934 (``Exchange Act'') and the Payment, Clearing, and Settlement Supervision Act of 2010 (``Clearing Supervision Act''), adopted in Title VIII of the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010 (``Dodd-Frank Act''). Among other things, the proposed rules would establish standards for the operation and governance of certain types of registered clearing agencies that meet the definition of a ``covered clearing agency.''
PennantPark Investment Corp., et al.; Notice of Application
Document Number: 2014-06465
Type: Notice
Date: 2014-03-25
Agency: Securities and Exchange Commission, Agencies and Commissions
Sunshine Act Meeting
Document Number: 2014-06523
Type: Notice
Date: 2014-03-24
Agency: Securities and Exchange Commission, Agencies and Commissions
Sunshine Act Meeting
Document Number: 2014-06467
Type: Notice
Date: 2014-03-24
Agency: Securities and Exchange Commission, Agencies and Commissions
Sunshine Act Meeting
Document Number: 2014-06466
Type: Notice
Date: 2014-03-24
Agency: Securities and Exchange Commission, Agencies and Commissions
Cybersecurity Roundtable
Document Number: 2014-06336
Type: Notice
Date: 2014-03-24
Agency: Securities and Exchange Commission, Agencies and Commissions
The Securities and Exchange Commission will host a cybersecurity roundtable. Roundtable panelists will discuss the cybersecurity landscape and cybersecurity issues faced by exchanges and other key market systems, broker-dealers, investment advisers, transfer agents, and public companies. Panelists also will be invited to discuss industry and public-private sector coordination efforts relating to assessing and responding to cybersecurity issues. The roundtable discussion will be held in the auditorium of the Securities and Exchange Commission headquarters at 100 F Street NE., Washington, DC on March 26, 2014 from 9:30 a.m. to approximately 3:00 p.m. The public is invited to observe the roundtable discussion. Seating will be available on a first-come, first-serve basis. The roundtable discussion will also be available via webcast on the Commission's Web site at www.sec.gov.
HMS Income Fund, Inc., et al.; Notice of Application
Document Number: 2014-06306
Type: Notice
Date: 2014-03-24
Agency: Securities and Exchange Commission, Agencies and Commissions
Submission for OMB Review; Comment Request
Document Number: 2014-06305
Type: Notice
Date: 2014-03-24
Agency: Securities and Exchange Commission, Agencies and Commissions
Submission for OMB Review; Comment Request
Document Number: 2014-06126
Type: Notice
Date: 2014-03-20
Agency: Securities and Exchange Commission, Agencies and Commissions
Sunshine Act Meeting
Document Number: 2014-06012
Type: Notice
Date: 2014-03-18
Agency: Securities and Exchange Commission, Agencies and Commissions
Petrotech Oil & Gas, Inc.; Order of Suspension of Trading
Document Number: 2014-06005
Type: Notice
Date: 2014-03-18
Agency: Securities and Exchange Commission, Agencies and Commissions