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

Results 51 - 100 of 189
Credit Suisse Asset Management, LLC, et al.; Notice of Application and Temporary Order
Document Number: 2014-11929
Type: Notice
Date: 2014-05-23
Agency: Securities and Exchange Commission, Agencies and Commissions
Applicants have received a temporary order exempting them from section 9(a) of the Act, with respect to a guilty plea entered on May 19, 2014, by Credit Suisse AG (``CSAG'') in the U.S. District Court for the Eastern District of Virginia (``District Court'') in connection with a plea agreement between CSAG and the U.S. Department of Justice (``DOJ''), until the Commission takes final action on an application for a permanent order. Applicants have also applied for a permanent order.
Standards for Covered Clearing Agencies
Document Number: R1-2014-05806
Type: Proposed Rule
Date: 2014-05-22
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.''
Andalusian Resorts and Spas, Inc.; Order of Suspension of Trading
Document Number: 2014-11839
Type: Notice
Date: 2014-05-21
Agency: Securities and Exchange Commission, Agencies and Commissions
Copley Fund, Inc.; Notice of Application
Document Number: 2014-11684
Type: Notice
Date: 2014-05-21
Agency: Securities and Exchange Commission, Agencies and Commissions
Fusion Pharm, Inc.; Order of Suspension of Trading
Document Number: 2014-11739
Type: Notice
Date: 2014-05-20
Agency: Securities and Exchange Commission, Agencies and Commissions
Global Stevia Corp.; Order of Suspension of Trading
Document Number: 2014-11738
Type: Notice
Date: 2014-05-20
Agency: Securities and Exchange Commission, Agencies and Commissions
Sunshine Act Meeting
Document Number: 2014-11706
Type: Notice
Date: 2014-05-20
Agency: Securities and Exchange Commission, Agencies and Commissions
Submission for OMB Review; Comment Request
Document Number: 2014-11575
Type: Notice
Date: 2014-05-20
Agency: Securities and Exchange Commission, Agencies and Commissions
Proposed Collection; Comment Request
Document Number: 2014-11574
Type: Notice
Date: 2014-05-20
Agency: Securities and Exchange Commission, Agencies and Commissions
Submission for OMB Review; Comment Request
Document Number: 2014-11573
Type: Notice
Date: 2014-05-20
Agency: Securities and Exchange Commission, Agencies and Commissions
Partners Group Private Equity (Master Fund), LLC and Partners Group (USA) Inc.; Notice of Application
Document Number: 2014-11571
Type: Notice
Date: 2014-05-20
Agency: Securities and Exchange Commission, Agencies and Commissions
Pingify International, Inc.; Order of Suspension of Trading
Document Number: 2014-11461
Type: Notice
Date: 2014-05-16
Agency: Securities and Exchange Commission, Agencies and Commissions
Proposed Collection; Comment Request
Document Number: 2014-11298
Type: Notice
Date: 2014-05-16
Agency: Securities and Exchange Commission, Agencies and Commissions
Submission for OMB Review; Comment Request
Document Number: 2014-11164
Type: Notice
Date: 2014-05-15
Agency: Securities and Exchange Commission, Agencies and Commissions
Submission for OMB Review; Comment Request
Document Number: 2014-11163
Type: Notice
Date: 2014-05-15
Agency: Securities and Exchange Commission, Agencies and Commissions
Submission for OMB Review; Comment Request
Document Number: 2014-11162
Type: Notice
Date: 2014-05-15
Agency: Securities and Exchange Commission, Agencies and Commissions
Submission for OMB Review; Comment Request
Document Number: 2014-11161
Type: Notice
Date: 2014-05-15
Agency: Securities and Exchange Commission, Agencies and Commissions