Securities and Exchange Commission July 9, 2014 – Federal Register Recent Federal Regulation Documents

Sunshine Act Meetings
Document Number: 2014-16107
Type: Notice
Date: 2014-07-09
Agency: Securities and Exchange Commission, Agencies and Commissions
Proposed Collection; Comment Request
Document Number: 2014-16040
Type: Notice
Date: 2014-07-09
Agency: Securities and Exchange Commission, Agencies and Commissions
Submission for OMB Review; Comment Request
Document Number: 2014-16039
Type: Notice
Date: 2014-07-09
Agency: Securities and Exchange Commission, Agencies and Commissions
BMO Funds, Inc., et al.; Notice of Application
Document Number: 2014-15971
Type: Notice
Date: 2014-07-09
Agency: Securities and Exchange Commission, Agencies and Commissions
Janus Investment Fund, et al.; Notice of Application
Document Number: 2014-15970
Type: Notice
Date: 2014-07-09
Agency: Securities and Exchange Commission, Agencies and Commissions
KraneShares Trust and Krane Funds Advisors, LLC; Notice of Application
Document Number: 2014-15969
Type: Notice
Date: 2014-07-09
Agency: Securities and Exchange Commission, Agencies and Commissions
Proposed Collection; Comment Request
Document Number: 2014-15968
Type: Notice
Date: 2014-07-09
Agency: Securities and Exchange Commission, Agencies and Commissions
Proposed Collection; Comment Request
Document Number: 2014-15967
Type: Notice
Date: 2014-07-09
Agency: Securities and Exchange Commission, Agencies and Commissions
Proposed Collection; Comment Request
Document Number: 2014-15966
Type: Notice
Date: 2014-07-09
Agency: Securities and Exchange Commission, Agencies and Commissions
Proposed Collection; Comment Request
Document Number: 2014-15965
Type: Notice
Date: 2014-07-09
Agency: Securities and Exchange Commission, Agencies and Commissions
Application of “Security-Based Swap Dealer” and “Major Security-Based Swap Participant” Definitions to Cross-Border Security-Based Swap Activities
Document Number: 2014-15337
Type: Rule
Date: 2014-07-09
Agency: Securities and Exchange Commission, Agencies and Commissions
The Securities and Exchange Commission (``SEC'' or ``Commission'') is adopting rules and providing guidance to address the application of certain provisions of the Securities Exchange Act of 1934 (``Exchange Act'') that were added by Subtitle B of Title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act (``Dodd- Frank Act''), to cross-border security-based swap activities. These rules and guidance in large part focus on the application of the Title VII definitions of ``security-based swap dealer'' and ``major security- based swap participant'' in the cross-border context. The Commission also is adopting a procedural rule related to the submission of applications for substituted compliance. In addition, the Commission is adopting a rule addressing the scope of our authority, with respect to enforcement proceedings, under section 929P of the Dodd-Frank Act.
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