Securities and Exchange Commission October 2015 – Federal Register Recent Federal Regulation Documents
Results 151 - 197 of 197
Amendments to the Commission's Rules of Practice
The Securities and Exchange Commission (``Commission'') is proposing for public comment amendments to update its Rules of Practice to, among other things, adjust the timing of hearings in administrative proceedings; allow for discovery depositions; clarify the rules for admitting hearsay and assertion of affirmative defenses; and make certain related amendments.
Amendments to the Commission's Rules of Practice
The Securities and Exchange Commission (``Commission'') is proposing for public comment amendments to its Rules of Practice that would require persons involved in administrative proceedings to submit all documents and other items electronically. The proposed amendments are intended to enhance the accessibility of administrative proceedings by ensuring that filings and other information concerning administrative proceedings are more readily available to the public.
Adoption of Updated EDGAR Filer Manual
The Securities and Exchange Commission (the Commission) is adopting revisions to the Electronic Data Gathering, Analysis, and Retrieval System (EDGAR) Filer Manual and related rules to reflect updates to the EDGAR system. The updates are being made to add two new Security-based Swap Data Repository (SDR) submission form types; make available new exhibit EX-36 (Depositor Certification for shelf offerings of asset-backed securities) on EDGARLink Online for submission form types SF-3, SF-3/A, 8-K, and 8-K/A; accept Exhibit K and Exhibit L in eXtensible Business Reporting Language (XBRL) format for submission form types SDR, SDR/A, SDR-A, and SDR-W; consider valid XBRL file attachments if they contain multiple identically tagged XBRL facts; make documentation updates to Chapter 2 of the ``EDGAR Filer Manual, Volume I: General Information'' and Chapters 2, 3, and 7 of the ``EDGAR Filer Manual, Volume II: EDGAR Filing'' relating to Form NRSRO; and make formatting changes to ``EDGAR Filer Manual, Volume I: General Information'', ``EDGAR Filer Manual, Volume II: EDGAR Filing'', and ``EDGAR Filer Manual, Volume III: N-SAR Supplement'' for compliance with Section 508 of the U.S. Rehabilitation Act. The Filer Manual is also being revised to address software changes made previously in EDGAR. On July 10, 2015, Regulation A submission form types DOS, DOS/A, 1-A, 1-A/A, and 1-A POS were updated to prevent a filer from entering a response in Item 6(d) when the ``None'' option has been selected on Item 6. The EDGAR system is scheduled to be upgraded to support this functionality on September 14, 2015.
Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 1940
Applicant seeks an order declaring that it has ceased to be an investment company. On May 18, 2015, applicant made a liquidating distribution to its shareholders, based on net asset value. Expenses of $28,291 incurred in connection with the liquidation were paid by applicant's investment adviser and fund administrator. Filing Dates: The application was filed on September 4, 2015. Applicant's Address: 520 Madison Avenue, 38th Floor, New York, New York 10022
Request for Comment on the Effectiveness of Financial Disclosures About Entities Other Than the Registrant
The Commission is publishing this request for comment to seek public comment regarding the financial disclosure requirements in Regulation S-X for certain entities other than a registrant. These disclosure requirements require registrants to provide financial information about acquired businesses, subsidiaries not consolidated and 50 percent or less owned persons, guarantors and issuers of guaranteed securities, and affiliates whose securities collateralize registered securities. This request for comment is related to an initiative by the Division of Corporation Finance to review the disclosure requirements applicable to public companies to consider ways to improve the requirements for the benefit of investors and public companies.
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