Securities and Exchange Commission May 2016 – Federal Register Recent Federal Regulation Documents

Submission for OMB Review; Comment Request
Document Number: 2016-12676
Type: Notice
Date: 2016-05-31
Agency: Securities and Exchange Commission, Agencies and Commissions
Submission for OMB Review; Comment Request
Document Number: 2016-12675
Type: Notice
Date: 2016-05-31
Agency: Securities and Exchange Commission, Agencies and Commissions
Submission for OMB Review; Comment Request
Document Number: 2016-12674
Type: Notice
Date: 2016-05-31
Agency: Securities and Exchange Commission, Agencies and Commissions
Retail Foreign Exchange Transactions
Document Number: 2016-12390
Type: Rule
Date: 2016-05-26
Agency: Securities and Exchange Commission, Agencies and Commissions
Rule 15b12-1, by its terms, will expire and no longer be effective on July 31, 2016. Interested persons should be aware that as of that date, any broker or dealer, including a broker or dealer that is also dually registered as a futures commission merchant (``BD/ FCM''), shall be prohibited under the Commodity Exchange Act (``CEA'') from offering or entering into a transaction described in the CEA with a person who is not an eligible contract participant (``retail forex transaction'').
Investor Advisory Committee Meeting
Document Number: 2016-12231
Type: Notice
Date: 2016-05-26
Agency: Securities and Exchange Commission, Agencies and Commissions
The Securities and Exchange Commission Investor Advisory Committee, established pursuant to Section 911 of the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010, is providing notice that it will hold a telephonic meeting on Tuesday, June 7, 2016. The meeting will begin at 11:00 a.m. (ET) and conclude at 12:30 p.m. and will be open to the public via telephone at 1-888-240-3210, participant code 7250901. The public is invited to submit written statements to the Committee.
Sunshine Act Meeting
Document Number: 2016-12291
Type: Notice
Date: 2016-05-24
Agency: Securities and Exchange Commission, Agencies and Commissions
In the Matter of NuTech Energy Resources, Inc.; Order of Suspension of Trading
Document Number: 2016-12290
Type: Notice
Date: 2016-05-24
Agency: Securities and Exchange Commission, Agencies and Commissions
Performance-Based Investment Advisory Fees
Document Number: 2016-12167
Type: Proposed Rule
Date: 2016-05-24
Agency: Securities and Exchange Commission, Agencies and Commissions
The Securities and Exchange Commission (``Commission'') intends to issue an order that would adjust for inflation, as appropriate, dollar amount thresholds in the rule under the Investment Advisers Act of 1940 that permits investment advisers to charge performance-based fees to ``qualified clients.'' Under that rule, an investment adviser may charge performance-based fees if a ``qualified client'' has a certain minimum net worth or minimum dollar amount of assets under the management of the adviser. The Commission's order would increase, to reflect inflation, the minimum net worth that a ``qualified client'' must have under the rule. The order would not increase the minimum dollar amount of assets under management.
Business Conduct Standards for Security-Based Swap Dealers and Major Security-Based Swap Participants; Correction
Document Number: 2016-12166
Type: Rule
Date: 2016-05-24
Agency: Securities and Exchange Commission, Agencies and Commissions
The Securities and Exchange Commission (``SEC'' or ``Commission'') is making a technical correction to a burden estimate for Paperwork Reduction Act purposes and a corresponding estimate in the Economic Analysis of the business conduct standards for security- based swap dealers and major security-based swap participants.
Proposed Collection; Comment Request
Document Number: 2016-12116
Type: Notice
Date: 2016-05-24
Agency: Securities and Exchange Commission, Agencies and Commissions
Submission for OMB Review; Comment Request
Document Number: 2016-12115
Type: Notice
Date: 2016-05-24
Agency: Securities and Exchange Commission, Agencies and Commissions