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

Results 101 - 150 of 181
Sunshine Act Meeting; Cancellation
Document Number: 2016-11533
Type: Notice
Date: 2016-05-13
Agency: Securities and Exchange Commission, Agencies and Commissions
Business Conduct Standards for Security-Based Swap Dealers and Major Security-Based Swap Participants
Document Number: 2016-10918
Type: Rule
Date: 2016-05-13
Agency: Securities and Exchange Commission, Agencies and Commissions
In accordance with Section 764 of Title VII (``Title VII'') of the Dodd-Frank Wall Street Reform and Consumer Protection Act (the ``Dodd-Frank Act''), the Securities and Exchange Commission (``SEC'' or ``Commission'') is adopting new rules under the Securities Exchange Act of 1934 (``Exchange Act'') that are intended to implement provisions of Title VII relating to business conduct standards and the designation of a chief compliance officer for security-based swap dealers and major security-based swap participants. The final rules also address the cross-border application of the rules and the availability of substituted compliance.
In the Matter of Midwest Oil and Gas, Inc., File No. 500-1; Order of Suspension of Trading
Document Number: 2016-11183
Type: Notice
Date: 2016-05-11
Agency: Securities and Exchange Commission, Agencies and Commissions
Sunshine Act Meeting
Document Number: 2016-11157
Type: Notice
Date: 2016-05-11
Agency: Securities and Exchange Commission, Agencies and Commissions
In the Matter of Code Rebel Corporation; Order of Suspension of Trading
Document Number: 2016-11067
Type: Notice
Date: 2016-05-10
Agency: Securities and Exchange Commission, Agencies and Commissions
In the Matter of Striper Energy, Inc.; Order of Suspension of Trading
Document Number: 2016-11065
Type: Notice
Date: 2016-05-10
Agency: Securities and Exchange Commission, Agencies and Commissions
Columbia ETF Trust I, et al.; Notice of Application
Document Number: 2016-10984
Type: Notice
Date: 2016-05-10
Agency: Securities and Exchange Commission, Agencies and Commissions
Notice of an application for an order under section 6(c) of the Investment Company Act of 1940 (the ``Act'') for an exemption from sections 2(a)(32), 5(a)(1), 22(d), and 22(e) of the Act and rule 22c-1 under the Act, under sections 6(c) and 17(b) of the Act for an exemption from sections 17(a)(1) and 17(a)(2) of the Act, and under section 12(d)(1)(J) for an exemption from sections 12(d)(1)(A) and 12(d)(1)(B) of the Act. The requested order would permit (a) index- based series of certain open-end management investment companies (``Funds'') to issue shares redeemable in large aggregations only (``Creation Units''); (b) secondary market transactions in Fund shares to occur at negotiated market prices rather than at net asset value (``NAV''); (c) certain Funds to pay redemption proceeds, under certain circumstances, more than seven days after the tender of shares for redemption; (d) certain affiliated persons of a Fund to deposit securities into, and receive securities from, the Fund in connection with the purchase and redemption of Creation Units; (e) certain registered management investment companies and unit investment trusts outside of the same group of investment companies as the Funds (``Funds of Funds'') to acquire shares of the Funds; and (f) certain Funds (``Feeder Funds'') to create and redeem Creation Units in-kind in a master-feeder structure.
Franklin Templeton ETF Trust, et al.; Notice of Application
Document Number: 2016-10983
Type: Notice
Date: 2016-05-10
Agency: Securities and Exchange Commission, Agencies and Commissions
Triloma EIG Global Energy Fund, et al.; Notice of Application
Document Number: 2016-10960
Type: Notice
Date: 2016-05-10
Agency: Securities and Exchange Commission, Agencies and Commissions
Bridge Builder Trust and Olive Street Investment Advisers, LLC; Notice of Application
Document Number: 2016-10917
Type: Notice
Date: 2016-05-10
Agency: Securities and Exchange Commission, Agencies and Commissions
Capitala Finance Corp., et al.; Notice of Application
Document Number: 2016-10889
Type: Notice
Date: 2016-05-10
Agency: Securities and Exchange Commission, Agencies and Commissions
Submission for OMB Review; Comment Request
Document Number: 2016-10888
Type: Notice
Date: 2016-05-10
Agency: Securities and Exchange Commission, Agencies and Commissions
Submission for OMB Review; Comment Request
Document Number: 2016-10887
Type: Notice
Date: 2016-05-10
Agency: Securities and Exchange Commission, Agencies and Commissions
Submission for OMB Review; Comment Request
Document Number: 2016-10886
Type: Notice
Date: 2016-05-10
Agency: Securities and Exchange Commission, Agencies and Commissions
Changes to Exchange Act Registration Requirements To Implement Title V and Title VI of the JOBS Act
Document Number: 2016-10746
Type: Rule
Date: 2016-05-10
Agency: Securities and Exchange Commission, Agencies and Commissions
We are amending our rules in light of the statutory changes made by Title V and Title VI of the Jumpstart Our Business Startups Act (the ``JOBS Act'') and Title LXXXV of the Fixing America's Surface Transportation Act (the ``FAST Act''). The amendments revise our rules to reflect the new, higher thresholds for registration, termination of registration and suspension of reporting that were set forth in the JOBS Act and the FAST Act. In addition, the amendments revise the definition of ``held of record'' in Rule 12g5-1 under the Securities Exchange Act of 1934 (the ``Exchange Act''), in accordance with the JOBS Act, to exclude certain securities held by persons who received them pursuant to employee compensation plans and establish a non- exclusive safe harbor for determining whether securities are ``held of record'' for purposes of registration under Exchange Act Section 12(g).
In the Matter of Giant Resources, Inc., and Rush Exploration, Inc., Order of Suspension of Trading
Document Number: 2016-10792
Type: Notice
Date: 2016-05-06
Agency: Securities and Exchange Commission, Agencies and Commissions
In the Matter of EQCO2, Inc., Hondo Minerals Corp., and Liberty Gold Corp., Order of Suspension of Trading
Document Number: 2016-10790
Type: Notice
Date: 2016-05-06
Agency: Securities and Exchange Commission, Agencies and Commissions
In the Matter of Solarbrook Water and Power Corp.; Order of Suspension of Trading
Document Number: 2016-10677
Type: Notice
Date: 2016-05-05
Agency: Securities and Exchange Commission, Agencies and Commissions
Sunshine Act Meeting; Additional Item
Document Number: 2016-10474
Type: Notice
Date: 2016-05-05
Agency: Securities and Exchange Commission, Agencies and Commissions
Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 1940
Document Number: 2016-10438
Type: Notice
Date: 2016-05-04
Agency: Securities and Exchange Commission, Agencies and Commissions
Applicant, a closed-end investment company, seeks an order declaring that it has ceased to be an investment company. Applicant has never made a public offering of its securities and does not propose to make a public offering or engage in business of any kind. Filing Dates: The application was filed on March 21, 2016 and amended on March 28, 2016. Applicant's Address: 71 South Wacker Drive, Chicago, Illinois 60606.
SEC Advisory Committee on Small and Emerging Companies
Document Number: 2016-10406
Type: Notice
Date: 2016-05-04
Agency: Securities and Exchange Commission, Agencies and Commissions
The Securities and Exchange Commission Advisory Committee on Small and Emerging Companies is providing notice that it will hold a public meeting on Wednesday, May 18, 2016, in Multi-Purpose Room LL-006 at the Commission's headquarters, 100 F Street NE., Washington, DC. The meeting will begin at 9:30 a.m. (EDT) and will be open to the public. The meeting will be webcast on the Commission's Web site at www.sec.gov. Persons needing special accommodations to take part because of a disability should notify the contact person listed below. The public is invited to submit written statements to the Committee. The agenda for the meeting includes matters relating to rules and regulations affecting small and emerging companies under the federal securities laws.
Submission for OMB Review; Comment Request
Document Number: 2016-10395
Type: Notice
Date: 2016-05-04
Agency: Securities and Exchange Commission, Agencies and Commissions
Submission for OMB Review; Comment Request
Document Number: 2016-10369
Type: Notice
Date: 2016-05-04
Agency: Securities and Exchange Commission, Agencies and Commissions
Submission for OMB Review; Comment Request
Document Number: 2016-10368
Type: Notice
Date: 2016-05-04
Agency: Securities and Exchange Commission, Agencies and Commissions
This site is protected by reCAPTCHA and the Google Privacy Policy and Terms of Service apply.