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

Results 151 - 200 of 223
Regulation SBSR-Reporting and Dissemination of Security-Based Swap Information
Document Number: 2016-17032
Type: Rule
Date: 2016-08-12
Agency: Securities and Exchange Commission, Agencies and Commissions
The Securities and Exchange Commission (``SEC'' or ``Commission'') is adopting certain amendments to Regulation SBSR Reporting and Dissemination of Security-Based Swap Information (``Regulation SBSR''). Specifically, new Rule 901(a)(1) of Regulation SBSR requires a platform (i.e., a national securities exchange or security-based swap execution facility (``SB SEF'') that is registered with the Commission or exempt from registration) to report a security- based swap executed on such platform that will be submitted to clearing. New Rule 901(a)(2)(i) of Regulation SBSR requires a registered clearing agency to report any security-based swap to which it is a counterparty. The Commission is adopting certain conforming amendments to other provisions of Regulation SBSR in light of the newly adopted amendments to Rule 901(a), and an amendment that would require registered security-based swap data repositories (``SDRs'') to provide the security-based swap transaction data that they are required to publicly disseminate to the users of the information on a non-fee basis. The Commission also is adopting amendments to Rule 908(a) to extend Regulation SBSR's regulatory reporting and public dissemination requirements to additional types of cross-border security-based swaps. The Commission is offering guidance regarding the application of Regulation SBSR to prime brokerage transactions and to the allocation of cleared security-based swaps. Finally, the Commission is adopting a new compliance schedule for the portions of Regulation SBSR for which the Commission has not previously specified compliance dates.
TrimTabs ETF Trust, et al.; Notice of Application
Document Number: 2016-18914
Type: Notice
Date: 2016-08-10
Agency: Securities and Exchange Commission, Agencies and Commissions
Allianz Life Insurance Company of North America, et al; Notice of Application
Document Number: 2016-18913
Type: Notice
Date: 2016-08-10
Agency: Securities and Exchange Commission, Agencies and Commissions
Sunshine Act Meeting
Document Number: 2016-18932
Type: Notice
Date: 2016-08-09
Agency: Securities and Exchange Commission, Agencies and Commissions
Self-Regulatory Organizations; Investors Exchange LLC; Order Declaring Effective a Minor Rule Violation Plan
Document Number: 2016-18794
Type: Notice
Date: 2016-08-09
Agency: Securities and Exchange Commission, Agencies and Commissions
American Independence Funds Trust, et al.; Notice of Application
Document Number: 2016-18754
Type: Notice
Date: 2016-08-08
Agency: Securities and Exchange Commission, Agencies and Commissions
OSI ETF Trust, et al.; Notice of Application
Document Number: 2016-18706
Type: Notice
Date: 2016-08-08
Agency: Securities and Exchange Commission, Agencies and Commissions
Managed Portfolio Series and Port Street Investments, LLC; Notice of Application
Document Number: 2016-18683
Type: Notice
Date: 2016-08-08
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: 2016-18468
Type: Notice
Date: 2016-08-04
Agency: Securities and Exchange Commission, Agencies and Commissions
Applicant, a unit investment trust, seeks an order declaring that it has ceased to be an investment company. Applicant will continue to operate as a private investment fund in reliance on section 3(c)(1) of the Act. Filing Dates: The application was filed on June 29, 2016 and amended on July 12, 2016. Applicant's Address: 601 6th Avenue, Des Moines, Iowa 50309.
Bain Capital Specialty Finance, Inc., et al.; Notice of Application
Document Number: 2016-18467
Type: Notice
Date: 2016-08-04
Agency: Securities and Exchange Commission, Agencies and Commissions
Investment Managers Series Trust and SilverPepper LLC; Notice of Application
Document Number: 2016-18466
Type: Notice
Date: 2016-08-04
Agency: Securities and Exchange Commission, Agencies and Commissions
Disclosure Update and Simplification
Document Number: 2016-16964
Type: Proposed Rule
Date: 2016-08-04
Agency: Securities and Exchange Commission, Agencies and Commissions
We are proposing amendments to certain of our disclosure requirements that may have become redundant, duplicative, overlapping, outdated, or superseded, in light of other Commission disclosure requirements, U.S. Generally Accepted Accounting Principles (``U.S. GAAP''), International Financial Reporting Standards (``IFRS''), or changes in the information environment. We are also soliciting comment on certain Commission disclosure requirements that overlap with, but require information incremental to, U.S. GAAP to determine whether to retain, modify, eliminate, or refer them to the Financial Accounting Standards Board (``FASB'') for potential incorporation into U.S. GAAP. The proposed amendments are intended to facilitate the disclosure of information to investors, while simplifying compliance efforts, without significantly altering the total mix of information provided to investors. These proposals are part of an initiative by the Division of Corporation Finance to review disclosure requirements applicable to issuers to consider ways to improve the requirements for the benefit of investors and issuers. We are also issuing these proposals as part of our efforts to implement title LXXII, section 72002(2) of the Fixing America's Surface Transportation Act.
CSat Investment Advisory, L.P., et al.; Notice of Application
Document Number: 2016-18321
Type: Notice
Date: 2016-08-03
Agency: Securities and Exchange Commission, Agencies and Commissions