Securities and Exchange Commission 2016 – Federal Register Recent Federal Regulation Documents
Results 601 - 650 of 2,320
Political Contributions by Certain Investment Advisers: Ban on Third-Party Solicitation; Order With Respect to FINRA Rule 2030
The Securities and Exchange Commission (``Commission'' or ``SEC'') is issuing an order finding that Financial Industry Regulatory Authority (``FINRA'') rule 2030 (the ``FINRA Pay to Play Rule'') imposes substantially equivalent or more stringent restrictions on broker-dealers than rule 206(4)-5 (the ``SEC Pay to Play Rule) under the Investment Advisers Act of 1940 (the ``Advisers Act'') imposes on investment advisers and is consistent with the objectives of the SEC Pay to Play Rule.
Political Contributions by Certain Investment Advisers: Ban on Third-Party Solicitation; Order With Respect to MSRB Rule G-37
The Securities and Exchange Commission (``Commission'' or ``SEC'') is issuing an order finding that Municipal Securities Rulemaking Board (``MSRB'') rule G-37 (the ``MSRB Pay to Play Rule'') imposes substantially equivalent or more stringent restrictions on municipal advisors than rule 206(4)-5 (the ``SEC Pay to Play Rule) under the Investment Advisers Act of 1940 (the ``Advisers Act'') imposes on investment advisers and is consistent with the objectives of the SEC Pay to Play Rule.
List of Rules To Be Reviewed Pursuant to the Regulatory Flexibility Act
The Securities and Exchange Commission is publishing a list of rules to be reviewed pursuant to Section 610 of the Regulatory Flexibility Act. The list is published to provide the public with notice that these rules are scheduled for review by the agency and to invite public comment on whether the rules should be continued without change, or should be amended or rescinded to minimize any significant economic impact of the rules upon a substantial number of such small entities.
SEC Advisory Committee on Small and Emerging Companies
The Securities and Exchange Commission Advisory Committee on Small and Emerging Companies is providing notice that it will hold a public meeting on Wednesday, October 5, 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.
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