Securities and Exchange Commission March 2017 – Federal Register Recent Federal Regulation Documents

Results 101 - 150 of 206
UBS ETMF Trust, et al.; Notice of Application
Document Number: 2017-05208
Type: Notice
Date: 2017-03-16
Agency: Securities and Exchange Commission, Agencies and Commissions
Parker Global Strategies, LLC; Notice of Application
Document Number: 2017-05207
Type: Notice
Date: 2017-03-16
Agency: Securities and Exchange Commission, Agencies and Commissions
Proposed Amendments to Municipal Securities Disclosure
Document Number: 2017-04323
Type: Proposed Rule
Date: 2017-03-15
Agency: Securities and Exchange Commission, Agencies and Commissions
The Securities and Exchange Commission (``Commission'' or ``SEC'') is publishing for comment proposed amendments to the Municipal Securities Disclosure Rule (Rule 15c2-12) under the Securities Exchange Act of 1934 (``Exchange Act'') that would amend the list of event notices that a broker, dealer, or municipal securities dealer (collectively, ``dealers'') acting as an underwriter in a primary offering of municipal securities must reasonably determine that an issuer or an obligated person has undertaken, in a written agreement or contract for the benefit of holders of the municipal securities, to provide to the Municipal Securities Rulemaking Board (``MSRB'').
Sunshine Act Meeting
Document Number: 2017-05084
Type: Notice
Date: 2017-03-14
Agency: Securities and Exchange Commission, Agencies and Commissions
Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Granting Approval of a Proposed Rule Change To Amend FINRA Rules To Conform to the Commission's Proposed Amendment to Commission Rule 15c6-1(a) and the Industry-Led Initiative To Shorten the Standard Settlement Cycle for Most Broker-Dealer Transactions From T+3 to T+2; Correction
Document Number: 2017-04869
Type: Notice
Date: 2017-03-13
Agency: Securities and Exchange Commission, Agencies and Commissions
The Securities and Exchange Commission published a document in the Federal Register on February 15, 2017, concerning an Order Granting Approval of a Proposed Rule Change to Amend FINRA Rules to conform to the Commission's Proposed Amendment to Commission Rule 15c6-1(a) and the Industry-led Initiative to Shorten the Standard Settlement Cycle for Most Broker-Dealer Transactions from T+3 to T+2. The document made an erroneous reference to ``an Equity Regulatory Alert'' instead of to ``a Regulatory Notice.''
Submission for OMB Review; Comment Request
Document Number: 2017-04867
Type: Notice
Date: 2017-03-13
Agency: Securities and Exchange Commission, Agencies and Commissions
Submission for OMB Review; Comment Request
Document Number: 2017-04866
Type: Notice
Date: 2017-03-13
Agency: Securities and Exchange Commission, Agencies and Commissions
Submission for OMB Review; Comment Request
Document Number: 2017-04865
Type: Notice
Date: 2017-03-13
Agency: Securities and Exchange Commission, Agencies and Commissions
Jeffrey LLC; Notice of Application
Document Number: 2017-04813
Type: Notice
Date: 2017-03-13
Agency: Securities and Exchange Commission, Agencies and Commissions
Advanced Series Trust, et al.; Notice of Application
Document Number: 2017-04812
Type: Notice
Date: 2017-03-13
Agency: Securities and Exchange Commission, Agencies and Commissions
Katahdin Asset Management LLC; Notice of Application
Document Number: 2017-04811
Type: Notice
Date: 2017-03-13
Agency: Securities and Exchange Commission, Agencies and Commissions
The Jeffrey Company; Notice of Application
Document Number: 2017-04810
Type: Notice
Date: 2017-03-13
Agency: Securities and Exchange Commission, Agencies and Commissions