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

Results 151 - 200 of 210
Amendments to Investment Advisers Act Rules To Reflect Changes Made by the FAST Act
Document Number: 2017-09334
Type: Proposed Rule
Date: 2017-05-09
Agency: Securities and Exchange Commission, Agencies and Commissions
We are proposing to amend the definition of a venture capital fund (rule 203(l)-1) and the private fund adviser exemption (rule 203(m)-1) under the Investment Advisers Act of 1940 (the ``Advisers Act'') in order to reflect changes made by title LXXIV, sections 74001 and 74002 of the Fixing America's Surface Transportation Act of 2015 (the ``FAST Act''), which amended sections 203(l) and 203(m) of the Advisers Act. Title LXXIV, section 74001 of the FAST Act amended the exemption from investment adviser registration for any adviser solely to one or more ``venture capital funds'' in Advisers Act section 203(l) by deeming ``small business investment companies'' to be ``venture capital funds'' for purposes of the exemption. Accordingly, we are proposing to amend the definition of a venture capital fund to include ``small business investment companies.'' Title LXXIV, section 74002 of the FAST Act amended the exemption from investment adviser registration for any adviser solely to ``private funds'' with less than $150 million in assets under management in Advisers Act section 203(m) by excluding the assets of ``small business investment companies'' when calculating ``private fund assets'' towards the registration threshold of $150 million. Accordingly, we are proposing to amend the definition of ``assets under management'' in the private fund adviser exemption to exclude the assets of ``small business investment companies.''
Technical Amendments to Form ADV and Form ADV-W
Document Number: 2017-09331
Type: Rule
Date: 2017-05-09
Agency: Securities and Exchange Commission, Agencies and Commissions
The Securities and Exchange Commission (the ``Commission'' or ``SEC'') is making technical amendments to Form ADV under the Investment Advisers Act of 1940 (``Advisers Act'') to reflect the enactment of a Wyoming state law regulating investment advisers. Form ADV is the form advisers use to register with the Commission and the state securities regulatory authorities. The Commission is also making similar amendments to Form ADV-W, the form advisers use to withdraw from registration with the Commission or the states.
Sunshine Act Meeting
Document Number: 2017-09407
Type: Notice
Date: 2017-05-08
Agency: Securities and Exchange Commission, Agencies and Commissions
ClearShares, LLC et al.
Document Number: 2017-09065
Type: Notice
Date: 2017-05-05
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: 2017-08984
Type: Notice
Date: 2017-05-04
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. On September 3, 2014, applicant made a liquidating distribution to its shareholders, based on net asset value. No expenses were incurred in connection with the liquidation. Filing Date: The application was filed on February 22, 2017. Applicant's Address: 18925 Base Camp Road, Suite 203, Monument, Colorado 80132.
Submission for OMB Review; Comment Request
Document Number: 2017-08971
Type: Notice
Date: 2017-05-04
Agency: Securities and Exchange Commission, Agencies and Commissions
Commonwealth Annuity and Life Insurance Company, et al.
Document Number: 2017-08904
Type: Notice
Date: 2017-05-03
Agency: Securities and Exchange Commission, Agencies and Commissions
Sunshine Act Meeting
Document Number: 2017-08957
Type: Notice
Date: 2017-05-02
Agency: Securities and Exchange Commission, Agencies and Commissions
Submission for OMB Review; Comment Request
Document Number: 2017-08767
Type: Notice
Date: 2017-05-01
Agency: Securities and Exchange Commission, Agencies and Commissions
Submission for OMB Review; Comment Request
Document Number: 2017-08766
Type: Notice
Date: 2017-05-01
Agency: Securities and Exchange Commission, Agencies and Commissions
Submission for OMB Review; Comment Request
Document Number: 2017-08765
Type: Notice
Date: 2017-05-01
Agency: Securities and Exchange Commission, Agencies and Commissions