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

Results 151 - 188 of 188
Horizon Technology Finance Corporation, et al.
Document Number: 2017-23920
Type: Notice
Date: 2017-11-03
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: 2017-23837
Type: Notice
Date: 2017-11-02
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. On May 3, 2017, July 31, 2017, and September 19, 2017, applicant made liquidating distributions to its shareholders, based on net asset value. Expenses of $8,000 incurred in connection with the liquidation were paid by applicant's investment adviser. Filing Date: The application was filed on September 28, 2017. Applicant's Address: 100 Park Avenue, Suite 1635, New York, New York 10017.
FAST Act Modernization and Simplification of Regulation S-K
Document Number: 2017-22374
Type: Proposed Rule
Date: 2017-11-02
Agency: Securities and Exchange Commission, Agencies and Commissions
We are proposing amendments based on the recommendations made in the staff's Report on Modernization and Simplification of Regulation S-K, as required by Section 72003 of the Fixing America's Surface Transportation Act. The proposed amendments are intended to modernize and simplify certain disclosure requirements in Regulation S-K, and related rules and forms, in a manner that reduces the costs and burdens on registrants while continuing to provide all material information to investors. The amendments are also intended to improve the readability and navigability of disclosure documents and discourage repetition and disclosure of immaterial information. To provide for a consistent set of rules to govern incorporation by reference and hyperlinking, we are also proposing parallel amendments to several rules and forms applicable to investment companies and investment advisers, including proposed amendments that would require certain investment company filings to be submitted in HyperText Markup Language (``HTML'') format.
The Relative Value Fund et al.
Document Number: 2017-23695
Type: Notice
Date: 2017-11-01
Agency: Securities and Exchange Commission, Agencies and Commissions
Applicants request an order to permit certain registered closed-end management investment companies to issue multiple classes of shares and to impose asset-based distribution and/or service fees, early withdrawal charges (``EWCs'') and early repurchase fees.