Securities and Exchange Commission April 2019 – Federal Register Recent Federal Regulation Documents

Results 101 - 150 of 219
Precidian ETFs Trust, et al.; Notice of Application
Document Number: 2019-07207
Type: Notice
Date: 2019-04-11
Agency: Securities and Exchange Commission, Agencies and Commissions
Proposed Collection; Comment Request
Document Number: 2019-07202
Type: Notice
Date: 2019-04-11
Agency: Securities and Exchange Commission, Agencies and Commissions
Proposed Collection; Comment Request
Document Number: 2019-07200
Type: Notice
Date: 2019-04-11
Agency: Securities and Exchange Commission, Agencies and Commissions
Notice of Intention To Cancel Registration Pursuant to Section 203(h) of the Investment Advisers Act of 1940
Document Number: 2019-07128
Type: Notice
Date: 2019-04-11
Agency: Securities and Exchange Commission, Agencies and Commissions
Securities Offering Reform for Closed-End Investment Companies
Document Number: 2019-05776
Type: Proposed Rule
Date: 2019-04-10
Agency: Securities and Exchange Commission, Agencies and Commissions
The Securities and Exchange Commission (the ``Commission'') is proposing rules that would modify the registration, communications, and offering processes for business development companies (``BDCs'') and other closed-end investment companies under the Securities Act of 1933. As directed by Congress, we are proposing rules that would allow these investment companies to use the securities offering rules that are already available to operating companies. The proposed rules would extend to closed-end investment companies offering reforms currently available to operating company issuers by expanding the definition of ``well-known seasoned issuer'' to allow these investment companies to qualify; streamlining the registration process for these investment companies, including the process for shelf registration; permitting these investment companies to satisfy their final prospectus delivery requirements by filing the prospectus with the Commission; and permitting additional communications by and about these investment companies during a registered public offering. In addition, the proposed rules would include amendments to our rules and forms intended to tailor the disclosure and regulatory framework to these investment companies. The proposed rules also include a modernized approach to securities registration fee payment that would require closed-end investment companies that operate as ``interval funds'' to pay securities registration fees using the same method that mutual funds use today. Lastly, we are proposing certain structured data reporting requirements, including the use of structured data format for filings on the form providing annual notice of securities sold pursuant to the rule under the Investment Company Act of 1940 that prescribes the method by which certain investment companies (including mutual funds) calculate and pay registration fees.
Sunshine Act Meetings
Document Number: 2019-07053
Type: Notice
Date: 2019-04-09
Agency: Securities and Exchange Commission, Agencies and Commissions
Sunshine Act Meetings
Document Number: 2019-07052
Type: Notice
Date: 2019-04-09
Agency: Securities and Exchange Commission, Agencies and Commissions
Proposed Collection; Comment Request
Document Number: 2019-06959
Type: Notice
Date: 2019-04-09
Agency: Securities and Exchange Commission, Agencies and Commissions