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

Sunshine Act Meetings
Document Number: 2019-11239
Type: Notice
Date: 2019-05-29
Agency: Securities and Exchange Commission, Agencies and Commissions
Sunshine Act Meetings
Document Number: 2019-11231
Type: Notice
Date: 2019-05-29
Agency: Securities and Exchange Commission, Agencies and Commissions
Tudor Investment Corporation and Tudor Employee Investment Fund LLC
Document Number: 2019-11205
Type: Notice
Date: 2019-05-29
Agency: Securities and Exchange Commission, Agencies and Commissions
Amendments to the Accelerated Filer and Large Accelerated Filer Definitions
Document Number: 2019-09932
Type: Proposed Rule
Date: 2019-05-29
Agency: Securities and Exchange Commission, Agencies and Commissions
We are proposing amendments to the accelerated filer and large accelerated filer definitions to promote capital formation for smaller reporting issuers, by more appropriately tailoring the types of issuers that are included in the categories of accelerated and large accelerated filers and revising the transition thresholds for accelerated and large accelerated filers. The proposed amendments would exclude from the accelerated and large accelerated filer definitions an issuer that is eligible to be a smaller reporting company and had annual revenues of less than $100 million in the most recent fiscal year for which audited financial statements are available. In addition, the proposed amendments would increase the transition thresholds for accelerated and large accelerated filers becoming non-accelerated filers from $50 million to $60 million and for exiting large accelerated filer status from $500 million to $560 million. Finally, the proposed amendments would add a revenue test to the transition thresholds for exiting both accelerated and large accelerated filer status. As a result of the amendments, certain low-revenue issuers would not be required to have their assessment of the effectiveness of internal control over financial reporting attested to, and reported on, by an independent auditor, although they would continue to be required to make such assessments and to establish and maintain the effectiveness of their internal control over financial reporting.
Proposed Collection; Comment Request
Document Number: 2019-10983
Type: Notice
Date: 2019-05-28
Agency: Securities and Exchange Commission, Agencies and Commissions
Proposed Collection; Comment Request
Document Number: 2019-10982
Type: Notice
Date: 2019-05-28
Agency: Securities and Exchange Commission, Agencies and Commissions
Proposed Collection; Comment Request
Document Number: 2019-10981
Type: Notice
Date: 2019-05-28
Agency: Securities and Exchange Commission, Agencies and Commissions
BlackRock Capital Investment Corporation, et al.
Document Number: 2019-10975
Type: Notice
Date: 2019-05-28
Agency: Securities and Exchange Commission, Agencies and Commissions
Amendments to Financial Disclosures About Acquired and Disposed Businesses
Document Number: 2019-09472
Type: Proposed Rule
Date: 2019-05-28
Agency: Securities and Exchange Commission, Agencies and Commissions
We are proposing amendments to our rules and forms to improve the disclosure requirements for financial statements relating to acquisitions and dispositions of businesses, including real estate operations and investment companies. The proposed changes are intended to improve for investors the financial information about acquired or disposed businesses, facilitate more timely access to capital, and reduce the complexity and costs to prepare the disclosure.
Submission for OMB Review; Comment Request
Document Number: 2019-10844
Type: Notice
Date: 2019-05-24
Agency: Securities and Exchange Commission, Agencies and Commissions
Submission for OMB Review; Comment Request
Document Number: 2019-10843
Type: Notice
Date: 2019-05-24
Agency: Securities and Exchange Commission, Agencies and Commissions
Submission for OMB Review; Comment Request
Document Number: 2019-10842
Type: Notice
Date: 2019-05-24
Agency: Securities and Exchange Commission, Agencies and Commissions
Proposed Rule Amendments and Guidance Addressing Cross-Border Application of Certain Security-Based Swap Requirements
Document Number: 2019-10016
Type: Proposed Rule
Date: 2019-05-24
Agency: Securities and Exchange Commission, Agencies and Commissions
The Securities and Exchange Commission (``SEC'' or ``Commission'') is proposing a number of actions to address the cross- border application of certain security-based swap requirements under the Securities Exchange Act of 1934 (``Exchange Act'') that were added by Title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act (the ``Dodd-Frank Act'').
Fixed Income Market Structure Advisory Committee
Document Number: 2019-10810
Type: Notice
Date: 2019-05-23
Agency: Securities and Exchange Commission, Agencies and Commissions
Notice is being provided that the Securities and Exchange Commission Fixed Income Market Structure Advisory Committee will hold an open, public telephonic meeting on Tuesday, June 11, 2019 beginning at 1:00 p.m. (ET). The meeting will include the consideration of a recommendation from the Technology and Electronic Trading Subcommittee. Members of the public may listen to the meeting by telephone at 1-800-260-0718, participant code 467607, or by webcast on the Commission's website at www.sec.gov. Persons needing special accommodations to take part because of a disability should notify the contact persons listed below. The public is invited to submit written statements to the Committee.