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

Guinness Atkinson Asset Management, Inc. and Guinness Atkinson Funds
Document Number: 2019-13528
Type: Notice
Date: 2019-06-26
Agency: Securities and Exchange Commission, Agencies and Commissions
Concept Release on Harmonization of Securities Offering Exemptions
Document Number: 2019-13255
Type: Proposed Rule
Date: 2019-06-26
Agency: Securities and Exchange Commission, Agencies and Commissions
The Securities and Exchange Commission is publishing this release to solicit comment on several exemptions from registration under the Securities Act of 1933 that facilitate capital raising. Over the years, and particularly since the Jumpstart Our Business Startups Act of 2012, several exemptions from registration have been introduced, expanded, or otherwise revised. As a result, the overall framework for exempt offerings has changed significantly. We believe our capital markets would benefit from a comprehensive review of the design and scope of our framework for offerings that are exempt from registration. More specifically, we also believe that issuers and investors could benefit from a framework that is more consistent and addresses gaps and complexities. Therefore, we seek comment on possible ways to simplify, harmonize, and improve the exempt offering framework to promote capital formation and expand investment opportunities while maintaining appropriate investor protections.
Sunshine Act Meetings
Document Number: 2019-13529
Type: Notice
Date: 2019-06-25
Agency: Securities and Exchange Commission, Agencies and Commissions
Lord Abbett Credit Opportunities Fund, et al.
Document Number: 2019-13414
Type: Notice
Date: 2019-06-25
Agency: Securities and Exchange Commission, Agencies and Commissions
Submission for OMB Review; Comment Request
Document Number: 2019-13299
Type: Notice
Date: 2019-06-24
Agency: Securities and Exchange Commission, Agencies and Commissions
Submission for OMB Review; Comment Request
Document Number: 2019-13298
Type: Notice
Date: 2019-06-24
Agency: Securities and Exchange Commission, Agencies and Commissions
Submission for OMB Review; Comment Request
Document Number: 2019-13283
Type: Notice
Date: 2019-06-21
Agency: Securities and Exchange Commission, Agencies and Commissions
Submission for OMB Review; Comment Request
Document Number: 2019-13282
Type: Notice
Date: 2019-06-21
Agency: Securities and Exchange Commission, Agencies and Commissions
Submission for OMB Review; Comment Request
Document Number: 2019-13281
Type: Notice
Date: 2019-06-21
Agency: Securities and Exchange Commission, Agencies and Commissions
Submission for OMB Review; Comment Request
Document Number: 2019-13280
Type: Notice
Date: 2019-06-21
Agency: Securities and Exchange Commission, Agencies and Commissions
Submission for OMB Review; Comment Request
Document Number: 2019-13279
Type: Notice
Date: 2019-06-21
Agency: Securities and Exchange Commission, Agencies and Commissions
Proposed Collection; Comment Request
Document Number: 2019-13056
Type: Notice
Date: 2019-06-20
Agency: Securities and Exchange Commission, Agencies and Commissions