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

Results 51 - 100 of 183
Tortoise Tax-Advantaged Social Infrastructure Fund, Inc. and Tortoise Credit Strategies, LLC
Document Number: 2019-12905
Type: Notice
Date: 2019-06-19
Agency: Securities and Exchange Commission, Agencies and Commissions
Proposed Collection; Comment Request
Document Number: 2019-12890
Type: Notice
Date: 2019-06-18
Agency: Securities and Exchange Commission, Agencies and Commissions
Proposed Collection; Comment Request
Document Number: 2019-12889
Type: Notice
Date: 2019-06-18
Agency: Securities and Exchange Commission, Agencies and Commissions
Proposed Collection; Comment Request
Document Number: 2019-12888
Type: Notice
Date: 2019-06-18
Agency: Securities and Exchange Commission, Agencies and Commissions
Proposed Collection; Comment Request
Document Number: 2019-12887
Type: Notice
Date: 2019-06-18
Agency: Securities and Exchange Commission, Agencies and Commissions
Proposed Collection; Comment Request
Document Number: 2019-12886
Type: Notice
Date: 2019-06-18
Agency: Securities and Exchange Commission, Agencies and Commissions
Proposed Collection; Comment Request
Document Number: 2019-12885
Type: Notice
Date: 2019-06-18
Agency: Securities and Exchange Commission, Agencies and Commissions
Axonic Alternative Income Fund and Axonic Capital LLC
Document Number: 2019-12883
Type: Notice
Date: 2019-06-18
Agency: Securities and Exchange Commission, Agencies and Commissions
Wahed Invest LLC, et al.
Document Number: 2019-12781
Type: Notice
Date: 2019-06-18
Agency: Securities and Exchange Commission, Agencies and Commissions
Vertical Capital Income Fund and Oakline Advisors, LLC
Document Number: 2019-12779
Type: Notice
Date: 2019-06-18
Agency: Securities and Exchange Commission, Agencies and Commissions
Pioneer ETF Series Trust I, et al.
Document Number: 2019-12778
Type: Notice
Date: 2019-06-18
Agency: Securities and Exchange Commission, Agencies and Commissions
Sunshine Act Meeting; Cancellation
Document Number: 2019-12775
Type: Notice
Date: 2019-06-14
Agency: Securities and Exchange Commission, Agencies and Commissions
Amendment to Single Issuer Exemption for Broker-Dealers
Document Number: 2019-12563
Type: Rule
Date: 2019-06-14
Agency: Securities and Exchange Commission, Agencies and Commissions
The Commission is adopting an amendment to an exemptive provision in the broker-dealer annual reporting rule under the Securities Exchange Act of 1934 (``Exchange Act''). The exemption provides that a broker-dealer is not required to engage an independent public accountant to certify the broker-dealer's annual reports filed with the Commission if, among other things, the securities business of the broker-dealer has been limited to acting as broker (agent) for a single issuer in soliciting subscriptions for securities of that issuer.
Sunshine Act Meetings
Document Number: 2019-12551
Type: Notice
Date: 2019-06-13
Agency: Securities and Exchange Commission, Agencies and Commissions
Proposed Collection; Comment Request
Document Number: 2019-12515
Type: Notice
Date: 2019-06-13
Agency: Securities and Exchange Commission, Agencies and Commissions
Proposed Collection; Comment Request
Document Number: 2019-12423
Type: Notice
Date: 2019-06-12
Agency: Securities and Exchange Commission, Agencies and Commissions