Securities and Exchange Commission December 2019 – Federal Register Recent Federal Regulation Documents
Results 1 - 50 of 203
Inter-American Development Bank; Notice of Application
Notice of application for an exemption under section 202(a)(11)(H) of the Investment Advisers Act of 1940 (``Advisers Act''). Applicant: Inter-American Development Bank (``IDB'' or ``Applicant''). Relevant Advisers Act Sections: Exemption requested under section 202(a)(11)(H) of the Advisers Act from section 202(a)(11) of the Advisers Act. Summary of Application: The Applicant requests that the Commission issue an order declaring it to be a person not within the intent of Section 202(a)(11) of the Advisers Act, which defines the term ``investment adviser.'' Filing Dates: The application was filed on June 7, 2019, and amended on October 1, 2019. Hearing or Notification of Hearing: An order granting the application will be issued unless the Commission orders a hearing. Interested persons may request a hearing by writing to the Commission's Secretary and serving the Applicant with a copy of the request, personally or by mail. Hearing requests should be received by the Commission by 5:30 p.m. on January 14, 2019, and should be accompanied by proof of service on the Applicant, in the form of an affidavit or, for lawyers, a certificate of service. Pursuant to Rule 0-5 under the Advisers Act, hearing requests should state the nature of the writer's interest, any facts bearing upon the desirability of a hearing on the matter, the reason for the request, and the issues contested. Persons may request notification of a hearing by writing to the Commission's Secretary.
Asset Management Advisory Committee
Notice is being provided that the Securities and Exchange Commission Asset Management Advisory Committee will hold a public meeting on January 14, 2020, in Multi-Purpose Room LL-006 at the Commission's headquarters, 100 F Street NE, Washington, DC. The meeting will begin at 9:00 a.m. (ET) and will be open to the public. The meeting will be webcast on the Commission's website at www.sec.gov. The Committee will have an administrative work session during lunch. Persons needing special accommodations to take part because of a disability should notify the contact person listed below. The public is invited to submit written statements to the Committee. The meeting will include a discussion of various aspects of the asset management industry as well as administrative items.
Filing Fee Disclosure and Payment Methods Modernization
We are proposing amendments that would modernize filing fee disclosure and payment methods. We are proposing to amend most fee- bearing forms, schedules, statements, and related rules to require each fee table and accompanying disclosure to include all required information for fee calculation in a structured format. The proposed amendments would add the option for fee payment via Automated Clearing House (``ACH'') and eliminate the option for fee payment via paper checks and money orders. The proposed amendments are intended to improve filing fee preparation and payment processing by facilitating both enhanced validation through fee structuring and lower-cost, easily routable payments through the ACH payment option. Finally, the Commission proposes other amendments to enhance the efficiency of the fee process.
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