Securities and Exchange Commission 2020 – Federal Register Recent Federal Regulation Documents

Sunshine Act Meetings
Document Number: 2020-11411
Type: Notice
Date: 2020-05-27
Agency: Securities and Exchange Commission, Agencies and Commissions
Sunshine Act Meetings
Document Number: 2020-11290
Type: Notice
Date: 2020-05-26
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: 2020-11253
Type: Notice
Date: 2020-05-26
Agency: Securities and Exchange Commission, Agencies and Commissions
Sutter Rock Capital Corp.
Document Number: 2020-11139
Type: Notice
Date: 2020-05-26
Agency: Securities and Exchange Commission, Agencies and Commissions
Sunshine Act Meeting; Cancellation
Document Number: 2020-11216
Type: Notice
Date: 2020-05-22
Agency: Securities and Exchange Commission, Agencies and Commissions
Sunshine Act Meetings
Document Number: 2020-11143
Type: Notice
Date: 2020-05-22
Agency: Securities and Exchange Commission, Agencies and Commissions
Varagon Capital Corporation, et al.
Document Number: 2020-11035
Type: Notice
Date: 2020-05-22
Agency: Securities and Exchange Commission, Agencies and Commissions
Intention To Cancel Registration Pursuant to Section 203(H) of the Investment Advisers Act of 1940
Document Number: 2020-11031
Type: Notice
Date: 2020-05-22
Agency: Securities and Exchange Commission, Agencies and Commissions
Amendments to the National Market System Plan Governing the Consolidated Audit Trail
Document Number: 2020-10963
Type: Notice
Date: 2020-05-22
Agency: Securities and Exchange Commission, Agencies and Commissions
The Securities and Exchange Commission is adopting amendments to the national market system plan governing the consolidated audit trail. The amendments impose public transparency requirements on the self-regulatory organizations that are participants in the plan. Under the amendments, plan participants are required to publish and file with the Securities and Exchange Commission a complete implementation plan for the consolidated audit trail and quarterly progress reports. The amendments also establish financial accountability provisions.
Submission for OMB Review; Comment Request
Document Number: 2020-10881
Type: Notice
Date: 2020-05-20
Agency: Securities and Exchange Commission, Agencies and Commissions
Submission for OMB Review; Comment Request
Document Number: 2020-10880
Type: Notice
Date: 2020-05-20
Agency: Securities and Exchange Commission, Agencies and Commissions