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

Results 101 - 150 of 175
Self-Regulatory Organizations; The Depository Trust Company; Notice of No Objection To Advance Notice To Amend Rule 4
Document Number: 2020-25006
Type: Notice
Date: 2020-11-12
Agency: Securities and Exchange Commission, Agencies and Commissions
Arena Holdings Management LLC
Document Number: 2020-24956
Type: Notice
Date: 2020-11-12
Agency: Securities and Exchange Commission, Agencies and Commissions
Notice of Intention To Cancel Registration Pursuant to the Investment Advisers Act of 1940
Document Number: 2020-24938
Type: Notice
Date: 2020-11-10
Agency: Securities and Exchange Commission, Agencies and Commissions
Public Availability of the Securities and Exchange Commission's FY 2016 and FY 2017 Service Contract Inventory
Document Number: 2020-24880
Type: Notice
Date: 2020-11-10
Agency: Securities and Exchange Commission, Agencies and Commissions
In accordance with Section 743 of Division C of the Consolidated Appropriations Act of 2010 (Pub. L. 111-117), SEC is publishing this notice to advise the public of the availability of the FY2017 Service Contract Inventory (SCI) and the FY2016 SCI Analysis along with the FY2018 Service Contract Inventory (SCI) and the FY2017 SCI Analysis. The SCI provides information on FY2016 and FY2017 actions over $150,000 for service contracts. The inventory organizes the information by function to show how SEC distributes contracted resources throughout the agency. SEC developed the inventory per the guidance issued on January 17, 2017 by the Office of Management and Budget's Office of Federal Procurement Policy (OFPP). OFPP's guidance is available at https://www.whitehouse.gov/sites/whitehouse.gov/files/omb/mem oranda/ 2017/service_contract_inventories.pdf. The Service Contract Inventory Analysis for FY2016 provides information based on the FY 2016 Inventory and the Service Contract Inventory Analysis for FY2017 provides information based on the FY 2017 Inventory. Please note that the SEC's FY 2016 and FY 2017 Service Contract Inventory data is now included in government-wide inventory available on www.acquisition.gov. The government-wide inventory can be filtered to display the inventory data for the SEC. The SEC has posted its FY 2017 and FY2018 plans for analyzing data, a link to the FY 2017 and 2018 government-wide Service Contract Inventory, the FY 2016 SCI Analysis, and the FY 2017 SCI Analysis on the SEC's homepage at https:// www.sec.gov/about/secreports.shtml and https://www.sec.gov/open.
Principal Diversified Select Real Asset Fund, et al.
Document Number: 2020-24879
Type: Notice
Date: 2020-11-10
Agency: Securities and Exchange Commission, Agencies and Commissions
Investor Advisory Committee Meeting
Document Number: 2020-24846
Type: Notice
Date: 2020-11-09
Agency: Securities and Exchange Commission, Agencies and Commissions
The Securities and Exchange Commission Investor Advisory Committee, established pursuant to Section 911 of the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010, is providing notice that it will hold a public meeting. The public is invited to submit written statements to the Committee.
Proposed Collection; Comment Request
Document Number: 2020-24844
Type: Notice
Date: 2020-11-09
Agency: Securities and Exchange Commission, Agencies and Commissions
Proposed Collection; Comment Request
Document Number: 2020-24843
Type: Notice
Date: 2020-11-09
Agency: Securities and Exchange Commission, Agencies and Commissions
Submission for OMB Review; Comment Request
Document Number: 2020-24842
Type: Notice
Date: 2020-11-09
Agency: Securities and Exchange Commission, Agencies and Commissions
Proposed Collection; Comment Request
Document Number: 2020-24841
Type: Notice
Date: 2020-11-09
Agency: Securities and Exchange Commission, Agencies and Commissions
Submission for OMB Review; Comment Request
Document Number: 2020-24840
Type: Notice
Date: 2020-11-09
Agency: Securities and Exchange Commission, Agencies and Commissions
Submission for OMB Review; Comment Request
Document Number: 2020-24839
Type: Notice
Date: 2020-11-09
Agency: Securities and Exchange Commission, Agencies and Commissions
Submission for OMB Review; Comment Request
Document Number: 2020-24838
Type: Notice
Date: 2020-11-09
Agency: Securities and Exchange Commission, Agencies and Commissions
Sunshine Act Meeting; Cancellation
Document Number: 2020-24811
Type: Notice
Date: 2020-11-06
Agency: Securities and Exchange Commission, Agencies and Commissions
Self-Regulatory Organizations; NYSE National, Inc.; Notice of Filing of Proposed Rule Change To Amend Rule 7.31
Document Number: 2020-24635
Type: Notice
Date: 2020-11-06
Agency: Securities and Exchange Commission, Agencies and Commissions
Self-Regulatory Organizations; NYSE Chicago, Inc.; Notice of Filing of Proposed Rule Change To Amend Rule 7.31
Document Number: 2020-24634
Type: Notice
Date: 2020-11-06
Agency: Securities and Exchange Commission, Agencies and Commissions
Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change To Amend Rule 7.31-E
Document Number: 2020-24633
Type: Notice
Date: 2020-11-06
Agency: Securities and Exchange Commission, Agencies and Commissions
Self-Regulatory Organizations; NYSE American LLC; Notice of Filing of Proposed Rule Change To Amend Rule 7.31E
Document Number: 2020-24632
Type: Notice
Date: 2020-11-06
Agency: Securities and Exchange Commission, Agencies and Commissions
Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule Change To Amend Rule 7.31
Document Number: 2020-24631
Type: Notice
Date: 2020-11-06
Agency: Securities and Exchange Commission, Agencies and Commissions
Sunshine Act Meetings
Document Number: 2020-24772
Type: Notice
Date: 2020-11-05
Agency: Securities and Exchange Commission, Agencies and Commissions
Sunshine Act Meeting; Cancellation
Document Number: 2020-24665
Type: Notice
Date: 2020-11-05
Agency: Securities and Exchange Commission, Agencies and Commissions
Proposed Order Granting Conditional Exemptions Under the Securities Exchange Act of 1934 in Connection With the Portfolio Margining of Swaps and Security-Based Swaps That Are Credit Default Swaps
Document Number: 2020-24612
Type: Notice
Date: 2020-11-05
Agency: Securities and Exchange Commission, Agencies and Commissions
The Commission is proposing to grant exemptive relief, subject to certain conditions, from compliance with certain provisions of the Securities Exchange Act of 1934 in connection with a program to portfolio margin cleared swaps customer and affiliate positions in cleared credit default swaps that are swaps and security-based swaps in a segregated account established and maintained in accordance with Section 4d(f) of the Commodity Exchange Act (in the case of a cleared swaps customer) or a cleared swaps proprietary account (in the case of an affiliate). This proposed exemptive relief would supersede and replace the Commission's Order Granting Conditional Exemptions under the Securities Exchange Act of 1934 in Connection with Portfolio Margining of Swaps and Security-based Swaps issued in December 2012.
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