Securities and Exchange Commission 2020 – Federal Register Recent Federal Regulation Documents
Results 701 - 750 of 2,159
Investor Advisory Committee Meeting
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.
Supplement to Commission Guidance Regarding Proxy Voting Responsibilities of Investment Advisers
The Securities and Exchange Commission (``Commission'') is publishing supplementary guidance regarding the proxy voting responsibilities of investment advisers under its regulations issued under the Investment Advisers Act of 1940 (the ``Advisers Act'') in light of the Commission's amendments to the rules governing proxy solicitations under the Securities Exchange Act of 1934 (the ``Exchange Act'').
Exemptions From the Proxy Rules for Proxy Voting Advice
The Securities and Exchange Commission (``Commission'') is adopting amendments to its rules governing proxy solicitations so that investors who use proxy voting advice receive more transparent, accurate, and complete information on which to make their voting decisions, without imposing undue costs or delays that could adversely affect the timely provision of proxy voting advice. The amendments add conditions to the availability of certain existing exemptions from the information and filing requirements of the Federal proxy rules that are commonly used by proxy voting advice businesses. These conditions require compliance with disclosure and procedural requirements, including conflicts of interest disclosures by proxy voting advice businesses and two principles-based requirements. In addition, the amendments codify the Commission's interpretation that proxy voting advice generally constitutes a solicitation within the meaning of the Securities Exchange Act of 1934. Finally, the amendments clarify when the failure to disclose certain information in proxy voting advice may be considered misleading within the meaning of the antifraud provision of the proxy rules, depending upon the particular facts and circumstances.
Temporary Amendments to Regulation Crowdfunding; Extension
The Securities and Exchange Commission (``Commission'') is extending the effective date and applicability dates of our temporary final rules under Regulation Crowdfunding to facilitate capital formation for small businesses impacted by coronavirus disease 2019 (COVID-19). The temporary final rules are intended to expedite the offering process for smaller, previously established companies directly or indirectly affected by COVID-19 that are seeking to meet their funding needs through the offer and sale of securities pursuant to Regulation Crowdfunding. The temporary final rules are designed to facilitate this offering process by providing tailored, conditional relief from certain requirements of Regulation Crowdfunding relating to the timing of the offering and the availability of financial statements required to be included in issuers' offering materials while retaining appropriate investor protections.
Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 1940
Applicant, a closed-end investment company, seeks an order declaring that it has ceased to be an investment company. On May 8, 2020, applicant made liquidating distributions to its shareholders based on net asset value. Expenses of $5,713.02 incurred in connection with the liquidation were paid by the applicant. Filing Date: The application was filed on June 23, 2020. Applicant's Address: dglatz@stradley.com.
Asset Management Advisory Committee
Notice is being provided that the Securities and Exchange Commission Asset Management Advisory Committee (``AMAC'') will hold a public meeting on September 16, 2020, by remote means. The meeting will begin at 9:00 a.m. (ET) and will be open to the public via webcast on the Commission's website at www.sec.gov. 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 matters in the asset management industry relating to the ESG and Private Investments Subcommittees; and improving diversity and inclusion. It will also include a follow-up discussion on COVID-19 matters relating to AMAC's meeting of May 27, 2020.
Covered Broker-Dealer Provisions Under Title II of the Dodd-Frank Wall Street Reform and Consumer Protection Act
The Agencies, in accordance with section 205(h) of the Dodd- Frank Wall Street Reform and Consumer Protection Act (``Dodd-Frank Act''), are jointly adopting a final rule to implement provisions applicable to the orderly liquidation of covered brokers and dealers under Title II of the Dodd-Frank Act (``Title II'').
Financial Disclosures About Guarantors and Issuers of Guaranteed Securities and Affiliates Whose Securities Collateralize a Registrant's Securities; Correction
This document makes technical corrections to certain amendments to the Commission's disclosure rules and forms adopted in Release No. 33-10762 (March 2, 2020), which was published in the Federal Register on April 20, 2020. Specifically, this document conforms the numbering of certain regulatory text to match renumbering set out in a rule published elsewhere in this issue of the Federal Register.
Amendments to Financial Disclosures About Acquired and Disposed Businesses
We are adopting amendments to our rules and forms to improve their application, assist registrants in making more meaningful determinations of whether a subsidiary or an acquired or disposed business is significant, and to improve the disclosure requirements for financial statements relating to acquisitions and dispositions of businesses, including real estate operations and investment companies. The changes are intended to improve for investors the financial information about acquired or disposed businesses, facilitate more timely access to capital, and reduce the complexity and costs to prepare the disclosure.
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