Securities and Exchange Commission 2021 – Federal Register Recent Federal Regulation Documents

The Securities and Exchange Commission (``Commission'') is making an amendment to the Commission's Freedom of Information Act (``FOIA'') regulations to remove a provision stating that records that the FOIA requires to be made available for public inspection in an electronic format will be available to persons who do not have access to the internet in the Commission's Public Reference Room. The Commission's FOIA regulations will continue to provide that persons who do not have access to the internet can obtain the documents required to be made available for public inspection by telephone or email request to the Office of FOIA Services.

The Securities and Exchange Commission (``Commission'' or ``SEC'') is soliciting public comment on an application by the Spanish Comisi[oacute]n Nacional del Mercado de Valores (``CNMV'') requesting that, pursuant to rule 3a71-6 under the Securities Exchange Act of 1934 (``Exchange Act''), the Commission determine that registered security- based swap dealers and registered major security-based swap participants (together, ``SBS Entities'') that are not U.S. persons and that are subject to certain regulation in the Kingdom of Spain (``Spain'') may comply with certain requirements under the Exchange Act via compliance with corresponding requirements of Spain and the European Union (``EU''). The Commission also is soliciting comment on a proposed Order providing for conditional substituted compliance in connection with the application.