Securities and Exchange Commission 2021 – Federal Register Recent Federal Regulation Documents
Results 1,751 - 1,800 of 1,902
Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 1940
Applicant seeks an order declaring that it has ceased to be an investment company. On December 7, 2018, applicant made a liquidating distribution to its shareholders based on net asset value. Expenses of $357,000 incurred in connection with the liquidation were paid by the applicant. Filing Dates: The application was filed on February 6, 2020, and amended on October 14, 2020, and Deember 29, 2020. Applicant's Address: tlesc@csacompliance.com.
Adoption of Updated EDGAR Filer Manual, Proposed Collection and Comment Request for Form ID
The Securities and Exchange Commission (the ``Commission'') is adopting revisions to Volumes I and II of the Electronic Data Gathering, Analysis, and Retrieval system (``EDGAR'') Filer Manual (``EDGAR Filer Manual'' or ``Filer Manual'') and related rules. The revisions substantially reduce the length of Volume I, and amend Volume I and related rules under Regulation S-T, including provisions regarding electronic notarizations and remote online notarizations, which include electronic signatures. The revisions to Volume II reflect changes made to EDGAR on December 14, 2020. The Commission is also providing notice and soliciting comments on the Form ID collection of information pursuant to the Paperwork Reduction Act of 1995.
Administration of the Electronic Data Gathering, Analysis, and Retrieval System
The Securities and Exchange Commission (``Commission'') is adopting a new rule that specifies several actions that the Commission, in its administration of the Electronic Data Gathering, Analysis, and Retrieval system (``EDGAR''), may take to promote the reliability and integrity of EDGAR submissions. The new rule establishes a process for the Commission to notify filers and other relevant persons of its actions under the rule as soon as reasonably practicable. In addition, the Commission is adopting amendments to delegate authority to the Director of the Commission's EDGAR Business Office to take actions pursuant to the new rule and two current rules relating to filing date adjustments and the continuing hardship exemption.
Securities Investor Protection Corporation; Determination
Pursuant to Section 3(e)(2) of the Securities Investor Protection Act of 1970 (``SIPA''), notice is hereby given that the Board of Directors of SIPC (the ``Board'') filed with the Securities and Exchange Commission (``Commission'') on January 5, 2021, notification that the Board has determined, beginning January 1, 2022, and for the five year period immediately thereafter, that the standard maximum cash advance amount available to satisfy customer claims for cash in a SIPA liquidation proceeding will remain at $250,000. The Commission is publishing this notice to solicit comments on Board's determination from interested parties.
Exemption From the Definition of “Clearing Agency” for Certain Activities of Security-Based Swap Dealers and Security-Based Swap Execution Facilities
The Securities and Exchange Commission (``Commission'') is adopting a rule pursuant to Section 36 of the Securities Exchange Act of 1934 (``Exchange Act'') to exempt from the definition of ``clearing agency'' in Section 3(a)(23) of the Exchange Act certain activities of a registered security-based swap dealer, a registered security-based swap execution facility, and a person engaging in dealing activity in security-based swaps that is eligible for an exception from registration as a security-based swap dealer because the quantity of dealing activity is de minimis.
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