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

Results 251 - 300 of 1,902
Performance-Based Investment Advisory Fees
Document Number: 2021-24525
Type: Rule
Date: 2021-11-10
Agency: Securities and Exchange Commission, Agencies and Commissions
The Securities and Exchange Commission (``Commission'' or ``SEC'') is adopting amendments to the rule under the Investment Advisers Act of 1940 (``Advisers Act'') that permits investment advisers to charge performance-based compensation to ``qualified clients.'' The rule defines ``qualified client'' with reference to specific dollar amount thresholds, which are required to be adjusted every five years to account for the effects of inflation. These amendments replace specific dollar amount thresholds in the rule's ``qualified client'' definition with references to the Commission's ``most recent order,'' as defined by the amended rule, containing the specific dollar amount thresholds adjusted for inflation.
Proposed Collection; Comment Request
Document Number: 2021-24429
Type: Notice
Date: 2021-11-09
Agency: Securities and Exchange Commission, Agencies and Commissions
Proposed Collection; Comment Request
Document Number: 2021-24428
Type: Notice
Date: 2021-11-09
Agency: Securities and Exchange Commission, Agencies and Commissions
Proposed Collection; Comment Request
Document Number: 2021-24427
Type: Notice
Date: 2021-11-09
Agency: Securities and Exchange Commission, Agencies and Commissions
Proposed Collection; Comment Request
Document Number: 2021-24426
Type: Notice
Date: 2021-11-09
Agency: Securities and Exchange Commission, Agencies and Commissions
Proposed Collection; Comment Request
Document Number: 2021-24425
Type: Notice
Date: 2021-11-09
Agency: Securities and Exchange Commission, Agencies and Commissions
Proposed Collection; Comment Request
Document Number: 2021-24424
Type: Notice
Date: 2021-11-09
Agency: Securities and Exchange Commission, Agencies and Commissions
Proposed Collection; Comment Request
Document Number: 2021-24423
Type: Notice
Date: 2021-11-09
Agency: Securities and Exchange Commission, Agencies and Commissions
Sunshine Act Meetings
Document Number: 2021-24345
Type: Notice
Date: 2021-11-05
Agency: Securities and Exchange Commission, Agencies and Commissions
AFA Multi-Manager Credit Fund and Alternative Fund Advisors, LLC
Document Number: 2021-24295
Type: Notice
Date: 2021-11-05
Agency: Securities and Exchange Commission, Agencies and Commissions
Order Granting Conditional Exemptions Under the Securities Exchange Act of 1934 in Connection With the Portfolio Margining of Cleared Swaps and Security-Based Swaps That Are Credit Default Swaps
Document Number: 2021-24170
Type: Notice
Date: 2021-11-05
Agency: Securities and Exchange Commission, Agencies and Commissions
The Commission is granting 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 exemptive relief supersedes and replaces 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.
Blackstone/GSO Floating Rate Enhanced Income Fund, et al.
Document Number: 2021-24148
Type: Notice
Date: 2021-11-05
Agency: Securities and Exchange Commission, Agencies and Commissions
Proposed Collection; Comment Request
Document Number: 2021-24147
Type: Notice
Date: 2021-11-05
Agency: Securities and Exchange Commission, Agencies and Commissions
Submission for OMB Review; Comment Request
Document Number: 2021-24146
Type: Notice
Date: 2021-11-05
Agency: Securities and Exchange Commission, Agencies and Commissions
Submission Collection; Comment Request
Document Number: 2021-24145
Type: Notice
Date: 2021-11-05
Agency: Securities and Exchange Commission, Agencies and Commissions
Proposed Collection; Comment Request
Document Number: 2021-24144
Type: Notice
Date: 2021-11-05
Agency: Securities and Exchange Commission, Agencies and Commissions
Submission for OMB Review; Comment Request
Document Number: 2021-24143
Type: Notice
Date: 2021-11-05
Agency: Securities and Exchange Commission, Agencies and Commissions
Submission for OMB Review; Comment Request
Document Number: 2021-24142
Type: Notice
Date: 2021-11-05
Agency: Securities and Exchange Commission, Agencies and Commissions
Submission for OMB Review; Comment Request
Document Number: 2021-24140
Type: Notice
Date: 2021-11-05
Agency: Securities and Exchange Commission, Agencies and Commissions
Proposed Collection; Comment Request
Document Number: 2021-24139
Type: Notice
Date: 2021-11-05
Agency: Securities and Exchange Commission, Agencies and Commissions
Proposed Collection; Comment Request
Document Number: 2021-24138
Type: Notice
Date: 2021-11-05
Agency: Securities and Exchange Commission, Agencies and Commissions
Proposed Collection; Comment Request
Document Number: 2021-24137
Type: Notice
Date: 2021-11-05
Agency: Securities and Exchange Commission, Agencies and Commissions
Submission for OMB Review; Comment Request
Document Number: 2021-24136
Type: Notice
Date: 2021-11-05
Agency: Securities and Exchange Commission, Agencies and Commissions
Proposed Collection; Comment Request
Document Number: 2021-24135
Type: Notice
Date: 2021-11-05
Agency: Securities and Exchange Commission, Agencies and Commissions
Submission for OMB Review; Comment Request
Document Number: 2021-24134
Type: Notice
Date: 2021-11-05
Agency: Securities and Exchange Commission, Agencies and Commissions
Proposed Collection; Comment Request
Document Number: 2021-24133
Type: Notice
Date: 2021-11-05
Agency: Securities and Exchange Commission, Agencies and Commissions
Submission for OMB Review; Comment Request
Document Number: 2021-24132
Type: Notice
Date: 2021-11-05
Agency: Securities and Exchange Commission, Agencies and Commissions
Submission for OMB Review; Comment Request
Document Number: 2021-24131
Type: Notice
Date: 2021-11-05
Agency: Securities and Exchange Commission, Agencies and Commissions
Proposed Collection; Comment Request
Document Number: 2021-24130
Type: Notice
Date: 2021-11-05
Agency: Securities and Exchange Commission, Agencies and Commissions
Submission for OMB Review; Comment Request
Document Number: 2021-24129
Type: Notice
Date: 2021-11-05
Agency: Securities and Exchange Commission, Agencies and Commissions
Sunshine Act Meetings
Document Number: 2021-24222
Type: Notice
Date: 2021-11-04
Agency: Securities and Exchange Commission, Agencies and Commissions
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