Securities and Exchange Commission January 2022 – Federal Register Recent Federal Regulation Documents

Results 151 - 187 of 187
Sunshine Act Meetings
Document Number: 2022-00319
Type: Notice
Date: 2022-01-10
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2022/01/10/2022-00319.html
Apollo Credit Management, LLC and Apollo Debt Solutions BDC
Document Number: 2022-00065
Type: Notice
Date: 2022-01-07
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2022/01/07/2022-00065.html
Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 1940
Document Number: 2022-00064
Type: Notice
Date: 2022-01-07
Agency: Securities and Exchange Commission, Agencies and Commissions
Applicant, a closed-end investment company, seeks an order declaring that it has ceased to be an investment company. On June 28, 2021, applicant made liquidating distributions to its shareholders based on net asset value. Expenses of $2,397 incurred in connection with the liquidation were paid by the applicant. Filing Dates: The application was filed on November 24, 2021, and amended on December 17, 2021. Applicant's Address: Kathy.Ingber@klgates.com.
https://regulations.justia.com/regulations/fedreg/2022/01/07/2022-00064.html
Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Designation of a Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Modify Listing Rule IM-5101-2 To Permit an Acquisition Company To Contribute a Portion of Its Deposit Account to Another Entity in a Spin-Off or Similar Corporate Transaction
Document Number: 2022-00058
Type: Notice
Date: 2022-01-07
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2022/01/07/2022-00058.html
Fairway Private Equity & Venture Capital Opportunities Fund and Fairway Capital Management, LLC
Document Number: 2022-00113
Type: Notice
Date: 2022-01-07
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2022/01/07/2022-00113.html
Self-Regulatory Organizations; ICE Clear Europe Limited; Order Approving Proposed Rule Change Relating to Adoption of the Counterparty Credit Risk Policy and Counterparty Credit Risk Procedures
Document Number: 2021-28575
Type: Notice
Date: 2022-01-05
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2022/01/05/2021-28575.html
Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing of a Proposed Rule Change To Amend the Opening Auction Process Provided Under Rule 11.23(b)(2)(B)
Document Number: 2021-28572
Type: Notice
Date: 2022-01-05
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2022/01/05/2021-28572.html
Self-Regulatory Organizations; Cboe C2 Exchange, Inc.; Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Change Relating to Certain Fine Amounts in Rule 13.15, Which Governs the Exchange's Minor Rule Violation Plan, and Non-Substantive Clarifying Changes
Document Number: 2021-28571
Type: Notice
Date: 2022-01-05
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2022/01/05/2021-28571.html
Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Delay Implementation of SR-NASDAQ-2021-009
Document Number: 2021-28570
Type: Notice
Date: 2022-01-05
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2022/01/05/2021-28570.html
Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Reorganizations Guide and the Fee Guide
Document Number: 2021-28569
Type: Notice
Date: 2022-01-05
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2022/01/05/2021-28569.html
Self-Regulatory Organizations; Investors Exchange LLC; Suspension of and Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Amend Its Fee Schedule for Market Data Fees
Document Number: 2021-28577
Type: Notice
Date: 2022-01-05
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2022/01/05/2021-28577.html
Self-Regulatory Organizations; Miami International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule
Document Number: 2021-28576
Type: Notice
Date: 2022-01-05
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2022/01/05/2021-28576.html
Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Add Fees for NSCC's MF Info Xchange Service, Modify Fees for NSCC's Alternative Investment Product Service and Make Certain Other Clarification Changes to Addendum A of the NSCC Rules
Document Number: 2021-28518
Type: Notice
Date: 2022-01-05
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2022/01/05/2021-28518.html
Flat Rock Global, LLC, et al.
Document Number: 2021-28512
Type: Notice
Date: 2022-01-05
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2022/01/05/2021-28512.html
Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing of Proposed Rule Change To Amend Rule 4754 Related to Certain Order Handling in the LULD Closing Cross
Document Number: 2021-28519
Type: Notice
Date: 2022-01-05
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2022/01/05/2021-28519.html
Adoption of Updated EDGAR Filer Manual
Document Number: 2021-28445
Type: Rule
Date: 2022-01-05
Agency: Securities and Exchange Commission, Agencies and Commissions
The Securities and Exchange Commission (``Commission'') is adopting amendments to Volume II of the Electronic Data Gathering, Analysis, and Retrieval system (``EDGAR'') Filer Manual (``Filer Manual'') and related rules and forms. The EDGAR system was upgraded on December 20, 2021.
https://regulations.justia.com/regulations/fedreg/2022/01/05/2021-28445.html
Sunshine Act Meetings
Document Number: 2021-28559
Type: Notice
Date: 2022-01-04
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2022/01/04/2021-28559.html
Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Withdraw Its Trading Insights Product From Sale
Document Number: 2021-28395
Type: Notice
Date: 2022-01-03
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2022/01/03/2021-28395.html
Submission for OMB Review; Comment Request; Extension: Form TH
Document Number: 2021-28440
Type: Notice
Date: 2022-01-03
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2022/01/03/2021-28440.html
Submission for OMB Review Comment Request; Extension: Form SE
Document Number: 2021-28439
Type: Notice
Date: 2022-01-03
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2022/01/03/2021-28439.html
Submission for OMB Review; Comment Request; Extension: Rule 15c2-8
Document Number: 2021-28428
Type: Notice
Date: 2022-01-03
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2022/01/03/2021-28428.html
Proposed Collection; Comment Request; Extension: Rules 3a68-2 and 3a68-4(c)
Document Number: 2021-28427
Type: Notice
Date: 2022-01-03
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2022/01/03/2021-28427.html
Submission for OMB Review; Comment Request; Extension: Form N-5
Document Number: 2021-28426
Type: Notice
Date: 2022-01-03
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2022/01/03/2021-28426.html
Submission for OMB Review; Comment Request; Extension: Rules 15Fb1-1 Through 15Fb6-2 and Forms SBSE, SBSE-A, SBSE-BD, SBSE-C and SBSE-W
Document Number: 2021-28425
Type: Notice
Date: 2022-01-03
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2022/01/03/2021-28425.html
Submission for OMB Review; Comment Request; Extension: Rule 154
Document Number: 2021-28424
Type: Notice
Date: 2022-01-03
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2022/01/03/2021-28424.html
Submission for OMB Review; Comment Request; Extension: Rule 17f-6
Document Number: 2021-28423
Type: Notice
Date: 2022-01-03
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2022/01/03/2021-28423.html
Submission for OMB Review; Comment Request; Extension: Regulation FD
Document Number: 2021-28422
Type: Notice
Date: 2022-01-03
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2022/01/03/2021-28422.html
Submission for OMB Review; Comment Request; Extension: Form 40-F
Document Number: 2021-28438
Type: Notice
Date: 2022-01-03
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2022/01/03/2021-28438.html
Submission for OMB Review; Comment Request; Extension: Form 12b-25
Document Number: 2021-28437
Type: Notice
Date: 2022-01-03
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2022/01/03/2021-28437.html
Submission for OMB Review; Comment Request; Extension: Form 11-K
Document Number: 2021-28436
Type: Notice
Date: 2022-01-03
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2022/01/03/2021-28436.html
Submission for OMB Review; Comment Request; Extension: Form ADV-E
Document Number: 2021-28435
Type: Notice
Date: 2022-01-03
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2022/01/03/2021-28435.html
Submission for OMB Review; Comment Request; Extension: Rule 304 of Regulation ATS and Form ATS
Document Number: 2021-28434
Type: Notice
Date: 2022-01-03
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2022/01/03/2021-28434.html
Proposed Collection; Comment Request; Extension: Rule 17Ad-2(c), (d), and (h)
Document Number: 2021-28433
Type: Notice
Date: 2022-01-03
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2022/01/03/2021-28433.html
Proposed Collection; Comment Request; Extension: Rules 6a-1 and 6a-2, Form 1
Document Number: 2021-28432
Type: Notice
Date: 2022-01-03
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2022/01/03/2021-28432.html
Submission for OMB Review; Comment Request; Extension: Rule 17f-1(b)
Document Number: 2021-28431
Type: Notice
Date: 2022-01-03
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2022/01/03/2021-28431.html
Submission for OMB Review; Comment Request; Extension: Regulation R, Rule 701
Document Number: 2021-28430
Type: Notice
Date: 2022-01-03
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2022/01/03/2021-28430.html
Submission for OMB Review; Comment Request; Extension: Rule 17a-5(c)
Document Number: 2021-28429
Type: Notice
Date: 2022-01-03
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2022/01/03/2021-28429.html
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