Securities and Exchange Commission August 23, 2022 – Federal Register Recent Federal Regulation Documents
Results 1 - 7 of 7
Clearing Agency Governance and Conflicts of Interest
The Securities and Exchange Commission (``Commission'') is proposing rules under the Securities Exchange Act of 1934 (``Exchange Act'') to help improve the governance of clearing agencies registered with the Commission (``registered clearing agencies'') by reducing the likelihood that conflicts of interest may influence the board of directors or equivalent governing body (``board'') of a registered clearing agency. The proposed rules would identify certain responsibilities of the board, increase transparency into board governance, and, more generally, improve the alignment of incentives among owners and participants of a registered clearing agency. In support of these objectives, the proposed rules would establish new requirements for board and committee composition, independent directors, management of conflicts of interest, and board oversight.
Merrill Lynch Corporate Dividend Fund, Inc., et al.
The Commission intends to rescind an order issued on April 9, 1985, on an application filed by Merrill Lynch Corporate Dividend Fund, Inc., et al. (the ``Applicants''), which granted exemptions from sections 18(f)(1) and 17(f) of the Act (the ``Exemptive Order'').\1\
VALIC Timed Opportunity Fund, Inc.; Notice of Intention To Rescind Order
The Commission intends to rescind an order issued on May 16, 1984, on an application filed by VALIC Timed Opportunity Fund, Inc. (the ``Applicant''), which granted exemptions from sections 18(f)(1) and 17(f) of the Act (the ``Exemptive Order '').\1\
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