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

Results 101 - 150 of 165
Proposed Collection; Comment Request; Extension: Rule 17a-6
Document Number: 2022-19804
Type: Notice
Date: 2022-09-14
Agency: Securities and Exchange Commission, Agencies and Commissions
Proposed Collection; Comment Request; Extension: Rule 17Ab2-2
Document Number: 2022-19677
Type: Notice
Date: 2022-09-13
Agency: Securities and Exchange Commission, Agencies and Commissions
Submission for OMB Review; Comment Request: Extension; Rules 17h-1T and 17h-2T
Document Number: 2022-19673
Type: Notice
Date: 2022-09-13
Agency: Securities and Exchange Commission, Agencies and Commissions
Proposed Collection; Comment Request; Extension: Rule 204-5
Document Number: 2022-19671
Type: Notice
Date: 2022-09-13
Agency: Securities and Exchange Commission, Agencies and Commissions
Proposed Collection; Comment Request; Extension: Rule 6c-11
Document Number: 2022-19670
Type: Notice
Date: 2022-09-13
Agency: Securities and Exchange Commission, Agencies and Commissions
Proposed Collection; Comment Request; Extension: Rule 22c-1
Document Number: 2022-19669
Type: Notice
Date: 2022-09-13
Agency: Securities and Exchange Commission, Agencies and Commissions
Sunshine Act Meetings
Document Number: 2022-19738
Type: Notice
Date: 2022-09-12
Agency: Securities and Exchange Commission, Agencies and Commissions
Sunshine Act Meetings
Document Number: 2022-19691
Type: Notice
Date: 2022-09-12
Agency: Securities and Exchange Commission, Agencies and Commissions
Pay Versus Performance
Document Number: 2022-18771
Type: Rule
Date: 2022-09-08
Agency: Securities and Exchange Commission, Agencies and Commissions
The Securities and Exchange Commission (``Commission'') is adopting amendments to implement Section 14(i) (``Section 14(i)'') of the Securities Exchange Act of 1934 (``Exchange Act''), as added by Section 953(a) of the Dodd-Frank Wall Street Reform and Consumer Protection Act (``Dodd-Frank Act''). Section 14(i) directs the Commission to adopt rules requiring registrants to provide disclosure of pay versus performance. The disclosure is required in proxy or information statements in which executive compensation disclosure is required. The disclosure requirements do not apply to emerging growth companies, registered investment companies, or foreign private issuers.
Sunshine Act Meetings
Document Number: 2022-19504
Type: Notice
Date: 2022-09-08
Agency: Securities and Exchange Commission, Agencies and Commissions
Form PF; Reporting Requirements for All Filers and Large Hedge Fund Advisers
Document Number: C1-2022-17724
Type: Proposed Rule
Date: 2022-09-07
Agency: Commodity Futures Trading Commission, Agencies and Commissions, Securities and Exchange Commission
Sunshine Act Meetings
Document Number: 2022-19345
Type: Notice
Date: 2022-09-07
Agency: Securities and Exchange Commission, Agencies and Commissions
Whistleblower Program Rules
Document Number: 2022-18842
Type: Rule
Date: 2022-09-02
Agency: Securities and Exchange Commission, Agencies and Commissions
The Securities and Exchange Commission (``SEC'' or ``Commission'') is adopting amendments to the Commission's rules implementing its whistleblower program. Section 21F of the Securities Exchange Act of 1934 (``Exchange Act'') and the Commission's implementing rules provide that the Commission shall pay an award to eligible whistleblowers who voluntarily provide the Commission with original information about a violation of the federal securities laws that leads to the successful enforcement of a covered judicial or administrative action or a non-SEC related action. The amendments: expand the scope of related actions eligible for an award under the Commission's whistleblower program; clarify that the Commission may use its statutory authority under Section 21F to consider the dollar amount of a potential award to increase an award but provide that the Commission will not use any statutory authority it might have to decrease the amount of an award; and make several conforming changes and technical corrections.
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