Securities and Exchange Commission 2022 – Federal Register Recent Federal Regulation Documents
Results 551 - 600 of 1,219
Whistleblower Program Rules
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.
Form PF; Reporting Requirements for All Filers and Large Hedge Fund Advisers
The Commodity Futures Trading Commission (``CFTC'') and the Securities and Exchange Commission (``SEC'') (collectively, ``we'' or the ``Commissions'') are proposing to amend Form PF, the confidential reporting form for certain SEC-registered investment advisers to private funds, including those that also are registered with the CFTC as a commodity pool operator (``CPO'') or commodity trading adviser (``CTA''). The amendments are designed to enhance the Financial Stability Oversight Council's (``FSOC's'') ability to monitor systemic risk as well as bolster the SEC's regulatory oversight of private fund advisers and investor protection efforts. In connection with the amendments to Form PF, the SEC proposes to amend a rule under the Investment Advisers Act of 1940 (the ``Advisers Act'') to revise instructions for requesting a temporary hardship exemption. We also are soliciting comment on the proposed rules and a number of alternatives, including whether certain possible changes to the proposal should apply to Form ADV.
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 January 20, 2022, and January 24, 2022, applicant made a liquidating distributions to its shareholders based on net asset value. Expenses of $41,531 incurred in connection with the liquidation were paid by the applicant and the applicant's investment adviser. Filing Dates: The application was filed on March 22, 2022, and amended on June 28, 2022. Applicant's Address: mike@orion.com.
Draft 2022-2026 Strategic Plan for Securities and Exchange Commission
The Securities and Exchange Commission (SEC) is providing notice that it is seeking comments on its draft 2022-2026 Strategic Plan. The draft Strategic Plan includes a draft of the SEC's mission, vision, values, strategic goals, and planned initiatives.
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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