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

Results 101 - 150 of 1,219
Proposed Collection; Comment Request; Extension: Rule 15b1-1/Form BD
Document Number: 2022-26426
Type: Notice
Date: 2022-12-06
Agency: Securities and Exchange Commission, Agencies and Commissions
Proposed Collection; Comment Request; Extension: Regulation SBSR
Document Number: 2022-26425
Type: Notice
Date: 2022-12-06
Agency: Securities and Exchange Commission, Agencies and Commissions
Proposed Collection; Comment Request; Extension: Rule 19b-5 and Form PILOT
Document Number: 2022-26424
Type: Notice
Date: 2022-12-06
Agency: Securities and Exchange Commission, Agencies and Commissions
Varagon Capital Corporation, et al.
Document Number: 2022-26330
Type: Notice
Date: 2022-12-05
Agency: Securities and Exchange Commission, Agencies and Commissions
Submission for OMB Review; Comment Request; Extension: Rule 302
Document Number: 2022-26336
Type: Notice
Date: 2022-12-05
Agency: Securities and Exchange Commission, Agencies and Commissions
Sunshine Act Meetings
Document Number: 2022-26486
Type: Notice
Date: 2022-12-05
Agency: Securities and Exchange Commission, Agencies and Commissions
List of Rules To Be Reviewed Pursuant to the Regulatory Flexibility Act
Document Number: 2022-26133
Type: Proposed Rule
Date: 2022-12-02
Agency: Securities and Exchange Commission, Agencies and Commissions
The Securities and Exchange Commission is publishing a list of rules to be reviewed pursuant to Section 610 of the Regulatory Flexibility Act. The list is published to provide the public with notice that these rules are scheduled for review by the agency and to invite public comment on whether the rules should be continued without change, or should be amended or rescinded to minimize any significant economic impact of the rules upon a substantial number of small entities.
Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 1940
Document Number: 2022-26106
Type: Notice
Date: 2022-11-30
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. The applicant has transferred its assets to Angel Oak Financial Strategies Income Term Trust, and on August 1, 2022 made a final distribution to its shareholders based on net asset value. Expenses of $470,158.07 incurred in connection with the reorganization were paid by the applicant and the acquiring fund. Filing Date: The application was filed on September 27, 2022. Applicant's Address: Dory.Black@angeloakcapital.com.
Cantor Fitzgerald Sustainable Infrastructure Fund and Cantor Fitzgerald Investment Advisors, L.P.
Document Number: 2022-25956
Type: Notice
Date: 2022-11-29
Agency: Securities and Exchange Commission, Agencies and Commissions
Listing Standards for Recovery of Erroneously Awarded Compensation
Document Number: 2022-23757
Type: Rule
Date: 2022-11-28
Agency: Securities and Exchange Commission, Agencies and Commissions
We are adopting a new rule and rule amendments to implement Section 954 of the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010 (``Dodd-Frank Act''), which added Section 10D to the Securities Exchange Act of 1934 (``Exchange Act''). In accordance with Section 10D of the Exchange Act, the final rules direct the national securities exchanges and associations that list securities to establish listing standards that require each issuer to develop and implement a policy providing for the recovery, in the event of a required accounting restatement, of incentive-based compensation received by current or former executive officers where that compensation is based on the erroneously reported financial information. The listing standards must also require the disclosure of the policy. Additionally, the final rules require a listed issuer to file the policy as an exhibit to its annual report and to include other disclosures in the event a recovery analysis is triggered under the policy.
Prospect Floating Rate and Alternative Income Fund, Inc. and Prospect Capital Management L.P.
Document Number: 2022-25789
Type: Notice
Date: 2022-11-28
Agency: Securities and Exchange Commission, Agencies and Commissions
Sunshine Act Meetings
Document Number: 2022-26014
Type: Notice
Date: 2022-11-28
Agency: Securities and Exchange Commission, Agencies and Commissions
Tailored Shareholder Reports for Mutual Funds and Exchange-Traded Funds; Fee Information in Investment Company Advertisements
Document Number: 2022-23756
Type: Rule
Date: 2022-11-25
Agency: Securities and Exchange Commission, Agencies and Commissions
The Securities and Exchange Commission (``Commission'') is adopting rule and form amendments that require open-end management investment companies to transmit concise and visually engaging annual and semi-annual reports to shareholders that highlight key information that is particularly important for retail investors to assess and monitor their fund investments. Certain information that may be more relevant to financial professionals and investors who desire more in- depth information will no longer appear in funds' shareholder reports but will be available online, delivered free of charge upon request, and filed on a semi-annual basis on Form N-CSR. The amendments exclude open-end management investment companies from the scope of the current rule that generally permits registered investment companies to satisfy shareholder report transmission requirements by making these reports and other materials available online and providing a notice of that availability. The amendments also require that funds tag their reports to shareholders using the Inline eXtensible Business Reporting Language (``Inline XBRL'') structured data language to provide machine-readable data that retail investors and other market participants may use to more efficiently access and evaluate investments. Finally, the Commission is adopting amendments to the advertising rules for registered investment companies and business development companies to promote more transparent and balanced statements about investment costs.
Sunshine Act Meetings
Document Number: 2022-25927
Type: Notice
Date: 2022-11-25
Agency: Securities and Exchange Commission, Agencies and Commissions
Order Cancelling Registrations of Certain Transfer Agents
Document Number: 2022-25665
Type: Notice
Date: 2022-11-25
Agency: Securities and Exchange Commission, Agencies and Commissions
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