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

Results 251 - 300 of 1,219
Submission for OMB Review; Comment Request; Extension: Rule 17a-4
Document Number: 2022-24248
Type: Notice
Date: 2022-11-08
Agency: Securities and Exchange Commission, Agencies and Commissions
Proposed Collection; Comment Request; Extension: Rule 17f-1(g)
Document Number: 2022-24109
Type: Notice
Date: 2022-11-04
Agency: Securities and Exchange Commission, Agencies and Commissions
Electronic Recordkeeping Requirements for Broker-Dealers, Security-Based Swap Dealers, and Major Security-Based Swap Participants
Document Number: 2022-22670
Type: Rule
Date: 2022-11-03
Agency: Securities and Exchange Commission, Agencies and Commissions
The Securities and Exchange Commission (``Commission'') is adopting amendments to the recordkeeping rules applicable to broker- dealers, security-based swap dealers, and major security-based swap participants. The amendments modify requirements regarding the maintenance and preservation of electronic records, the use of third- party recordkeeping services to hold records, and the prompt production of records. The Commission also is designating broker-dealer examining authorities as Commission designees for purposes of certain provisions of the broker-dealer record maintenance and preservation rule.
Proposed Collection; Comment Request; Extension: Rule 17Ad-22
Document Number: 2022-23874
Type: Notice
Date: 2022-11-03
Agency: Securities and Exchange Commission, Agencies and Commissions
Applications for Deregistration Under Section 8(f) of the Investment Company Act of 1940
Document Number: 2022-23884
Type: Notice
Date: 2022-11-03
Agency: Securities and Exchange Commission, Agencies and Commissions
Applicant seeks an order declaring that it has ceased to be an investment company. Applicant has never made a public offering of its securities and does not propose to make a public offering or engage in business of any kind. Filing Date: The application was filed on September 19, 2022. Applicant's Address: Gisele.sutherland@bmo.com.
Royalty Pharma plc and Royalty Pharma Finance Corporation
Document Number: 2022-23788
Type: Notice
Date: 2022-11-02
Agency: Securities and Exchange Commission, Agencies and Commissions
Submission for OMB Review; Comment Request; Extension: Exchange Act Rule 3a71-3
Document Number: 2022-23693
Type: Notice
Date: 2022-11-01
Agency: Securities and Exchange Commission, Agencies and Commissions
Sunshine Act Meetings
Document Number: 2022-23771
Type: Notice
Date: 2022-10-31
Agency: Securities and Exchange Commission, Agencies and Commissions
Submission for OMB Review; Comment Request; Extension: Rule 17a-13
Document Number: 2022-23571
Type: Notice
Date: 2022-10-31
Agency: Securities and Exchange Commission, Agencies and Commissions
Submission for OMB Review; Comment Request; Extension: Regulation S-AM
Document Number: 2022-23570
Type: Notice
Date: 2022-10-31
Agency: Securities and Exchange Commission, Agencies and Commissions
Submission for OMB Review; Comment Request; Extension: Rule 17a-1
Document Number: 2022-23471
Type: Notice
Date: 2022-10-28
Agency: Securities and Exchange Commission, Agencies and Commissions
Sunshine Act Meetings
Document Number: 2022-23677
Type: Notice
Date: 2022-10-28
Agency: Securities and Exchange Commission, Agencies and Commissions
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