Securities and Exchange Commission 2023 – Federal Register Recent Federal Regulation Documents
Results 1,001 - 1,050 of 1,677
Technical Amendments to Commission Rules and Forms
The Securities and Exchange Commission (``Commission'') is adopting technical amendments to various rules and forms under the Securities Act of 1933 (``Securities Act''), the Securities Exchange Act of 1934 (``Exchange Act''), and the Investment Company Act of 1940 (``Investment Company Act''), as well as to the rule setting forth undertakings that certain registrants must include in their registration statements, and to the general authority provision corresponding to Commission rules under the Investment Advisers Act of 1940 (``Investment Advisers Act''). These revisions make changes to correct errors that are technical in nature, including typographical errors and erroneous cross-references in various Commission rules and forms.
Form PF; Event Reporting for Large Hedge Fund Advisers and Private Equity Fund Advisers; Requirements for Large Private Equity Fund Adviser Reporting
The Securities and Exchange Commission (``SEC'' or ``Commission'') is adopting amendments to Form PF, the confidential reporting form for certain SEC-registered investment advisers to private funds to require event reporting upon the occurrence of key events. The amendments also require large private equity fund advisers to provide additional information to the SEC about the private equity funds they advise. The reporting requirements are designed to enhance the Financial Stability Oversight Council's (``FSOC'') ability to monitor systemic risk as well as bolster the SEC's regulatory oversight of private fund advisers and investor protection efforts.
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 April 24, 2023, applicant made a liquidating distribution to its shareholders based on net asset value. Expenses of $89,867.03 incurred in connection with the liquidation were paid by the applicant's investment adviser. Applicant also has retained $101,347.27 for the purpose of paying outstanding legal, accounting, and administrative liabilities. Filing Date: The application was filed on April 28, 2023. Applicant's Address: 1290 Broadway, Suite 1000, Denver, Colorado 80203.
Share Repurchase Disclosure Modernization
The Securities and Exchange Commission (``Commission'') is adopting amendments to modernize and improve disclosure about repurchases of an issuer's equity securities that are registered under the Securities Exchange Act of 1934. The amendments require additional detail regarding the structure of an issuer's repurchase program and its share repurchases, require the filing of daily quantitative repurchase data either quarterly or semi-annually, and eliminate the requirement to file monthly repurchase data in an issuer's periodic reports. The amendments also revise and expand the existing periodic disclosure requirements about these repurchases. Finally, the amendments add new quarterly disclosure in certain periodic reports related to an issuer's adoption and termination of certain trading arrangements.
Covered Clearing Agency Resilience and Recovery and Wind-Down Plans
The Securities and Exchange Commission (``Commission'') is proposing to amend certain portions of the Covered Clearing Agency Standards under the Securities Exchange Act of 1934 (``Exchange Act'') to strengthen the existing rules regarding margin with respect to intraday margin and the use of substantive inputs to a covered clearing agency's risk-based margin system. The Commission is also proposing a new rule to establish requirements for the contents of a covered clearing agency's recovery and wind-down plan.
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