Securities and Exchange Commission 2023 – Federal Register Recent Federal Regulation Documents

Results 1,401 - 1,450 of 1,677
Proposed Collection; Comment Request; Extension: Rule 22d-1
Document Number: 2023-04629
Type: Notice
Date: 2023-03-07
Agency: Securities and Exchange Commission, Agencies and Commissions
Proposed Collection; Comment Request; Extension: Rule 22e-4
Document Number: 2023-04627
Type: Notice
Date: 2023-03-07
Agency: Securities and Exchange Commission, Agencies and Commissions
Proposed Collection; Comment Request; Extension: Rule 17f-5
Document Number: 2023-04626
Type: Notice
Date: 2023-03-07
Agency: Securities and Exchange Commission, Agencies and Commissions
Submission for OMB Review; Comment Request; Extension: Rule 19b-1
Document Number: 2023-04525
Type: Notice
Date: 2023-03-06
Agency: Securities and Exchange Commission, Agencies and Commissions
Proposed Collection; Comment Request; Extension: Rule 8c-1
Document Number: 2023-04541
Type: Notice
Date: 2023-03-06
Agency: Securities and Exchange Commission, Agencies and Commissions
Sunshine Act Meetings
Document Number: 2023-04615
Type: Notice
Date: 2023-03-06
Agency: Securities and Exchange Commission, Agencies and Commissions
Shortening the Securities Transaction Settlement Cycle
Document Number: 2023-03566
Type: Rule
Date: 2023-03-06
Agency: Securities and Exchange Commission, Agencies and Commissions
The Securities and Exchange Commission (``Commission'') is adopting rule amendments to shorten the standard settlement cycle for most broker-dealer transactions from two business days after the trade date (``T+2'') to one business day after the trade date (``T+1''). In addition, the Commission is adopting new rules related to the processing of institutional trades by broker-dealers and certain clearing agencies. The Commission is also amending certain recordkeeping requirements applicable to registered investment advisers.
Submission for OMB Review; Comment Request; Extension: Rule 17a-22
Document Number: 2023-04447
Type: Notice
Date: 2023-03-03
Agency: Securities and Exchange Commission, Agencies and Commissions
Submission for OMB Review; Comment Request; Extension: Form N-8B-4
Document Number: 2023-04446
Type: Notice
Date: 2023-03-03
Agency: Securities and Exchange Commission, Agencies and Commissions
Applications for Deregistration Under Section 8(f) of the Investment Company Act of 1940
Document Number: 2023-04214
Type: Notice
Date: 2023-03-02
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. On September 25, 2018, applicant made liquidating distributions to its shareholders based on net asset value. Expenses of $8,362 incurred in connection with the liquidation were paid by the applicant. Filing Date: The application was filed on February 2, 2023. Applicant's Address: Brookfield Public Securities Group LLC, Brookfield Place, 250 Vesey Street, 15th Floor, New York, New York 10281-1023.
Tidal Trust II, et al.
Document Number: 2023-04134
Type: Notice
Date: 2023-03-01
Agency: Securities and Exchange Commission, Agencies and Commissions
Proposed Collection; Comment Request; Extension: Form ADV-H
Document Number: 2023-04210
Type: Notice
Date: 2023-03-01
Agency: Securities and Exchange Commission, Agencies and Commissions
Submission for OMB Review; Comment Request; Extension: Rule 32a-4
Document Number: 2023-04209
Type: Notice
Date: 2023-03-01
Agency: Securities and Exchange Commission, Agencies and Commissions
Extending Form 144 EDGAR Filing Hours
Document Number: 2023-03931
Type: Rule
Date: 2023-02-27
Agency: Securities and Exchange Commission, Agencies and Commissions
We are adopting an amendment to Regulation S-T to extend the filing deadline for Form 144 from 5:30 p.m. to 10 p.m., Eastern Standard Time or Eastern Daylight Saving Time, whichever is currently in effect, on Commission business days. We are also adopting technical amendments to enhance the consistency of recently revised provisions related to the filing format of Form 144.
Sunshine Act Meetings
Document Number: 2023-04079
Type: Notice
Date: 2023-02-27
Agency: Securities and Exchange Commission, Agencies and Commissions
Sunshine Act Meetings
Document Number: 2023-03873
Type: Notice
Date: 2023-02-23
Agency: Securities and Exchange Commission, Agencies and Commissions
The RBB Fund, Inc., et al.
Document Number: 2023-03777
Type: Notice
Date: 2023-02-23
Agency: Securities and Exchange Commission, Agencies and Commissions
The RBB Fund, Inc., et al.
Document Number: 2023-03776
Type: Notice
Date: 2023-02-23
Agency: Securities and Exchange Commission, Agencies and Commissions
Proposed Collection; Comment Request; Extension: Form N-3
Document Number: 2023-03771
Type: Notice
Date: 2023-02-23
Agency: Securities and Exchange Commission, Agencies and Commissions
J.P. Morgan Investment Management Inc.
Document Number: 2023-03675
Type: Notice
Date: 2023-02-23
Agency: Securities and Exchange Commission, Agencies and Commissions
Regulatory Flexibility Agenda
Document Number: 2023-02043
Type: Unknown
Date: 2023-02-22
Agency: Securities and Exchange Commission, Agencies and Commissions
The Securities and Exchange Commission is publishing the Chair's agenda of rulemaking actions pursuant to the Regulatory Flexibility Act (RFA) (Pub. L. 96-354, 94 Stat. 1164) (Sept. 19, 1980). The items listed in the Regulatory Flexibility Agenda for Fall 2022 reflect only the priorities of the Chair of the U.S. Securities and Exchange Commission, and do not necessarily reflect the view and priorities of any individual Commissioner. Information in the agenda was accurate on October 6, 2022, the date on which the Commission's staff completed compilation of the data. To the extent possible, rulemaking actions by the Commission since that date have been reflected in the agenda. The Commission invites questions and public comment on the agenda and on the individual agenda entries. The Commission is now printing in the Federal Register, along with our preamble, only those agenda entries for which we have indicated that preparation of an RFA analysis is required. The Commission's complete RFA agenda will be available online at www.reginfo.gov.
Sunshine Act Meetings
Document Number: 2023-03650
Type: Notice
Date: 2023-02-21
Agency: Securities and Exchange Commission, Agencies and Commissions
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