Securities and Exchange Commission 2024 – Federal Register Recent Federal Regulation Documents

Proposed Collection; Comment Request; Extension: Rule 3a71-6
Document Number: 2024-11470
Type: Notice
Date: 2024-05-24
Agency: Securities and Exchange Commission, Agencies and Commissions
Proposed Collection; Comment Request; Extension: Interagency Statement on Sound Practices
Document Number: 2024-11469
Type: Notice
Date: 2024-05-24
Agency: Securities and Exchange Commission, Agencies and Commissions
Submission for OMB Review; Comment Request; Extension: Rule 18a-6
Document Number: 2024-11413
Type: Notice
Date: 2024-05-24
Agency: Securities and Exchange Commission, Agencies and Commissions
Proposed Collection; Comment Request; Extension: Rule 24b-1
Document Number: 2024-11412
Type: Notice
Date: 2024-05-24
Agency: Securities and Exchange Commission, Agencies and Commissions
TCW Direct Lending LLC, et al.
Document Number: 2024-11352
Type: Notice
Date: 2024-05-23
Agency: Securities and Exchange Commission, Agencies and Commissions
Sunshine Act Meetings
Document Number: 2024-11298
Type: Notice
Date: 2024-05-22
Agency: Securities and Exchange Commission, Agencies and Commissions
Customer Identification Programs for Registered Investment Advisers and Exempt Reporting Advisers
Document Number: 2024-10738
Type: Proposed Rule
Date: 2024-05-21
Agency: Securities and Exchange Commission, Agencies and Commissions, Department of the Treasury, Financial Crimes Enforcement Network
The Department of the Treasury and the SEC are jointly issuing a proposed rulemaking implementing the Uniting and Strengthening America by Providing Appropriate Tools Required to Intercept and Obstruct Terrorism Act of 2001 with regard to certain investment advisers. If, as proposed in a separate rulemaking, certain investment advisers are included in the definition of "financial institution" under the Bank Secrecy Act, the Secretary of the Treasury and the SEC will be required to jointly prescribe a regulation that, among other things, requires investment advisers to implement reasonable procedures to verify the identities of their customers.
Sunshine Act Meetings
Document Number: 2024-11130
Type: Notice
Date: 2024-05-20
Agency: Securities and Exchange Commission, Agencies and Commissions
Submission for OMB Review; Comment Request
Document Number: 2024-10977
Type: Notice
Date: 2024-05-20
Agency: Securities and Exchange Commission, Agencies and Commissions
Proposed Collection; Comment Request; Extension: Rule 15g-3
Document Number: 2024-10976
Type: Notice
Date: 2024-05-20
Agency: Securities and Exchange Commission, Agencies and Commissions
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