Securities and Exchange Commission – Federal Register Recent Federal Regulation Documents

Results 451 - 500 of 28,005
Sunshine Act Meetings
Document Number: 2018-24405
Type: Notice
Date: 2018-11-07
Agency: Securities and Exchange Commission, Agencies and Commissions
Sunshine Act Meetings
Document Number: 2018-24404
Type: Notice
Date: 2018-11-07
Agency: Securities and Exchange Commission, Agencies and Commissions
Commission Statement on Certain Provisions of Business Conduct Standards for Security-Based Swap Dealers and Major Security-Based Swap Participants
Document Number: 2018-24213
Type: Rule
Date: 2018-11-06
Agency: Securities and Exchange Commission, Agencies and Commissions
The Commission is issuing a statement regarding certain provisions of its Business Conduct Standards for Security-Based Swap Dealers and Major Security-Based Swap Participants. The statement sets forth the Commission's position, for five years after the compliance date for the security-based swap dealer and major security-based swap participant registration rules, that certain actions with respect to provisions of the Commission's business conduct standards will not provide a basis for a Commission enforcement action.
Proposed Collection; Comment Request
Document Number: 2018-24211
Type: Notice
Date: 2018-11-06
Agency: Securities and Exchange Commission, Agencies and Commissions
Adoption of Updated EDGAR Filer Manual
Document Number: 2018-24128
Type: Rule
Date: 2018-11-05
Agency: Securities and Exchange Commission, Agencies and Commissions
The Securities and Exchange Commission (the ``Commission'') is adopting revisions to the Electronic Data Gathering, Analysis, and Retrieval System (``EDGAR'') Filer Manual and related rules. The EDGAR system is scheduled to be upgraded on October 1, 2018.
Cushing Asset Management, LP and Cushing ETF Trust
Document Number: 2018-24077
Type: Notice
Date: 2018-11-05
Agency: Securities and Exchange Commission, Agencies and Commissions
Sunshine Act Meeting; Cancellation
Document Number: 2018-24148
Type: Notice
Date: 2018-11-02
Agency: Securities and Exchange Commission, Agencies and Commissions
Sunshine Act Meetings
Document Number: 2018-24071
Type: Notice
Date: 2018-11-02
Agency: Securities and Exchange Commission, Agencies and Commissions
Submission to OMB; Comment Request
Document Number: 2018-23962
Type: Notice
Date: 2018-11-02
Agency: Securities and Exchange Commission, Agencies and Commissions
Submission for OMB Review; Comment Request
Document Number: 2018-23961
Type: Notice
Date: 2018-11-02
Agency: Securities and Exchange Commission, Agencies and Commissions
Submission for OMB Review; Comment Request
Document Number: 2018-23960
Type: Notice
Date: 2018-11-02
Agency: Securities and Exchange Commission, Agencies and Commissions
Submission for OMB Review; Comment Request
Document Number: 2018-23959
Type: Notice
Date: 2018-11-02
Agency: Securities and Exchange Commission, Agencies and Commissions
Proposed Collection; Comment Request
Document Number: 2018-23958
Type: Notice
Date: 2018-11-02
Agency: Securities and Exchange Commission, Agencies and Commissions
Proposed Collection; Comment Request
Document Number: 2018-23957
Type: Notice
Date: 2018-11-02
Agency: Securities and Exchange Commission, Agencies and Commissions
Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 1940
Document Number: 2018-23849
Type: Notice
Date: 2018-11-01
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 Advent Claymore Convertible Securities and Income Fund and, on August 27, 2018, made a final distribution to its shareholders based on net asset value. Expenses of $578,871 incurred in connection with the reorganization were paid by the applicant. Filing Dates: The application was filed on August 29, 2018, and amended on August 30, 2018 and October 12, 2018. Applicant's Address: 888 Seventh Avenue, 31st Floor, New York, New York 10019.
Sunshine Act Meetings
Document Number: 2018-23773
Type: Notice
Date: 2018-10-30
Agency: Securities and Exchange Commission, Agencies and Commissions
Sunshine Act Meetings
Document Number: 2018-23658
Type: Notice
Date: 2018-10-29
Agency: Securities and Exchange Commission, Agencies and Commissions