Securities and Exchange Commission – Federal Register Recent Federal Regulation Documents

Results 451 - 500 of 27,466
OFI Carlyle Private Credit Fund and OC Private Capital, LLC; Notice of Application
Document Number: 2018-16154
Type: Notice
Date: 2018-07-30
Agency: Securities and Exchange Commission, Agencies and Commissions
IndexIQ ETF Trust, et al.
Document Number: 2018-15861
Type: Notice
Date: 2018-07-25
Agency: Securities and Exchange Commission, Agencies and Commissions
Proposed Collection; Comment Request
Document Number: 2018-15857
Type: Notice
Date: 2018-07-25
Agency: Securities and Exchange Commission, Agencies and Commissions
Submission for OMB Review; Comment Request
Document Number: 2018-15856
Type: Notice
Date: 2018-07-25
Agency: Securities and Exchange Commission, Agencies and Commissions
Submission for OMB Review; Comment Request
Document Number: 2018-15855
Type: Notice
Date: 2018-07-25
Agency: Securities and Exchange Commission, Agencies and Commissions
Proposed Collection; Comment Request
Document Number: 2018-15854
Type: Notice
Date: 2018-07-25
Agency: Securities and Exchange Commission, Agencies and Commissions
Proposed Collection; Comment Request
Document Number: 2018-15853
Type: Notice
Date: 2018-07-25
Agency: Securities and Exchange Commission, Agencies and Commissions
Submission for OMB Review; Comment Request
Document Number: 2018-15852
Type: Notice
Date: 2018-07-25
Agency: Securities and Exchange Commission, Agencies and Commissions
Submission for OMB Review; Comment Request
Document Number: 2018-15851
Type: Notice
Date: 2018-07-25
Agency: Securities and Exchange Commission, Agencies and Commissions
Sunshine Act Meetings
Document Number: 2018-15858
Type: Notice
Date: 2018-07-24
Agency: Securities and Exchange Commission, Agencies and Commissions
Concept Release on Compensatory Securities Offerings and Sales
Document Number: 2018-15731
Type: Proposed Rule
Date: 2018-07-24
Agency: Securities and Exchange Commission, Agencies and Commissions
The Securities and Exchange Commission (``Commission'') is publishing this release to solicit comment on the exemption from registration under the Securities Act of 1933 (the ``Securities Act'') for securities issued by non-reporting companies pursuant to compensatory arrangements, and Form S-8, the registration statement for compensatory offerings by reporting companies. Significant evolution has taken place both in the types of compensatory offerings issuers make and the composition of the workforce since the Commission last substantively amended these regulations. Therefore, as we amend the exemption as mandated by the Economic Growth, Regulatory Relief, and Consumer Protection Act (the ``Act''), we seek comment on possible ways to modernize the exemption and the relationship between it and Form S- 8, consistent with investor protection.
Exempt Offerings Pursuant to Compensatory Arrangements
Document Number: 2018-15730
Type: Rule
Date: 2018-07-24
Agency: Securities and Exchange Commission, Agencies and Commissions
The Securities and Exchange Commission is adopting an amendment to its regulations under the Securities Act of 1933 (the ``Securities Act''), which provide an exemption from registration for securities issued by non-reporting companies pursuant to compensatory arrangements. As mandated by the Economic Growth, Regulatory Relief, and Consumer Protection Act (the ``Act''), the amendment revises a rule to increase from $5 million to $10 million the aggregate sales price or amount of securities sold during any consecutive 12-month period in excess of which the issuer is required to deliver additional disclosures to investors.
Sunshine Act Meetings
Document Number: 2018-15673
Type: Notice
Date: 2018-07-20
Agency: Securities and Exchange Commission, Agencies and Commissions
Whistleblower Program Rules
Document Number: 2018-14411
Type: Proposed Rule
Date: 2018-07-20
Agency: Securities and Exchange Commission, Agencies and Commissions
The Securities and Exchange Commission (``Commission'') is proposing for public comment several amendments to the Commission's rules implementing its whistleblower program. Section 21F of the Securities Exchange Act of 1934 (``Exchange Act'') provides, among other things, that the Commission shall pay an awardunder regulations prescribed by the Commission and subject to certain limitationsto eligible whistleblowers who voluntarily provide the Commission with original information about a violation of the federal securities laws that leads to the successful enforcement of a covered judicial or administrative action, or a related action. On May 25, 2011, the Commission adopted a comprehensive set of rules to implement the whistleblower program. The proposed rules would make certain changes and clarifications to the existing rules, as well as several technical amendments. The Commission is also including interpretive guidance concerning the terms ``unreasonable delay'' and ``independent analysis.''
Submission for OMB Review; Comment Request
Document Number: 2018-15382
Type: Notice
Date: 2018-07-19
Agency: Securities and Exchange Commission, Agencies and Commissions
Proposed Collection; Comment Request
Document Number: 2018-15381
Type: Notice
Date: 2018-07-19
Agency: Securities and Exchange Commission, Agencies and Commissions
Submission for OMB Review; Comment Request
Document Number: 2018-15380
Type: Notice
Date: 2018-07-19
Agency: Securities and Exchange Commission, Agencies and Commissions
Proposed Collection; Comment Request
Document Number: 2018-15379
Type: Notice
Date: 2018-07-19
Agency: Securities and Exchange Commission, Agencies and Commissions
Submission for OMB Review; Comment Request
Document Number: 2018-15378
Type: Notice
Date: 2018-07-19
Agency: Securities and Exchange Commission, Agencies and Commissions
Submission for OMB Review; Comment Request
Document Number: 2018-15377
Type: Notice
Date: 2018-07-19
Agency: Securities and Exchange Commission, Agencies and Commissions
Submission for OMB Review; Comment Request
Document Number: 2018-15376
Type: Notice
Date: 2018-07-19
Agency: Securities and Exchange Commission, Agencies and Commissions