Securities and Exchange Commission – Federal Register Recent Federal Regulation Documents

Results 451 - 500 of 27,734
Sunshine Act Meetings
Document Number: 2018-20179
Type: Notice
Date: 2018-09-14
Agency: Securities and Exchange Commission, Agencies and Commissions
Wealthn LLC and TigerShares Trust
Document Number: 2018-20047
Type: Notice
Date: 2018-09-14
Agency: Securities and Exchange Commission, Agencies and Commissions
Proposed Collection; Comment Request
Document Number: 2018-19882
Type: Notice
Date: 2018-09-13
Agency: Securities and Exchange Commission, Agencies and Commissions
Proposed Collection; Comment Request
Document Number: 2018-19881
Type: Notice
Date: 2018-09-13
Agency: Securities and Exchange Commission, Agencies and Commissions
Proposed Collection; Comment Request
Document Number: 2018-19880
Type: Notice
Date: 2018-09-13
Agency: Securities and Exchange Commission, Agencies and Commissions
Submission for OMB Review; Comment Request
Document Number: 2018-19879
Type: Notice
Date: 2018-09-13
Agency: Securities and Exchange Commission, Agencies and Commissions
PIMCO Flexible Credit Income Fund, et al.
Document Number: 2018-19765
Type: Notice
Date: 2018-09-12
Agency: Securities and Exchange Commission, Agencies and Commissions
Sunshine Act Meetings
Document Number: 2018-19791
Type: Notice
Date: 2018-09-11
Agency: Securities and Exchange Commission, Agencies and Commissions
Extension of Comment Period for Proposed Revisions to Prohibitions and Restrictions on Proprietary Trading and Certain Interests in, and Relationships With, Hedge Funds and Private Equity Funds
Document Number: 2018-19649
Type: Proposed Rule
Date: 2018-09-11
Agency: Commodity Futures Trading Commission, Agencies and Commissions, Federal Deposit Insurance Corporation, Federal Reserve System, Securities and Exchange Commission, Department of Treasury, Office of the Comptroller of the Currency
On July 17, 2018, the Agencies published in the Federal Register a notice of proposed rulemaking (proposal) that would amend the regulations implementing section 13 of the Bank Holding Company Act. Section 13 contains certain restrictions on the ability of a banking entity and nonbank financial company supervised by the Board to engage in proprietary trading and have certain interests in, or relationships with, a hedge fund or private equity fund. The proposed amendments are intended to provide banking entities with clarity about what activities are prohibited and to improve supervision and implementation of section 13. In response to requests from commenters regarding issues addressed in the proposal, the public comment period has been extended for 30 days until October 17, 2018. This action will allow interested persons additional time to analyze the proposal and prepare their comments.
Sunshine Act Meetings
Document Number: 2018-19647
Type: Notice
Date: 2018-09-10
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: 2018-19377
Type: Notice
Date: 2018-09-07
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. Applicant currently has fewer than 100 beneficial owners, is not presently making an offering of securities and does not propose to make any offering of securities. Applicant will continue to operate as a private investment fund in reliance on Section 3(c)(1) of the Act. Filing Dates: The application was filed on August 9, 2018, and amended on August 28, 2018. Applicant's Address: 522 Fifth Avenue, New York, New York 10036.
Sunshine Act Meetings
Document Number: 2018-19258
Type: Notice
Date: 2018-09-05
Agency: Securities and Exchange Commission, Agencies and Commissions