Securities and Exchange Commission – Federal Register Recent Federal Regulation Documents
Results 5,401 - 5,450 of 38,683
SEC Small Business Capital Formation Advisory Committee
The Securities and Exchange Commission Small Business Capital Formation Advisory Committee, established pursuant to the Securities Exchange Act of 1934 as added by the SEC Small Business Advocate Act of 2016, is providing notice that it will hold a public meeting by videoconference. The public is invited to submit written statements to the Committee.
Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 1940
Applicant, a closed-end investment company, seeks an order declaring that it has ceased to be an investment company. Applicant has never made a public offering of its securities and does not propose to make a public offering or engage in business of any kind. Filing Dates: The application was filed on July 16, 2021. Applicant's Address: Kevin.Hardy@skadden.com.
Investor Advisory Committee Meeting
The Securities and Exchange Commission Investor Advisory Committee, established pursuant to Section 911 of the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010, is providing notice that it will hold a public meeting. The public is invited to submit written statements to the Committee.
Request for Information and Comments on Broker-Dealer and Investment Adviser Digital Engagement Practices, Related Tools and Methods, and Regulatory Considerations and Potential Approaches; Information and Comments on Investment Adviser Use of Technology To Develop and Provide Investment Advice
The Securities and Exchange Commission (the ``Commission'' or the ``SEC'') is requesting information and public comment (``Request'') on matters related to: Broker-dealer and investment adviser use of ``digital engagement practices'' or ``DEPs'', including behavioral prompts, differential marketing, game-like features (commonly referred to as ``gamification''), and other design elements or features designed to engage with retail investors on digital platforms (e.g., websites, portals and applications or ``apps''), as well as the analytical and technological tools and methods used in connection with these digital engagement practices; and, investment adviser use of technology to develop and provide investment advice. In addition to or in place of responses to questions in this release, retail investors seeking to comment on their experiences may want to submit a short Feedback Flyer.
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