Securities and Exchange Commission – Federal Register Recent Federal Regulation Documents

Results 501 - 550 of 27,466
Submission for OMB Review; Comment Request
Document Number: 2018-15375
Type: Notice
Date: 2018-07-19
Agency: Securities and Exchange Commission, Agencies and Commissions
Submission for OMB Review; Comment Request
Document Number: 2018-15374
Type: Notice
Date: 2018-07-19
Agency: Securities and Exchange Commission, Agencies and Commissions
Submission for OMB Review; Comment Request
Document Number: 2018-15373
Type: Notice
Date: 2018-07-19
Agency: Securities and Exchange Commission, Agencies and Commissions
Sunshine Act Meetings
Document Number: 2018-15292
Type: Notice
Date: 2018-07-17
Agency: Securities and Exchange Commission, Agencies and Commissions
Adoption of Updated EDGAR Filer Manual
Document Number: 2018-15247
Type: Rule
Date: 2018-07-17
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 July 9, 2018.
TriLine Index Solutions, LLC and ETF Series Solutions
Document Number: 2018-15174
Type: Notice
Date: 2018-07-17
Agency: Securities and Exchange Commission, Agencies and Commissions
SL Advisors, LLC and ETF Series Solutions
Document Number: 2018-15173
Type: Notice
Date: 2018-07-17
Agency: Securities and Exchange Commission, Agencies and Commissions
Proposed Revisions to Prohibitions and Restrictions on Proprietary Trading and Certain Interests in, and Relationships With, Hedge Funds and Private Equity Funds
Document Number: 2018-13502
Type: Proposed Rule
Date: 2018-07-17
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
The OCC, Board, FDIC, SEC, and CFTC (individually, an ``Agency,'' and collectively, the ``Agencies'') are requesting comment on a proposal that would amend the regulations implementing section 13 of the Bank Holding Company Act (BHC 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.
Sunshine Act Meeting
Document Number: 2018-15233
Type: Notice
Date: 2018-07-16
Agency: Securities and Exchange Commission, Agencies and Commissions
Charles Schwab & Co. Inc. and Charles Schwab Investment Management, Inc.
Document Number: 2018-15078
Type: Notice
Date: 2018-07-16
Agency: Securities and Exchange Commission, Agencies and Commissions
DMS ETF Trust I, et al.
Document Number: 2018-15068
Type: Notice
Date: 2018-07-16
Agency: Securities and Exchange Commission, Agencies and Commissions
Self-Regulatory Organizations; LCH SA; Notice of Filing of Proposed Rule Change Relating to Liquidity Risk Management
Document Number: C1-2018-13378
Type: Notice
Date: 2018-07-13
Agency: Securities and Exchange Commission, Agencies and Commissions
AB Private Credit Investors Corp., et al.
Document Number: 2018-14963
Type: Notice
Date: 2018-07-13
Agency: Securities and Exchange Commission, Agencies and Commissions
Sunshine Act Meetings
Document Number: 2018-14960
Type: Notice
Date: 2018-07-11
Agency: Securities and Exchange Commission, Agencies and Commissions
Blackstone/GSO Floating Rate Enhanced Income Fund, et al.
Document Number: 2018-14844
Type: Notice
Date: 2018-07-11
Agency: Securities and Exchange Commission, Agencies and Commissions
DMS ETF Trust I, et al.
Document Number: 2018-14843
Type: Notice
Date: 2018-07-11
Agency: Securities and Exchange Commission, Agencies and Commissions
Sunshine Act Meetings
Document Number: 2018-14790
Type: Notice
Date: 2018-07-10
Agency: Securities and Exchange Commission, Agencies and Commissions
Investment Company Liquidity Disclosure
Document Number: 2018-14366
Type: Rule
Date: 2018-07-10
Agency: Securities and Exchange Commission, Agencies and Commissions
The Securities and Exchange Commission (``Commission'') is adopting amendments to its forms designed to improve the reporting and disclosure of liquidity information by registered open-end investment companies. The Commission is adopting a new requirement that funds disclose information about the operation and effectiveness of their liquidity risk management program in their reports to shareholders. The Commission in turn is rescinding the requirement in Form N-PORT under the Investment Company Act of 1940 that funds publicly disclose aggregate liquidity classification information about their portfolios. In addition, the Commission is adopting amendments to Form N-PORT that will allow funds classifying the liquidity of their investments pursuant to their liquidity risk management programs to report multiple liquidity classification categories for a single position under specified circumstances. The Commission also is adding a new requirement to Form N-PORT that funds and other registrants report their holdings of cash and cash equivalents.
Smaller Reporting Company Definition
Document Number: 2018-14306
Type: Rule
Date: 2018-07-10
Agency: Securities and Exchange Commission, Agencies and Commissions
We are adopting amendments to the definition of ``smaller reporting company'' as used in our rules and regulations. The amendments expand the number of registrants that qualify as smaller reporting companies and are intended to reduce compliance costs for these registrants and promote capital formation, while maintaining appropriate investor protections. We are amending the definition of ``smaller reporting company'' to include registrants with a public float of less than $250 million, as well as registrants with annual revenues of less than $100 million for the previous year and either no public float or a public float of less than $700 million. We also are amending other rules and forms in light of the new definition of ``smaller reporting company,'' including amendments to the definitions of ``accelerated filer'' and ``large accelerated filer'' to preserve the existing thresholds in those definitions. Qualifying as a ``smaller reporting company'' will no longer automatically make a registrant a non-accelerated filer. The Chairman, however, has directed the staff to formulate recommendations to the Commission for possible additional changes to the ``accelerated filer'' definition that, if adopted, would have the effect of reducing the number of registrants that qualify as accelerated filers.
Vivaldi Opportunities Fund and Vivaldi Asset Management, LLC
Document Number: 2018-14662
Type: Notice
Date: 2018-07-09
Agency: Securities and Exchange Commission, Agencies and Commissions
Altaba Inc.
Document Number: 2018-14658
Type: Notice
Date: 2018-07-09
Agency: Securities and Exchange Commission, Agencies and Commissions
Proposed Collection; Comment Request
Document Number: 2018-14657
Type: Notice
Date: 2018-07-09
Agency: Securities and Exchange Commission, Agencies and Commissions
Proposed Collection; Comment Request
Document Number: 2018-14656
Type: Notice
Date: 2018-07-09
Agency: Securities and Exchange Commission, Agencies and Commissions
Proposed Collection; Comment Request
Document Number: 2018-14655
Type: Notice
Date: 2018-07-09
Agency: Securities and Exchange Commission, Agencies and Commissions
Proposed Collection; Comment Request
Document Number: 2018-14654
Type: Notice
Date: 2018-07-09
Agency: Securities and Exchange Commission, Agencies and Commissions