Securities and Exchange Commission – Federal Register Recent Federal Regulation Documents

Results 501 - 550 of 37,657
Proposed Collection; Comment Request; Extension: Rules 17Ad-6 and 17Ad-7
Document Number: 2024-04652
Type: Notice
Date: 2024-03-06
Agency: Securities and Exchange Commission, Agencies and Commissions
First Trust Real Assets Fund, et al.
Document Number: 2024-04547
Type: Notice
Date: 2024-03-05
Agency: Securities and Exchange Commission, Agencies and Commissions
Proposed Collection; Comment Request; Extension: Rule 18a-8
Document Number: 2024-04600
Type: Notice
Date: 2024-03-05
Agency: Securities and Exchange Commission, Agencies and Commissions
Sunshine Act Meetings
Document Number: 2024-04597
Type: Notice
Date: 2024-03-04
Agency: Securities and Exchange Commission, Agencies and Commissions
Sunshine Act Meetings
Document Number: 2024-04572
Type: Notice
Date: 2024-03-04
Agency: Securities and Exchange Commission, Agencies and Commissions
Further Definition of “As a Part of a Regular Business” in the Definition of Dealer and Government Securities Dealer in Connection With Certain Liquidity Providers
Document Number: 2024-02837
Type: Rule
Date: 2024-02-29
Agency: Securities and Exchange Commission, Agencies and Commissions
The Securities and Exchange Commission (``SEC'' or ``Commission'') is adopting new rules to further define the phrase ``as a part of a regular business'' as used in the statutory definitions of ``dealer'' and ``government securities dealer'' under sections 3(a)(5) and 3(a)(44), respectively, of the Securities Exchange Act of 1934 (``Exchange Act'').
Deregistration Under Section 8(f) of the Investment Company Act of 1940
Document Number: 2024-04147
Type: Notice
Date: 2024-02-28
Agency: Securities and Exchange Commission, Agencies and Commissions
Applicant seeks an order declaring that it has ceased to be an investment company. On July 31, 2023, applicant made a liquidating distribution to its shareholders based on net asset value. Expenses of $2,177.23 incurred in connection with the liquidation were paid by the applicant. Filing Dates: The application was filed on October 18, 2023 and amended on February 13, 2024. Applicant's Address: C/O Ultimus Fund Solutions, LLC, 225 Pictoria Drive, Suite 450, Cincinnati, Ohio 45246.
Supplemental Standards of Ethical Conduct for Members and Employees of the Securities and Exchange Commission
Document Number: 2024-04062
Type: Rule
Date: 2024-02-28
Agency: Securities and Exchange Commission, Agencies and Commissions
The Securities and Exchange Commission (``SEC'' or ``Commission'' or ``we''), with the concurrence of the Office of Government Ethics (``OGE''), is adopting jointly issued amendments to the Commission's existing Supplemental Standards of Ethical Conduct for Members and Employees of the Securities and Exchange Commission (``Supplemental Standards''). This rule amends the existing Supplemental Standards jointly issued by SEC and OGE, supplements the Standards of Ethical Conduct for Employees of the Executive Branch (``OGE Standards'') issued by OGE, and is necessary and appropriate to address ethical issues unique to the SEC. Specifically, the Commission is prohibiting employee ownership of sector funds that have a stated policy of concentrating their investments in entities directly regulated by the Commission; revising transaction and reporting requirements for certain assets that pose a low risk of conflicts of interest or appearance concerns; permitting employees to comply with reporting obligations by authorizing their financial institutions to transmit information on behalf of employees about their covered securities transactions and holdings data through an approved automated compliance system; clarifying that the limitation on purchasing securities that are part of an initial public offering (IPO) until seven days after the IPO also applies to direct listings of securities; correcting certain technical matters; and adjusting its transaction and reporting requirements to provide the flexibility necessary to implement an automated compliance system.
Coller Secondaries Private Equity Opportunities Fund and Coller Private Market Secondaries Advisors, LLC
Document Number: 2024-04051
Type: Notice
Date: 2024-02-28
Agency: Securities and Exchange Commission, Agencies and Commissions
Sunshine Act Meetings
Document Number: 2024-04030
Type: Notice
Date: 2024-02-26
Agency: Securities and Exchange Commission, Agencies and Commissions
Proposed Collection; Comment Request; Extension: Rule 11a1-1(T)
Document Number: 2024-03853
Type: Notice
Date: 2024-02-26
Agency: Securities and Exchange Commission, Agencies and Commissions
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