Securities and Exchange Commission – Federal Register Recent Federal Regulation Documents
Results 501 - 550 of 27,758
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 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.
Delegation of Authority to General Counsel of the Commission
The Securities and Exchange Commission (``Commission'') is revising regulations with respect to the delegations of authority to the Commission's General Counsel. The revisions are a result of the Commission's experience with its existing rules and increase the efficiency of the adjudicatory process.
Amendments to Municipal Securities Disclosure
The Securities and Exchange Commission (``Commission'' or ``SEC'') is adopting amendments to the Municipal Securities Disclosure Rule under the Securities Exchange Act of 1934 (``Exchange Act''). The amendments add transparency to the municipal securities market by increasing the amount of information that is publicly disclosed about material financial obligations incurred by issuers and obligated persons. Specifically, the amendments revise the list of event notices that a broker, dealer, or municipal securities dealer (each a ``dealer,'' and collectively, ``dealers'') acting as an underwriter (``Participating Underwriter'') in a primary offering of municipal securities with an aggregate principal amount of $1,000,000 or more (subject to certain exemptions set forth in the Rule) (an ``Offering'') must reasonably determine that an issuer or an obligated person has undertaken, in a written agreement or contract for the benefit of holders of the municipal securities, to provide to the Municipal Securities Rulemaking Board (``MSRB'').
