Securities and Exchange Commission – Federal Register Recent Federal Regulation Documents

Results 501 - 550 of 27,758
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
Delegation of Authority to General Counsel of the Commission
Document Number: 2018-18585
Type: Rule
Date: 2018-08-31
Agency: Securities and Exchange Commission, Agencies and Commissions
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
Document Number: 2018-18279
Type: Rule
Date: 2018-08-31
Agency: Securities and Exchange Commission, Agencies and Commissions
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'').
Proposed Collection; Comment Request
Document Number: 2018-18847
Type: Notice
Date: 2018-08-30
Agency: Securities and Exchange Commission, Agencies and Commissions
THL Credit, Inc., et al.
Document Number: 2018-18780
Type: Notice
Date: 2018-08-30
Agency: Securities and Exchange Commission, Agencies and Commissions
Innovator ETFs Trust, et al.
Document Number: 2018-18776
Type: Notice
Date: 2018-08-30
Agency: Securities and Exchange Commission, Agencies and Commissions
Order Making Fiscal Year 2019 Annual Adjustments to Registration Fee Rates
Document Number: 2018-18762
Type: Notice
Date: 2018-08-29
Agency: Securities and Exchange Commission, Agencies and Commissions