Securities and Exchange Commission – Federal Register Recent Federal Regulation Documents

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Regulatory Flexibility Agenda
Document Number: 2018-11245
Type: Proposed Rule
Date: 2018-06-11
Agency: Securities and Exchange Commission, Agencies and Commissions
The Securities and Exchange Commission is publishing the Chairman's agenda of rulemaking actions pursuant to the Regulatory Flexibility Act (RFA) (Pub. L. 96-354, 94 Stat. 1164) (Sept. 19, 1980). The items listed in the Regulatory Flexibility Agenda for spring 2018 reflect only the priorities of the Chairman of the U.S. Securities and Exchange Commission and do not necessarily reflect the view and priorities of any individual Commissioner. Information in the agenda was accurate on March 13, 2018, the date on which the Commission's staff completed compilation of the data. To the extent possible, rulemaking actions by the Commission since that date have been reflected in the agenda. The Commission invites questions and public comment on the agenda and on the individual agenda entries. The Commission is now printing in the Federal Register, along with our preamble, only those agenda entries for which we have indicated that preparation of an RFA analysis is required. The Commission's complete RFA agenda will be available online at www.reginfo.gov.
Sunshine Act Meetings
Document Number: 2018-12541
Type: Notice
Date: 2018-06-08
Agency: Securities and Exchange Commission, Agencies and Commissions
Sunshine Act Meetings
Document Number: 2018-12540
Type: Notice
Date: 2018-06-08
Agency: Securities and Exchange Commission, Agencies and Commissions
Covered Investment Fund Research Reports
Document Number: 2018-11497
Type: Proposed Rule
Date: 2018-06-08
Agency: Securities and Exchange Commission, Agencies and Commissions
As directed by Congress pursuant to the Fair Access to Investment Research Act of 2017, the Commission is proposing a new rule under the Securities Act of 1933. If adopted, the proposal would establish a safe harbor for an unaffiliated broker or dealer participating in a securities offering of a ``covered investment fund'' to publish or distribute a ``covered investment fund research report.'' If the conditions for the safe harbor are satisfied, this publication or distribution would be deemed not to be an offer for sale or offer to sell the covered investment fund's securities for purposes of sections 2(a)(10) and 5(c) of the Securities Act of 1933. The Commission is also proposing a new rule under the Investment Company Act of 1940. This proposal would exclude a covered investment fund research report from the coverage of section 24(b) of the Investment Company Act (or the rules and regulations thereunder), except to the extent the research report is otherwise not subject to the content standards in self- regulatory organization rules related to research reports, including those contained in the rules governing communications with the public regarding investment companies or substantially similar standards. We are also proposing a conforming amendment.
Submission for OMB Review; Comment Request
Document Number: 2018-12192
Type: Notice
Date: 2018-06-07
Agency: Securities and Exchange Commission, Agencies and Commissions
Sprott ETF Trust and Sprott Asset Management USA Inc.
Document Number: 2018-12191
Type: Notice
Date: 2018-06-07
Agency: Securities and Exchange Commission, Agencies and Commissions
Order Cancelling Registrations of Certain Transfer Agents
Document Number: 2018-12157
Type: Notice
Date: 2018-06-06
Agency: Securities and Exchange Commission, Agencies and Commissions
Sunshine Act Meetings
Document Number: 2018-12116
Type: Notice
Date: 2018-06-05
Agency: Securities and Exchange Commission, Agencies and Commissions
Sunshine Act Meeting
Document Number: 2018-11917
Type: Notice
Date: 2018-06-01
Agency: Securities and Exchange Commission, Agencies and Commissions
Technical Amendments to Rules of Practice and Rules of Organization; Conduct and Ethics; and Information and Requests
Document Number: 2018-11618
Type: Rule
Date: 2018-06-01
Agency: Securities and Exchange Commission, Agencies and Commissions
The Securities and Exchange Commission (``SEC'' or ``Commission'') is making technical amendments to certain rules of organization and rules of practice to indicate that Commission materials will no longer be compiled and published as the ``SEC Docket'' (``SEC Docket'' or ``Docket''), but will continue to be available on the SEC public website.
Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 1940
Document Number: 2018-11729
Type: Notice
Date: 2018-05-31
Agency: Securities and Exchange Commission, Agencies and Commissions
Each applicant seeks an order declaring that it has ceased to be an investment company. Applicants transferred their assets to the Aberdeen Funds and, on May 7, 2018, made final distributions to their shareholders based on net asset value. Aggregate expenses of $704,589 incurred in connection with the reorganizations were paid by the applicants' investment adviser and the acquiring funds' investment adviser. Filing Dates: The applications were filed on May 11, 2018, and amended on May 23, 2018. Applicants' Addresses: 2500 Westchester Avenue, Suite 215, Purchase, New York 10577.
Submission for OMB Review; Comment Request
Document Number: 2018-11595
Type: Notice
Date: 2018-05-31
Agency: Securities and Exchange Commission, Agencies and Commissions
Pioneer ILS Interval Fund and Amundi Pioneer Asset Management, Inc.; Notice of Application
Document Number: 2018-11594
Type: Notice
Date: 2018-05-31
Agency: Securities and Exchange Commission, Agencies and Commissions