Securities and Exchange Commission – Federal Register Recent Federal Regulation Documents

Results 151 - 200 of 30,762
Sunshine Act Meetings
Document Number: 2020-09626
Type: Notice
Date: 2020-05-04
Agency: Securities and Exchange Commission, Agencies and Commissions
Sunshine Act Meetings
Document Number: 2020-09560
Type: Notice
Date: 2020-05-04
Agency: Securities and Exchange Commission, Agencies and Commissions
Sunshine Act Meetings
Document Number: 2020-09529
Type: Notice
Date: 2020-05-04
Agency: Securities and Exchange Commission, Agencies and Commissions
First Trust Series Fund, et. al.
Document Number: 2020-09378
Type: Notice
Date: 2020-05-04
Agency: Securities and Exchange Commission, Agencies and Commissions
Sunshine Act Meeting; Cancellation
Document Number: 2020-09449
Type: Notice
Date: 2020-05-01
Agency: Securities and Exchange Commission, Agencies and Commissions
60 Day Notice-Proposed Collection; Comment Request
Document Number: 2020-09300
Type: Notice
Date: 2020-05-01
Agency: Securities and Exchange Commission, Agencies and Commissions
Proposed Collection; Comment Request
Document Number: 2020-09299
Type: Notice
Date: 2020-05-01
Agency: Securities and Exchange Commission, Agencies and Commissions
Proposed Collection; Comment Request
Document Number: 2020-09297
Type: Notice
Date: 2020-05-01
Agency: Securities and Exchange Commission, Agencies and Commissions
Proposed Collection; Comment Request
Document Number: 2020-09295
Type: Notice
Date: 2020-05-01
Agency: Securities and Exchange Commission, Agencies and Commissions
Proposed Collection; Comment Request
Document Number: 2020-09294
Type: Notice
Date: 2020-05-01
Agency: Securities and Exchange Commission, Agencies and Commissions
Proposed Collection; Comment Request
Document Number: 2020-09293
Type: Notice
Date: 2020-05-01
Agency: Securities and Exchange Commission, Agencies and Commissions
Proposed Collection; Comment Request
Document Number: 2020-09291
Type: Notice
Date: 2020-05-01
Agency: Securities and Exchange Commission, Agencies and Commissions
Submission for OMB Review; Comment Request
Document Number: 2020-09290
Type: Notice
Date: 2020-05-01
Agency: Securities and Exchange Commission, Agencies and Commissions
Updated Disclosure Requirements and Summary Prospectus for Variable Annuity and Variable Life Insurance Contracts
Document Number: 2020-05526
Type: Rule
Date: 2020-05-01
Agency: Securities and Exchange Commission, Agencies and Commissions
The Securities and Exchange Commission is adopting rule and form amendments intended to help investors make informed investment decisions regarding variable annuity and variable life insurance contracts. The amendments modernize disclosures by using a layered disclosure approach designed to provide investors with key information relating to the contract's terms, benefits, and risks in a concise and more reader-friendly presentation, with access to more detailed information available online and electronically or in paper format on request. New rule 498A under the Securities Act of 1933 will permit a person to satisfy its prospectus delivery obligations under the Securities Act for a variable annuity or variable life insurance contract by sending or giving a summary prospectus to investors and making the statutory prospectus available online. The rule also will consider a person to have met its prospectus delivery obligations for any portfolio companies associated with a variable annuity or variable life insurance contract if the portfolio company prospectuses are posted online. To implement the new disclosure framework, we are also amending the registration forms for variable annuity and variable life insurance contracts to update and enhance the disclosures to investors in these contracts, and to implement the proposed summary prospectus framework, and adopting amendments to our rules that will require variable contracts to use the Inline eXtensible Business Reporting Language (``Inline XBRL'') format for the submission of certain required disclosures in the variable contract statutory prospectus. The Commission is also taking the position that if an issuer of a discontinued contract that is discontinued as of July 1, 2020 that provides alternative disclosures does not file post-effective amendments to update a variable contract registration statement and does not provide updated prospectuses to existing investors, this would not provide a basis for enforcement action so long as investors are provided with the alternative disclosures or modernized alternative disclosures described below. We are also adopting certain technical and conforming amendments to our rules and forms, including amendments to rules relating to variable life insurance contracts, and rescinding certain related rules and forms.
Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 1940
Document Number: 2020-09142
Type: Notice
Date: 2020-04-30
Agency: Securities and Exchange Commission, Agencies and Commissions
Applicant seeks an order declaring that it has ceased to be an investment company. Expenses of $9,000 incurred in connection with the liquidation were paid by the applicant. Filing Date: The application was filed on September 18, 2019, and amended on April 7, 2020. Applicant's Address: king@sewkis.com.
Edmunds Private Capital, LLC
Document Number: 2020-09141
Type: Notice
Date: 2020-04-30
Agency: Securities and Exchange Commission, Agencies and Commissions
Legg Mason Partners Equity Trust, et al.; Notice of Application
Document Number: 2020-09121
Type: Notice
Date: 2020-04-30
Agency: Securities and Exchange Commission, Agencies and Commissions
Sunshine Act Meetings
Document Number: 2020-09224
Type: Notice
Date: 2020-04-29
Agency: Securities and Exchange Commission, Agencies and Commissions
SEC Small Business Capital Formation Advisory Committee
Document Number: 2020-09083
Type: Notice
Date: 2020-04-29
Agency: Securities and Exchange Commission, Agencies and Commissions
The Securities and Exchange Commission Small Business Capital Formation Advisory Committee, established pursuant to Section 40 of the Securities Exchange Act of 1934 as added by the SEC Small Business Advocate Act of 2016, is providing notice that it will hold a public meeting by videoconference. The public is invited to submit written statements to the Committee.
The Alger ETF Trust, et al.
Document Number: 2020-09035
Type: Notice
Date: 2020-04-29
Agency: Securities and Exchange Commission, Agencies and Commissions
FS Credit Income Fund, et al.
Document Number: 2020-08942
Type: Notice
Date: 2020-04-28
Agency: Securities and Exchange Commission, Agencies and Commissions