Securities and Exchange Commission – Federal Register Recent Federal Regulation Documents

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Submission for OMB Review; Comment Request
Document Number: 2018-12984
Type: Notice
Date: 2018-06-18
Agency: Securities and Exchange Commission, Agencies and Commissions
Submission for OMB Review; Comment Request
Document Number: 2018-12983
Type: Notice
Date: 2018-06-18
Agency: Securities and Exchange Commission, Agencies and Commissions
Submission for OMB Review; Comment Request
Document Number: 2018-12982
Type: Notice
Date: 2018-06-18
Agency: Securities and Exchange Commission, Agencies and Commissions
Proposed Collection; Comment Request
Document Number: 2018-12981
Type: Notice
Date: 2018-06-18
Agency: Securities and Exchange Commission, Agencies and Commissions
Aptus Capital Advisors, LLC and ETF Series Solutions
Document Number: 2018-12902
Type: Notice
Date: 2018-06-15
Agency: Securities and Exchange Commission, Agencies and Commissions
Sunshine Act Meetings
Document Number: 2018-12547
Type: Notice
Date: 2018-06-11
Agency: Securities and Exchange Commission, Agencies and Commissions
BlackRock Variable Series Funds, Inc., et al.
Document Number: 2018-12509
Type: Notice
Date: 2018-06-11
Agency: Securities and Exchange Commission, Agencies and Commissions
Order Affirming Action by Delegated Authority Approving SR-NYSE-2016-55 and Discontinuing Stay
Document Number: 2018-12435
Type: Notice
Date: 2018-06-11
Agency: Securities and Exchange Commission, Agencies and Commissions
Request for Comments on the Processing Fees Charged by Intermediaries for Distributing Materials Other Than Proxy Materials To Fund Investors
Document Number: 2018-12422
Type: Notice
Date: 2018-06-11
Agency: Securities and Exchange Commission, Agencies and Commissions
The Securities and Exchange Commission is seeking public comment on the framework under which intermediaries may charge fees for distributing certain non-proxy disclosure materials to fund investors, such as shareholder reports and prospectuses (``Fund Materials''), particularly where those fees may be borne by the fund and, in turn, its investors.
Request for Comment on Fund Retail Investor Experience and Disclosure
Document Number: 2018-12408
Type: Proposed Rule
Date: 2018-06-11
Agency: Securities and Exchange Commission, Agencies and Commissions
The Securities and Exchange Commission (``Commission'') is seeking public comment from individual investors and other interested parties on enhancing disclosures by mutual funds, exchange-traded funds (``ETFs''), and other types of investment funds to improve the investor experience and to help investors make more informed investment decisions. Specifically, we are seeking comment to learn how investors, like you, use these disclosures and how you believe funds can improve disclosures to help you make investment decisions. We are particularly interested in your input on the delivery, design, and content of fund disclosures. In addition to or in place of responses to questions in this release, investors seeking to comment on the investor experience and improving fund disclosure may want to submit a short Feedback Flier on Improving Fund Disclosure.
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