Securities and Exchange Commission – Federal Register Recent Federal Regulation Documents

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Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 1940
Document Number: 2018-16527
Type: Notice
Date: 2018-08-02
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 has never made a public offering of its securities and does not propose to make a public offering or engage in business of any kind. Filing Dates: The application was filed on July 11, 2018, and amended on July 19, 2018. Applicant's Address: 800 Clinton Square, Rochester, New York 14604.
Exchange-Traded Funds
Document Number: 2018-14370
Type: Proposed Rule
Date: 2018-07-31
Agency: Securities and Exchange Commission, Agencies and Commissions
The Securities and Exchange Commission (the ``Commission'') is proposing a new rule under the Investment Company Act of 1940 (the ``Investment Company Act'' or the ``Act'') that would permit exchange- traded funds (``ETFs'') that satisfy certain conditions to operate without the expense and delay of obtaining an exemptive order. In connection with the proposed exemptive rule, the Commission proposes to rescind certain exemptive orders that have been granted to ETFs and their sponsors. The Commission also is proposing certain disclosure amendments to Form N-1A and Form N-8B-2 to provide investors who purchase and sell ETF shares on the secondary market with additional information regarding ETF trading costs, regardless of whether such ETFs are structured as registered open-end management investment companies (``open-end funds'') or unit investment trusts (``UITs''). Finally, the Commission is proposing related amendments to Form N-CEN. The proposed rule and form amendments are designed to create a consistent, transparent, and efficient regulatory framework for ETFs and to facilitate greater competition and innovation among ETFs.
Self-Regulatory Organizations; LCH SA; Order Approving Proposed Rule Change Relating to Liquidity Risk Management
Document Number: 2018-16168
Type: Notice
Date: 2018-07-30
Agency: Securities and Exchange Commission, Agencies and Commissions
Advisors Asset Management, Inc. and ETF Series Solutions; Notice of Application
Document Number: 2018-16155
Type: Notice
Date: 2018-07-30
Agency: Securities and Exchange Commission, Agencies and Commissions
OFI Carlyle Private Credit Fund and OC Private Capital, LLC; Notice of Application
Document Number: 2018-16154
Type: Notice
Date: 2018-07-30
Agency: Securities and Exchange Commission, Agencies and Commissions
IndexIQ ETF Trust, et al.
Document Number: 2018-15861
Type: Notice
Date: 2018-07-25
Agency: Securities and Exchange Commission, Agencies and Commissions
Proposed Collection; Comment Request
Document Number: 2018-15857
Type: Notice
Date: 2018-07-25
Agency: Securities and Exchange Commission, Agencies and Commissions
Submission for OMB Review; Comment Request
Document Number: 2018-15856
Type: Notice
Date: 2018-07-25
Agency: Securities and Exchange Commission, Agencies and Commissions
Submission for OMB Review; Comment Request
Document Number: 2018-15855
Type: Notice
Date: 2018-07-25
Agency: Securities and Exchange Commission, Agencies and Commissions
Proposed Collection; Comment Request
Document Number: 2018-15854
Type: Notice
Date: 2018-07-25
Agency: Securities and Exchange Commission, Agencies and Commissions
Proposed Collection; Comment Request
Document Number: 2018-15853
Type: Notice
Date: 2018-07-25
Agency: Securities and Exchange Commission, Agencies and Commissions
Submission for OMB Review; Comment Request
Document Number: 2018-15852
Type: Notice
Date: 2018-07-25
Agency: Securities and Exchange Commission, Agencies and Commissions
Submission for OMB Review; Comment Request
Document Number: 2018-15851
Type: Notice
Date: 2018-07-25
Agency: Securities and Exchange Commission, Agencies and Commissions