Securities and Exchange Commission – Federal Register Recent Federal Regulation Documents

Results 251 - 300 of 27,597
Distillate Capital Partners LLC, et al.
Document Number: 2018-21080
Type: Notice
Date: 2018-09-27
Agency: Securities and Exchange Commission, Agencies and Commissions
Submission for OMB Review Comment Request
Document Number: 2018-21043
Type: Notice
Date: 2018-09-27
Agency: Securities and Exchange Commission, Agencies and Commissions
Amendment to Single Issuer Exemption for Broker-Dealers
Document Number: 2018-20880
Type: Proposed Rule
Date: 2018-09-27
Agency: Securities and Exchange Commission, Agencies and Commissions
The Commission is proposing an amendment to the exemption provisions in the broker-dealer annual reporting rule under the Securities Exchange Act of 1934 (``Exchange Act''). The amendment would provide that a broker-dealer is not required to engage an independent public accountant to certify the broker-dealer's annual reports if, among other things, the securities business of the broker-dealer has been limited to acting as broker (agent) for a single issuer in soliciting subscriptions for securities of that issuer.
Ares Credit and Income Trust and Ares Capital Management III LLC; Notice of Application
Document Number: 2018-20956
Type: Notice
Date: 2018-09-26
Agency: Securities and Exchange Commission, Agencies and Commissions
Sunshine Act Meetings
Document Number: 2018-20899
Type: Notice
Date: 2018-09-25
Agency: Securities and Exchange Commission, Agencies and Commissions
Variant Alternative Income Fund and Variant Investments, LLC
Document Number: 2018-20820
Type: Notice
Date: 2018-09-25
Agency: Securities and Exchange Commission, Agencies and Commissions
Sunshine Act Meetings
Document Number: 2018-20742
Type: Notice
Date: 2018-09-21
Agency: Securities and Exchange Commission, Agencies and Commissions
Sunshine Act Meetings
Document Number: 2018-20741
Type: Notice
Date: 2018-09-21
Agency: Securities and Exchange Commission, Agencies and Commissions
Regulation Crowdfunding and Regulation A Relief and Assistance for Victims of Hurricane Florence
Document Number: 2018-20740
Type: Rule
Date: 2018-09-21
Agency: Securities and Exchange Commission, Agencies and Commissions
We are adopting interim final temporary rules for issuers subject to reporting obligations pursuant to Regulation Crowdfunding and Regulation A in order to address the needs of companies directly or indirectly affected by Hurricane Florence. The temporary rules extend the filing deadlines for specified reports and forms due pursuant to Regulation Crowdfunding and Regulation A for certain issuers.
Proposed Collection; Comment Request
Document Number: 2018-20592
Type: Notice
Date: 2018-09-21
Agency: Securities and Exchange Commission, Agencies and Commissions