Securities and Exchange Commission – Federal Register Recent Federal Regulation Documents

Results 251 - 300 of 25,715
Horizon Technology Finance Corporation, et al.
Document Number: 2017-23920
Type: Notice
Date: 2017-11-03
Agency: Securities and Exchange Commission, Agencies and Commissions
Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 1940
Document Number: 2017-23837
Type: Notice
Date: 2017-11-02
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. On May 3, 2017, July 31, 2017, and September 19, 2017, applicant made liquidating distributions to its shareholders, based on net asset value. Expenses of $8,000 incurred in connection with the liquidation were paid by applicant's investment adviser. Filing Date: The application was filed on September 28, 2017. Applicant's Address: 100 Park Avenue, Suite 1635, New York, New York 10017.
FAST Act Modernization and Simplification of Regulation S-K
Document Number: 2017-22374
Type: Proposed Rule
Date: 2017-11-02
Agency: Securities and Exchange Commission, Agencies and Commissions
We are proposing amendments based on the recommendations made in the staff's Report on Modernization and Simplification of Regulation S-K, as required by Section 72003 of the Fixing America's Surface Transportation Act. The proposed amendments are intended to modernize and simplify certain disclosure requirements in Regulation S-K, and related rules and forms, in a manner that reduces the costs and burdens on registrants while continuing to provide all material information to investors. The amendments are also intended to improve the readability and navigability of disclosure documents and discourage repetition and disclosure of immaterial information. To provide for a consistent set of rules to govern incorporation by reference and hyperlinking, we are also proposing parallel amendments to several rules and forms applicable to investment companies and investment advisers, including proposed amendments that would require certain investment company filings to be submitted in HyperText Markup Language (``HTML'') format.
The Relative Value Fund et al.
Document Number: 2017-23695
Type: Notice
Date: 2017-11-01
Agency: Securities and Exchange Commission, Agencies and Commissions
Applicants request an order to permit certain registered closed-end management investment companies to issue multiple classes of shares and to impose asset-based distribution and/or service fees, early withdrawal charges (``EWCs'') and early repurchase fees.
Fixed Income Market Structure Advisory Committee
Document Number: 2017-23670
Type: Notice
Date: 2017-10-31
Agency: Securities and Exchange Commission, Agencies and Commissions
The Securities and Exchange Commission is publishing this notice to announce that the Chairman of the Commission, with the concurrence of the other Commissioners, intends to establish the Securities and Exchange Commission Fixed Income Market Structure Advisory Committee.
Submission for OMB Review; Comment Request
Document Number: 2017-23658
Type: Notice
Date: 2017-10-31
Agency: Securities and Exchange Commission, Agencies and Commissions
Proposed Collection; Comment Request
Document Number: 2017-23657
Type: Notice
Date: 2017-10-31
Agency: Securities and Exchange Commission, Agencies and Commissions
Covered Securities Pursuant to Section 18 of the Securities Act of 1933
Document Number: 2017-23507
Type: Rule
Date: 2017-10-30
Agency: Securities and Exchange Commission, Agencies and Commissions
The Securities and Exchange Commission (``SEC'' or ``Commission'') is adopting an amendment to Rule 146 under Section 18 of the Securities Act of 1933, as amended (``Securities Act''), to designate certain securities listed, or authorized for listing, on Investors Exchange LLC (``IEX'' or ``Exchange'') as covered securities for purposes of Section 18(b) of the Securities Act. Covered securities under Section 18(b) of the Securities Act are exempt from state law registration requirements. The Commission also is amending Rule 146 to reflect name changes of certain exchanges referenced in the Rule.
Submission for OMB Review; Comment Request
Document Number: 2017-23471
Type: Notice
Date: 2017-10-30
Agency: Securities and Exchange Commission, Agencies and Commissions