Securities and Exchange Commission – Federal Register Recent Federal Regulation Documents

Results 251 - 300 of 27,886
Proposed Collection; Comment Request
Document Number: 2018-25689
Type: Notice
Date: 2018-11-26
Agency: Securities and Exchange Commission, Agencies and Commissions
Proposed Collection; Comment Request
Document Number: 2018-25688
Type: Notice
Date: 2018-11-26
Agency: Securities and Exchange Commission, Agencies and Commissions
Proposed Collection; Comment Request
Document Number: 2018-25687
Type: Notice
Date: 2018-11-26
Agency: Securities and Exchange Commission, Agencies and Commissions
Proposed Collection; Comment Request
Document Number: 2018-25686
Type: Notice
Date: 2018-11-26
Agency: Securities and Exchange Commission, Agencies and Commissions
Proposed Collection; Comment Request
Document Number: 2018-25685
Type: Notice
Date: 2018-11-26
Agency: Securities and Exchange Commission, Agencies and Commissions
Proposed Collection; Comment Request
Document Number: 2018-25684
Type: Notice
Date: 2018-11-26
Agency: Securities and Exchange Commission, Agencies and Commissions
Proposed Collection; Comment Request
Document Number: 2018-25683
Type: Notice
Date: 2018-11-26
Agency: Securities and Exchange Commission, Agencies and Commissions
Proposed Collection; Comment Request
Document Number: 2018-25682
Type: Notice
Date: 2018-11-26
Agency: Securities and Exchange Commission, Agencies and Commissions
Pacific Global ETF Trust and Cadence Capital Management LLC
Document Number: 2018-25594
Type: Notice
Date: 2018-11-26
Agency: Securities and Exchange Commission, Agencies and Commissions
Proposed Collection; Comment Request
Document Number: 2018-25492
Type: Notice
Date: 2018-11-23
Agency: Securities and Exchange Commission, Agencies and Commissions
Proposed Collection; Comment Request
Document Number: 2018-25491
Type: Notice
Date: 2018-11-23
Agency: Securities and Exchange Commission, Agencies and Commissions
Submission for OMB Review; Comment Request
Document Number: 2018-25490
Type: Notice
Date: 2018-11-23
Agency: Securities and Exchange Commission, Agencies and Commissions
Proposed Collection; Comment Request
Document Number: 2018-25442
Type: Notice
Date: 2018-11-23
Agency: Securities and Exchange Commission, Agencies and Commissions
ABR Dynamic Funds, LLC, et al.
Document Number: 2018-25180
Type: Notice
Date: 2018-11-19
Agency: Securities and Exchange Commission, Agencies and Commissions
Disclosure of Order Handling Information
Document Number: 2018-24423
Type: Rule
Date: 2018-11-19
Agency: Securities and Exchange Commission, Agencies and Commissions
The Securities and Exchange Commission (``Commission'' or ``SEC'') is adopting amendments to Regulation National Market System (``Regulation NMS'') under the Securities Exchange Act of 1934 (``Exchange Act'') to require additional disclosures by broker-dealers to customers regarding the handling of their orders. The Commission is adding a new disclosure requirement which requires a broker-dealer, upon request of its customer, to provide specific disclosures related to the routing and execution of the customer's NMS stock orders submitted on a not held basis for the prior six months, subject to two de minimis exceptions. The Commission also is amending the current order routing disclosures that broker-dealers must make publicly available on a quarterly basis to pertain to NMS stock orders submitted on a held basis, and the Commission is making targeted enhancements to these public disclosures. In connection with these new requirements, the Commission is amending Regulation NMS to include certain newly defined and redefined terms that are used in the amendments. The Commission also is amending Regulation NMS to require that the public order execution report be kept publicly available for a period of three years. Finally, the Commission is adopting conforming amendments and updating cross-references as a result of the rule amendments being adopted in this rule.
Submission for OMB Review; Comment Request
Document Number: 2018-25051
Type: Notice
Date: 2018-11-16
Agency: Securities and Exchange Commission, Agencies and Commissions
Submission for OMB Review; Comment Request
Document Number: 2018-25049
Type: Notice
Date: 2018-11-16
Agency: Securities and Exchange Commission, Agencies and Commissions
Submission for OMB Review; Comment Request
Document Number: 2018-25048
Type: Notice
Date: 2018-11-16
Agency: Securities and Exchange Commission, Agencies and Commissions
Submission for OMB Review; Comment Request
Document Number: 2018-25047
Type: Notice
Date: 2018-11-16
Agency: Securities and Exchange Commission, Agencies and Commissions
Investor Advisory Committee Meeting
Document Number: 2018-25019
Type: Notice
Date: 2018-11-16
Agency: Securities and Exchange Commission, Agencies and Commissions
The Securities and Exchange Commission Investor Advisory Committee, established pursuant to Section 911 of the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010, is providing notice that it will hold a public meeting. The public is invited to submit written statements to the Committee.