Securities and Exchange Commission – Federal Register Recent Federal Regulation Documents
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Supplemental Information and Reopening of Comment Period for Amendments Regarding the Definition of “Exchange”
The Securities and Exchange Commission (``Commission'') is reopening the comment period for its proposal (``Proposed Rules'') to amend the rule under the Securities Exchange Act of 1934 (``Exchange Act'') that defines certain terms used in the statutory definition of ``exchange.'' The reopening provides supplemental information and economic analysis regarding trading systems that trade crypto asset securities that would be newly included in the definition of ``exchange'' under the Proposed Rules. The Commission is requesting further information and public comment on certain aspects of the Proposed Rules as applicable to all securities and the compliance dates and other alternatives for the Proposed Rules. The Proposed Rules were set forth in Release No. 34-94062 (``Proposing Release''), and the related comment period, which was reopened in Release No. 34-94868 on May 9, 2022, ended on June 13, 2022. The reopening of this comment period is intended to allow interested persons further opportunity to analyze and comment on the Proposed Rules in light of the supplemental information provided herein (``Reopening Release'').
Reopening of Comment Period for Modernization of Beneficial Ownership Reporting
The Securities and Exchange Commission (``Commission'') is reopening the comment period for its proposal, Modernization of Beneficial Ownership Reporting, Release No. 33-11030, (Feb. 10, 2022) (``Proposing Release''). In the Proposing Release, the Commission proposed to amend certain rules that govern beneficial ownership reporting (``Proposed Amendments''). The Proposed Amendments would modernize the filing deadlines for initial and amended beneficial ownership reports filed on Schedules 13D and 13G. The Proposed Amendments also would deem holders of certain cash-settled derivative securities as beneficial owners of the reference equity securities and clarify the disclosure requirements of Schedule 13D with respect to derivative securities. In addition, the Proposed Amendments would clarify and affirm the operation of the beneficial ownership reporting rules as applied to two or more persons that form a group under the Securities Exchange Act of 1934, and provide new exemptions to permit such persons to communicate and consult with each other, jointly engage issuers, and execute certain transactions without being subject to regulation as a group. Finally, the Proposed Amendments would require that Schedules 13D and 13G be filed using a structured, machine- readable data language. The Commission is reopening the comment period to allow interested persons an opportunity to comment on the additional analysis and data contained in a staff memorandum that was added to the public comment file on April 28, 2023.
Deregistration Under Section 8(f) of the Investment Company Act of 1940
Applicant seeks an order declaring that it has ceased to be an investment company. The applicant has transferred its assets to CornerCap Small-Cap Value Fund, a series of Managed Portfolio Series, and on November 18, 2022 made a final distribution to its shareholders based on net asset value. Expenses of $37,989.57 incurred in connection with the reorganization were paid by the applicant's investment adviser. Filing Dates: The application was filed on February 7, 2023, and amended on April 13, 2023. Applicant's Address: 1355 Peachtree Street, North East Suite 1700, Atlanta, Georgia 30309.
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