Securities and Exchange Commission – Federal Register Recent Federal Regulation Documents

Results 3,201 - 3,250 of 38,649
PGIM Private Real Estate Fund, Inc., et al.
Document Number: 2023-04785
Type: Notice
Date: 2023-03-09
Agency: Securities and Exchange Commission, Agencies and Commissions
Safeguarding Advisory Client Assets
Document Number: 2023-03681
Type: Proposed Rule
Date: 2023-03-09
Agency: Securities and Exchange Commission, Agencies and Commissions
The Securities and Exchange Commission (``Commission'' or ``SEC'') is proposing a new rule under the Investment Advisers Act of 1940 (``Advisers Act'' or ``Act'') to address how investment advisers safeguard client assets. To effect our redesignation of the current custody rule for the proposed new safeguarding rule, we are proposing to renumber the current rule. In addition we are proposing to amend certain provisions of the current custody rule for enhanced investor protections. We also are proposing corresponding amendments to the recordkeeping rule under the Advisers Act and to Form ADV for investment adviser registration under the Advisers Act.
Submission for OMB Review; Comment Request; Extension: Customer Account Statements (17 CFR 242.607)
Document Number: 2023-04825
Type: Notice
Date: 2023-03-09
Agency: Securities and Exchange Commission, Agencies and Commissions
Proposed Collection; Comment Request; Extension: Rule 22d-1
Document Number: 2023-04629
Type: Notice
Date: 2023-03-07
Agency: Securities and Exchange Commission, Agencies and Commissions
Proposed Collection; Comment Request; Extension: Rule 22e-4
Document Number: 2023-04627
Type: Notice
Date: 2023-03-07
Agency: Securities and Exchange Commission, Agencies and Commissions
Proposed Collection; Comment Request; Extension: Rule 17f-5
Document Number: 2023-04626
Type: Notice
Date: 2023-03-07
Agency: Securities and Exchange Commission, Agencies and Commissions
Submission for OMB Review; Comment Request; Extension: Rule 19b-1
Document Number: 2023-04525
Type: Notice
Date: 2023-03-06
Agency: Securities and Exchange Commission, Agencies and Commissions
Proposed Collection; Comment Request; Extension: Rule 8c-1
Document Number: 2023-04541
Type: Notice
Date: 2023-03-06
Agency: Securities and Exchange Commission, Agencies and Commissions
Sunshine Act Meetings
Document Number: 2023-04615
Type: Notice
Date: 2023-03-06
Agency: Securities and Exchange Commission, Agencies and Commissions
Shortening the Securities Transaction Settlement Cycle
Document Number: 2023-03566
Type: Rule
Date: 2023-03-06
Agency: Securities and Exchange Commission, Agencies and Commissions
The Securities and Exchange Commission (``Commission'') is adopting rule amendments to shorten the standard settlement cycle for most broker-dealer transactions from two business days after the trade date (``T+2'') to one business day after the trade date (``T+1''). In addition, the Commission is adopting new rules related to the processing of institutional trades by broker-dealers and certain clearing agencies. The Commission is also amending certain recordkeeping requirements applicable to registered investment advisers.
Submission for OMB Review; Comment Request; Extension: Rule 17a-22
Document Number: 2023-04447
Type: Notice
Date: 2023-03-03
Agency: Securities and Exchange Commission, Agencies and Commissions
Submission for OMB Review; Comment Request; Extension: Form N-8B-4
Document Number: 2023-04446
Type: Notice
Date: 2023-03-03
Agency: Securities and Exchange Commission, Agencies and Commissions
Applications for Deregistration Under Section 8(f) of the Investment Company Act of 1940
Document Number: 2023-04214
Type: Notice
Date: 2023-03-02
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 September 25, 2018, applicant made liquidating distributions to its shareholders based on net asset value. Expenses of $8,362 incurred in connection with the liquidation were paid by the applicant. Filing Date: The application was filed on February 2, 2023. Applicant's Address: Brookfield Public Securities Group LLC, Brookfield Place, 250 Vesey Street, 15th Floor, New York, New York 10281-1023.
Tidal Trust II, et al.
Document Number: 2023-04134
Type: Notice
Date: 2023-03-01
Agency: Securities and Exchange Commission, Agencies and Commissions
Proposed Collection; Comment Request; Extension: Form ADV-H
Document Number: 2023-04210
Type: Notice
Date: 2023-03-01
Agency: Securities and Exchange Commission, Agencies and Commissions
Submission for OMB Review; Comment Request; Extension: Rule 32a-4
Document Number: 2023-04209
Type: Notice
Date: 2023-03-01
Agency: Securities and Exchange Commission, Agencies and Commissions
Extending Form 144 EDGAR Filing Hours
Document Number: 2023-03931
Type: Rule
Date: 2023-02-27
Agency: Securities and Exchange Commission, Agencies and Commissions
We are adopting an amendment to Regulation S-T to extend the filing deadline for Form 144 from 5:30 p.m. to 10 p.m., Eastern Standard Time or Eastern Daylight Saving Time, whichever is currently in effect, on Commission business days. We are also adopting technical amendments to enhance the consistency of recently revised provisions related to the filing format of Form 144.
Sunshine Act Meetings
Document Number: 2023-04079
Type: Notice
Date: 2023-02-27
Agency: Securities and Exchange Commission, Agencies and Commissions
Sunshine Act Meetings
Document Number: 2023-03873
Type: Notice
Date: 2023-02-23
Agency: Securities and Exchange Commission, Agencies and Commissions
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