Securities and Exchange Commission – Federal Register Recent Federal Regulation Documents

Results 301 - 350 of 27,290
Exempt Offerings Pursuant to Compensatory Arrangements
Document Number: 2018-15730
Type: Rule
Date: 2018-07-24
Agency: Securities and Exchange Commission, Agencies and Commissions
The Securities and Exchange Commission is adopting an amendment to its regulations under the Securities Act of 1933 (the ``Securities Act''), which provide an exemption from registration for securities issued by non-reporting companies pursuant to compensatory arrangements. As mandated by the Economic Growth, Regulatory Relief, and Consumer Protection Act (the ``Act''), the amendment revises a rule to increase from $5 million to $10 million the aggregate sales price or amount of securities sold during any consecutive 12-month period in excess of which the issuer is required to deliver additional disclosures to investors.
Sunshine Act Meetings
Document Number: 2018-15673
Type: Notice
Date: 2018-07-20
Agency: Securities and Exchange Commission, Agencies and Commissions
Whistleblower Program Rules
Document Number: 2018-14411
Type: Proposed Rule
Date: 2018-07-20
Agency: Securities and Exchange Commission, Agencies and Commissions
The Securities and Exchange Commission (``Commission'') is proposing for public comment several amendments to the Commission's rules implementing its whistleblower program. Section 21F of the Securities Exchange Act of 1934 (``Exchange Act'') provides, among other things, that the Commission shall pay an awardunder regulations prescribed by the Commission and subject to certain limitationsto eligible whistleblowers who voluntarily provide the Commission with original information about a violation of the federal securities laws that leads to the successful enforcement of a covered judicial or administrative action, or a related action. On May 25, 2011, the Commission adopted a comprehensive set of rules to implement the whistleblower program. The proposed rules would make certain changes and clarifications to the existing rules, as well as several technical amendments. The Commission is also including interpretive guidance concerning the terms ``unreasonable delay'' and ``independent analysis.''
Submission for OMB Review; Comment Request
Document Number: 2018-15382
Type: Notice
Date: 2018-07-19
Agency: Securities and Exchange Commission, Agencies and Commissions
Proposed Collection; Comment Request
Document Number: 2018-15381
Type: Notice
Date: 2018-07-19
Agency: Securities and Exchange Commission, Agencies and Commissions
Submission for OMB Review; Comment Request
Document Number: 2018-15380
Type: Notice
Date: 2018-07-19
Agency: Securities and Exchange Commission, Agencies and Commissions
Proposed Collection; Comment Request
Document Number: 2018-15379
Type: Notice
Date: 2018-07-19
Agency: Securities and Exchange Commission, Agencies and Commissions
Submission for OMB Review; Comment Request
Document Number: 2018-15378
Type: Notice
Date: 2018-07-19
Agency: Securities and Exchange Commission, Agencies and Commissions
Submission for OMB Review; Comment Request
Document Number: 2018-15377
Type: Notice
Date: 2018-07-19
Agency: Securities and Exchange Commission, Agencies and Commissions
Submission for OMB Review; Comment Request
Document Number: 2018-15376
Type: Notice
Date: 2018-07-19
Agency: Securities and Exchange Commission, Agencies and Commissions
Submission for OMB Review; Comment Request
Document Number: 2018-15375
Type: Notice
Date: 2018-07-19
Agency: Securities and Exchange Commission, Agencies and Commissions
Submission for OMB Review; Comment Request
Document Number: 2018-15374
Type: Notice
Date: 2018-07-19
Agency: Securities and Exchange Commission, Agencies and Commissions
Submission for OMB Review; Comment Request
Document Number: 2018-15373
Type: Notice
Date: 2018-07-19
Agency: Securities and Exchange Commission, Agencies and Commissions
Sunshine Act Meetings
Document Number: 2018-15292
Type: Notice
Date: 2018-07-17
Agency: Securities and Exchange Commission, Agencies and Commissions
Adoption of Updated EDGAR Filer Manual
Document Number: 2018-15247
Type: Rule
Date: 2018-07-17
Agency: Securities and Exchange Commission, Agencies and Commissions
The Securities and Exchange Commission (the ``Commission'') is adopting revisions to the Electronic Data Gathering, Analysis, and Retrieval System (``EDGAR'') Filer Manual and related rules. The EDGAR system is scheduled to be upgraded on July 9, 2018.
TriLine Index Solutions, LLC and ETF Series Solutions
Document Number: 2018-15174
Type: Notice
Date: 2018-07-17
Agency: Securities and Exchange Commission, Agencies and Commissions
SL Advisors, LLC and ETF Series Solutions
Document Number: 2018-15173
Type: Notice
Date: 2018-07-17
Agency: Securities and Exchange Commission, Agencies and Commissions
Proposed Revisions to Prohibitions and Restrictions on Proprietary Trading and Certain Interests in, and Relationships With, Hedge Funds and Private Equity Funds
Document Number: 2018-13502
Type: Proposed Rule
Date: 2018-07-17
Agency: Commodity Futures Trading Commission, Agencies and Commissions, Federal Deposit Insurance Corporation, Federal Reserve System, Securities and Exchange Commission, Department of Treasury, Office of the Comptroller of the Currency
The OCC, Board, FDIC, SEC, and CFTC (individually, an ``Agency,'' and collectively, the ``Agencies'') are requesting comment on a proposal that would amend the regulations implementing section 13 of the Bank Holding Company Act (BHC Act). Section 13 contains certain restrictions on the ability of a banking entity and nonbank financial company supervised by the Board to engage in proprietary trading and have certain interests in, or relationships with, a hedge fund or private equity fund. The proposed amendments are intended to provide banking entities with clarity about what activities are prohibited and to improve supervision and implementation of section 13.
Sunshine Act Meeting
Document Number: 2018-15233
Type: Notice
Date: 2018-07-16
Agency: Securities and Exchange Commission, Agencies and Commissions
Charles Schwab & Co. Inc. and Charles Schwab Investment Management, Inc.
Document Number: 2018-15078
Type: Notice
Date: 2018-07-16
Agency: Securities and Exchange Commission, Agencies and Commissions
DMS ETF Trust I, et al.
Document Number: 2018-15068
Type: Notice
Date: 2018-07-16
Agency: Securities and Exchange Commission, Agencies and Commissions
Self-Regulatory Organizations; LCH SA; Notice of Filing of Proposed Rule Change Relating to Liquidity Risk Management
Document Number: C1-2018-13378
Type: Notice
Date: 2018-07-13
Agency: Securities and Exchange Commission, Agencies and Commissions