Securities and Exchange Commission – Federal Register Recent Federal Regulation Documents

Results 351 - 400 of 37,562
Sunshine Act Meetings
Document Number: 2024-05769
Type: Notice
Date: 2024-03-18
Agency: Securities and Exchange Commission, Agencies and Commissions
EDGAR Filer Access and Account Management; Correction
Document Number: 2024-05625
Type: Proposed Rule
Date: 2024-03-18
Agency: Securities and Exchange Commission, Agencies and Commissions
This document makes a correction to the preamble of a proposed rule, as proposed in Release No. 33-11232 (Sept. 13, 2023), which was published in the Federal Register on September 22, 2023.
Exemption for Certain Investment Advisers Operating Through the Internet; Correction
Document Number: 2024-05624
Type: Proposed Rule
Date: 2024-03-18
Agency: Securities and Exchange Commission, Agencies and Commissions
This document makes a correction to the preamble of a proposed rule, as proposed in Release No. IA-6354 (July 26, 2023), which was published in the Federal Register on August 1, 2023.
Conflicts of Interest Associated With the Use of Predictive Data Analytics by Broker-Dealers and Investment Advisers; Correction
Document Number: 2024-05623
Type: Proposed Rule
Date: 2024-03-18
Agency: Securities and Exchange Commission, Agencies and Commissions
This document makes a correction to the preamble of a proposed rule, as proposed in Release No. 34-97990 (July 26, 2023), which was published in the Federal Register on August 9, 2023.
Proposed Collection; Comment Request; Extension: Rule 17g-10 and Form ABS Due Diligence-15E
Document Number: 2024-05542
Type: Notice
Date: 2024-03-15
Agency: Securities and Exchange Commission, Agencies and Commissions
James Alpha Funds Trust d/b/a Easterly Funds Trust and Easterly Investment Partners LLC
Document Number: 2024-05595
Type: Notice
Date: 2024-03-15
Agency: Securities and Exchange Commission, Agencies and Commissions
Submission for OMB Review; Comment Request; Extension: Form 24F-2
Document Number: 2024-05501
Type: Notice
Date: 2024-03-15
Agency: Securities and Exchange Commission, Agencies and Commissions
Form PF; Reporting Requirements for All Filers and Large Hedge Fund Advisers
Document Number: 2024-03473
Type: Rule
Date: 2024-03-12
Agency: Commodity Futures Trading Commission, Agencies and Commissions, Securities and Exchange Commission
The Commodity Futures Trading Commission (``CFTC'') and the Securities and Exchange Commission (``SEC'') (collectively, ``we'' or ``Commissions'') are adopting amendments to Form PF, the confidential reporting form for certain SEC-registered investment advisers to private funds, including those that also are registered with the CFTC as a commodity pool operator (``CPO'') or commodity trading adviser (``CTA''). The amendments are designed to enhance the Financial Stability Oversight Council's (``FSOC's'') ability to monitor systemic risk as well as bolster the SEC's regulatory oversight of private fund advisers and investor protection efforts. In connection with the amendments to Form PF, the SEC is amending a rule under the Investment Advisers Act of 1940 (``Advisers Act'') to revise instructions for requesting a temporary hardship exemption.
Sunshine Act Meetings
Document Number: 2024-05209
Type: Notice
Date: 2024-03-11
Agency: Securities and Exchange Commission, Agencies and Commissions
Antares Private Credit Fund, et al.
Document Number: 2024-05035
Type: Notice
Date: 2024-03-11
Agency: Securities and Exchange Commission, Agencies and Commissions
Sunshine Act Meetings
Document Number: 2024-05046
Type: Notice
Date: 2024-03-07
Agency: Securities and Exchange Commission, Agencies and Commissions
Sunshine Act Meetings
Document Number: 2024-05044
Type: Notice
Date: 2024-03-07
Agency: Securities and Exchange Commission, Agencies and Commissions
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