Securities and Exchange Commission – Federal Register Recent Federal Regulation Documents

Results 351 - 400 of 27,290
AB Private Credit Investors Corp., et al.
Document Number: 2018-14963
Type: Notice
Date: 2018-07-13
Agency: Securities and Exchange Commission, Agencies and Commissions
Sunshine Act Meetings
Document Number: 2018-14960
Type: Notice
Date: 2018-07-11
Agency: Securities and Exchange Commission, Agencies and Commissions
Blackstone/GSO Floating Rate Enhanced Income Fund, et al.
Document Number: 2018-14844
Type: Notice
Date: 2018-07-11
Agency: Securities and Exchange Commission, Agencies and Commissions
DMS ETF Trust I, et al.
Document Number: 2018-14843
Type: Notice
Date: 2018-07-11
Agency: Securities and Exchange Commission, Agencies and Commissions
Sunshine Act Meetings
Document Number: 2018-14790
Type: Notice
Date: 2018-07-10
Agency: Securities and Exchange Commission, Agencies and Commissions
Investment Company Liquidity Disclosure
Document Number: 2018-14366
Type: Rule
Date: 2018-07-10
Agency: Securities and Exchange Commission, Agencies and Commissions
The Securities and Exchange Commission (``Commission'') is adopting amendments to its forms designed to improve the reporting and disclosure of liquidity information by registered open-end investment companies. The Commission is adopting a new requirement that funds disclose information about the operation and effectiveness of their liquidity risk management program in their reports to shareholders. The Commission in turn is rescinding the requirement in Form N-PORT under the Investment Company Act of 1940 that funds publicly disclose aggregate liquidity classification information about their portfolios. In addition, the Commission is adopting amendments to Form N-PORT that will allow funds classifying the liquidity of their investments pursuant to their liquidity risk management programs to report multiple liquidity classification categories for a single position under specified circumstances. The Commission also is adding a new requirement to Form N-PORT that funds and other registrants report their holdings of cash and cash equivalents.
Smaller Reporting Company Definition
Document Number: 2018-14306
Type: Rule
Date: 2018-07-10
Agency: Securities and Exchange Commission, Agencies and Commissions
We are adopting amendments to the definition of ``smaller reporting company'' as used in our rules and regulations. The amendments expand the number of registrants that qualify as smaller reporting companies and are intended to reduce compliance costs for these registrants and promote capital formation, while maintaining appropriate investor protections. We are amending the definition of ``smaller reporting company'' to include registrants with a public float of less than $250 million, as well as registrants with annual revenues of less than $100 million for the previous year and either no public float or a public float of less than $700 million. We also are amending other rules and forms in light of the new definition of ``smaller reporting company,'' including amendments to the definitions of ``accelerated filer'' and ``large accelerated filer'' to preserve the existing thresholds in those definitions. Qualifying as a ``smaller reporting company'' will no longer automatically make a registrant a non-accelerated filer. The Chairman, however, has directed the staff to formulate recommendations to the Commission for possible additional changes to the ``accelerated filer'' definition that, if adopted, would have the effect of reducing the number of registrants that qualify as accelerated filers.
Vivaldi Opportunities Fund and Vivaldi Asset Management, LLC
Document Number: 2018-14662
Type: Notice
Date: 2018-07-09
Agency: Securities and Exchange Commission, Agencies and Commissions
Altaba Inc.
Document Number: 2018-14658
Type: Notice
Date: 2018-07-09
Agency: Securities and Exchange Commission, Agencies and Commissions
Proposed Collection; Comment Request
Document Number: 2018-14657
Type: Notice
Date: 2018-07-09
Agency: Securities and Exchange Commission, Agencies and Commissions
Proposed Collection; Comment Request
Document Number: 2018-14656
Type: Notice
Date: 2018-07-09
Agency: Securities and Exchange Commission, Agencies and Commissions
Proposed Collection; Comment Request
Document Number: 2018-14655
Type: Notice
Date: 2018-07-09
Agency: Securities and Exchange Commission, Agencies and Commissions
Proposed Collection; Comment Request
Document Number: 2018-14654
Type: Notice
Date: 2018-07-09
Agency: Securities and Exchange Commission, Agencies and Commissions
Proposed Collection; Comment Request
Document Number: 2018-14653
Type: Notice
Date: 2018-07-09
Agency: Securities and Exchange Commission, Agencies and Commissions
Proposed Collection; Comment Request
Document Number: 2018-14652
Type: Notice
Date: 2018-07-09
Agency: Securities and Exchange Commission, Agencies and Commissions
Proposed Collection; Comment Request
Document Number: 2018-14651
Type: Notice
Date: 2018-07-09
Agency: Securities and Exchange Commission, Agencies and Commissions
Proposed Collection; Comment Request
Document Number: 2018-14650
Type: Notice
Date: 2018-07-09
Agency: Securities and Exchange Commission, Agencies and Commissions
Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 1940
Document Number: 2018-14458
Type: Notice
Date: 2018-07-06
Agency: Securities and Exchange Commission, Agencies and Commissions
Applicant seeks an order declaring that it has ceased to be an investment company. The applicant has transferred its assets to AB Government Money Market Portfolio, a series of AB Fixed-Income Shares, Inc., and, on November, 10, 2017, made a final distribution to its shareholders based on net asset value. Expenses of $201,740 incurred in connection with the reorganization were paid by the applicant and the acquiring fund. Filing Dates: The application was filed on May 25, 2018, and amended on June 13, 2018. Applicant's Address: 1345 Avenue of the Americas, New York, New York 10105.
Motley Fool Asset Management, LLC and The RBB Fund, Inc.
Document Number: 2018-14364
Type: Notice
Date: 2018-07-05
Agency: Securities and Exchange Commission, Agencies and Commissions