Securities and Exchange Commission – Federal Register Recent Federal Regulation Documents

Results 4,401 - 4,450 of 38,667
Northern Lights Fund Trust IV, et al.
Document Number: 2022-04312
Type: Notice
Date: 2022-03-02
Agency: Securities and Exchange Commission, Agencies and Commissions
Proposed Collection; Comment Request
Document Number: 2022-04387
Type: Notice
Date: 2022-03-02
Agency: Securities and Exchange Commission, Agencies and Commissions
Proposed Collection; Comment Request
Document Number: 2022-04386
Type: Notice
Date: 2022-03-02
Agency: Securities and Exchange Commission, Agencies and Commissions
Application: Deregistration Under the Investment Company Act
Document Number: 2022-04385
Type: Notice
Date: 2022-03-02
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 January 22, 2021, April 26, 2021, August 23, 2021, and November 29, 2021, applicant made liquidating distributions to its shareholders based on net asset value. Expenses of $2,636.80 incurred in connection with the liquidation were paid by the applicant. Filing Dates: The application was filed on December 16, 2021, and amended on February 22, 2022. Applicant's Address: Leon.Volchyok@Blackstone.com.
Reopening of Comment Period for Reporting of Securities Loans
Document Number: 2022-04384
Type: Proposed Rule
Date: 2022-03-02
Agency: Securities and Exchange Commission, Agencies and Commissions
On November 18, 2021, the Securities and Exchange Commission issued for comment a proposed rule under the Securities Exchange Act of 1934 (``Exchange Act'') in Release No. 34-93613 (Nov. 18, 2021), 86 FR 69802 (Dec. 8, 2021) regarding the reporting of securities loans. The Commission is reopening the comment period for the proposed rule in light of the proposed Exchange Act rule regarding short sale disclosure. In particular, the Commission is soliciting comment on any potential effects of the proposed Exchange Act rule regarding short sale disclosure that the Commission should consider in determining whether to adopt the proposed Exchange Act rule regarding the reporting of securities loans.
Sunshine Act Meetings
Document Number: 2022-04325
Type: Notice
Date: 2022-03-01
Agency: Securities and Exchange Commission, Agencies and Commissions
Submission for OMB Review; Comment Request
Document Number: 2022-04171
Type: Notice
Date: 2022-02-28
Agency: Securities and Exchange Commission, Agencies and Commissions
Shortening the Securities Transaction Settlement Cycle
Document Number: 2022-03143
Type: Proposed Rule
Date: 2022-02-24
Agency: Securities and Exchange Commission, Agencies and Commissions
The Securities and Exchange Commission (``Commission'') proposes rules 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''). To facilitate a T+1 standard settlement cycle, the Commission also proposes new requirements for the processing of institutional trades by broker-dealers, investment advisers, and certain clearing agencies. These requirements are designed to protect investors, reduce risk, and increase operational efficiency. The Commission proposes to require compliance with a T+1 standard settlement cycle, if adopted, by March 31, 2024. The Commission also solicits comment on how best to further advance beyond T+1.
Sunshine Act Meetings
Document Number: 2022-03859
Type: Notice
Date: 2022-02-23
Agency: Securities and Exchange Commission, Agencies and Commissions
Thrivent ETF Trust, et al.
Document Number: 2022-03645
Type: Notice
Date: 2022-02-22
Agency: Securities and Exchange Commission, Agencies and Commissions
Alpha Architect ETF Trust and Empowered Funds, LLC
Document Number: 2022-03644
Type: Notice
Date: 2022-02-22
Agency: Securities and Exchange Commission, Agencies and Commissions
Proposed Collection; Comment Request
Document Number: 2022-03623
Type: Notice
Date: 2022-02-22
Agency: Securities and Exchange Commission, Agencies and Commissions
This site is protected by reCAPTCHA and the Google Privacy Policy and Terms of Service apply.