Securities and Exchange Commission

4,841 documents, newest first — showing 601–800.

Browse with filters on the regulator page.

2020-06-30Credit Risk Retention-Notification of Commencement of Review; Extension of Review Period
2020-06-26SEC Division of Investment Management staff letter: Prospect Capital Corporation - Omission of Shareholder Proposal Submitted by Michelle Bronsted
2020-06-26SEC Division of Investment Management staff letter: Prospect Capital Corporation - Omission of Shareholder Proposal Submitted by Mark Cane
2020-06-19SEC Division of Investment Management staff letter: First Trust Senior Floating Rate Income Fund II - Omission of Shareholder Proposal Submitted by Saba Capital Management, L.P., on behalf of Saba Capital Master Fund, Ltd.
2020-06-11SEC Division of Corporation Finance no-action letter: Unilever Group
2020-06-11SEC Division of Investment Management staff letter: Minnesota Life Insurance Co.
2020-06-01SEC Division of Corporation Finance no-action letter: U.S. Bancorp
2020-06-01Securities Offering Reform for Closed-End Investment Companies
2020-06-01Recordkeeping and Reporting Requirements for Security-Based Swap Dealers, Major Security-Based Swap Participants, and Broker-Dealers; Correction
2020-05-28SEC Division of Corporation Finance no-action letter: Barclays Bank PLC
2020-05-27SEC Division of Investment Management staff letter: Investment Company Institute and SIFMA AMG
2020-05-21SEC Division of Corporation Finance no-action letter: Magal Security Systems Ltd.
2020-05-19SEC Division of Trading and Markets no-action letter: Fidelity Covington Trust
2020-05-18Updated Disclosure Requirements and Summary Prospectus for Variable Annuity and Variable Life Insurance Contracts
2020-05-15SEC Division of Corporation Finance no-action letter: QIAGEN N.V.
2020-05-15SEC Division of Trading and Markets no-action letter: Securities Industry and Financial Markets Association
2020-05-14Definition of Covered Clearing Agency
2020-05-13Updated Disclosure Requirements and Summary Prospectus for Variable Annuity and Variable Life Insurance Contracts Correction
2020-05-13Good Faith Determinations of Fair Value
2020-05-13SEC Division of Trading and Markets no-action letter: FINRA
2020-05-11SEC Division of Investment Management staff letter: Hercules Capital, Inc.
2020-05-08SEC Division of Corporation Finance no-action letter: Morgan Stanley
2020-05-07Temporary Amendments to Regulation Crowdfunding
2020-05-01Updated Disclosure Requirements and Summary Prospectus for Variable Annuity and Variable Life Insurance Contracts
2020-04-24SEC Division of Corporation Finance no-action letter: Royal Bank of Canada
2020-04-24SEC Trading and Markets FAQ: Rule 301(b)(5) Under Regulation ATS - Fair Access Rule
2020-04-21SEC Division of Investment Management staff letter: Merit Life Insurance Co.
2020-04-20Financial Disclosures About Guarantors and Issuers of Guaranteed Securities and Affiliates Whose Securities Collateralize a Registrant's Securities
2020-04-17SEC Order Granting Waivers of Disqualification Provisions for Investment Advisers in Share Class Selection Disclosure Initiative
2020-04-14SEC Staff Letter: Omission of Shareholder Proposal by Dividend and Income Fund
2020-04-09Accelerated Filer and Large Accelerated Filer Definitions; Correction
2020-04-07SEC Division of Corporation Finance no-action letter: First Trust Exchange-Traded Fund III
2020-04-06SEC Division of Corporation Finance no-action letter: Pacific Drilling SA
2020-03-31Facilitating Capital Formation and Expanding Investment Opportunities by Improving Access to Capital in Private Markets
2020-03-31Relief for Form ID Filers and Regulation Crowdfunding and Regulation A Issuers Related to Coronavirus Disease 2019 (COVID-19)
2020-03-30SEC Office of Credit Ratings staff guidance: Egan-Jones Ratings
2020-03-26Accelerated Filer and Large Accelerated Filer Definitions
2020-03-26SEC Division of Investment Management staff letter: Investment Company Institute
2020-03-24Market Data Infrastructure
2020-03-19SEC Division of Investment Management staff letter: Investment Company Institute
2020-03-16SEC Division of Trading and Markets no-action letter: Consolidated Audit Trail Reporting
2020-03-10Exemptions From Investment Adviser Registration for Advisers to Certain Rural Business Investment Companies
2020-03-06Request for Comments on Fund Names
2020-03-04SEC Division of Investment Management Staff Statement on Fund Board Meetings and Unforeseen or Emergency Circumstances Related to Coronavirus Disease 2019 (COVID-19)
2020-03-03SEC Division of Investment Management staff letter: BlackRock Science and Technology Trust and BlackRock Utilities, Infrastructure & Power Opportunities Trust
2020-03-02Delegation of Authority to the General Counsel of the Commission
2020-02-28Management's Discussion and Analysis, Selected Financial Data, and Supplementary Financial Information
2020-02-28Proposed Revisions to Prohibitions and Restrictions on Proprietary Trading and Certain Interests in, and Relationships With, Hedge Funds and Private Equity Funds
2020-02-25Commission Guidance on Management’s Discussion and Analysis of Financial Condition and Results of Operations
2020-02-21SEC Division of Investment Management staff letter: RMR Real Estate Income Fund - Omission of Shareholder Proposal Submitted by Matisse Discounted Closed-End Fund Strategy
2020-02-21SEC Division of Investment Management staff letter: Dividend and Income Fund - Omission of Shareholder Proposal Submitted by Alison Pampinella
2020-02-20SEC Division of Corporation Finance no-action letter: Wells Fargo & Company
2020-02-19Adoption of Updated EDGAR Filer Manual
2020-02-05SEC Division of Corporation Finance no-action letter: First Trust Exchange-Traded Fund III
2020-02-04Cross-Border Application of Certain Security-Based Swap Requirements
2020-02-04Risk Mitigation Techniques for Uncleared Security-Based Swaps
2020-01-30SEC Division of Investment Management staff letter: Fidelity Stock Selector Small Cap Fund
2020-01-30SEC Division of Investment Management staff letter: Fidelity Value Fund
2020-01-30SEC Division of Investment Management staff letter: Fidelity Blue Chip Value Fund
2020-01-30SEC Division of Investment Management staff letter: Fidelity Magellan Fund
2020-01-30SEC Division of Investment Management staff letter: Fidelity Growth Discovery Fund
2020-01-30SEC Division of Investment Management staff letter: Fidelity Canada Fund
2020-01-30SEC Division of Investment Management staff letter: Fidelity Puritan Fund
2020-01-30SEC Division of Investment Management staff letter: Fidelity Mid-Cap Stock Fund
2020-01-24Use of Derivatives by Registered Investment Companies and Business Development Companies; Required Due Diligence by Broker-Dealers and Registered Investment Advisers Regarding Retail Customers' Transactions in Certain Leveraged/Inverse Investment Vehicles
2020-01-24SEC Division of Corporation Finance no-action letter: Bank of America Securities, Inc.
2020-01-22SEC Division of Corporation Finance no-action letter: American Century ETF Trust
2020-01-21SEC Division of Corporation Finance no-action letter: LINE Corporation
2020-01-15Amendments to Rule 2-01, Qualifications of Accountants
2020-01-15Amending the Accredited Investor Definition
2020-01-15Disclosure of Payments by Resource Extraction Issuers
2020-01-15Nasdaq Stockholm AB Notification of Intent to Rely on Class No-Action Relief for Foreign Options Markets
2020-01-08SEC Division of Trading and Markets no-action letter: Securities Industry and Financial Markets Association
2019-12-27Filing Fee Disclosure and Payment Methods Modernization
2019-12-26Securities and Exchange Commission Semiannual Regulatory Agenda
2019-12-20Credit Risk Retention-Notice of Commencement of Review
2019-12-20SEC Division of Corporation Finance no-action letter: Baillie Gifford European Growth Trust plc
2019-12-19Commission Statement and Guidance on Public Company Cybersecurity Disclosures
2019-12-19SEC Division of Corporation Finance no-action letter: Fidelity Covington Trust
2019-12-17SEC Division of Corporation Finance no-action letter: Blockchain of Things, Inc.
2019-12-16Recordkeeping and Reporting Requirements for Security-Based Swap Dealers, Major Security-Based Swap Participants, and Broker-Dealers
2019-12-16SEC Division of Investment Management staff letter: Eaton Vance Tax-Advantaged Dividend Income Fund, et al.
2019-12-13SEC Division of Corporation Finance no-action letter: American Century ETF Trust
2019-12-10Investment Adviser Advertisements; Compensation for Solicitations
2019-12-06SEC Division of Corporation Finance no-action letter: Asian Infrastructure Investment Bank
2019-12-05SEC Division of Corporation Finance no-action letter: First Trust Exchange-Traded Fund VIII
2019-12-05SEC Division of Corporation Finance no-action letter: Waterside Enterprises, LLC
2019-12-04Procedural Requirements and Resubmission Thresholds Under Exchange Act Rule 14a-8
2019-12-04SEC Division of Investment Management staff letter: Gladstone Investment Corporation
2019-12-04Amendments to Exemptions From the Proxy Rules for Proxy Voting Advice
2019-11-25Staff Accounting Bulletin No. 119
2019-11-22SEC Trading and Markets FAQ: Regulation M
2019-11-19SEC Staff Accounting Bulletin: SAB 119
2019-11-18SEC Division of Trading and Markets no-action letter: Options Clearing Corporation
2019-11-14Prohibitions and Restrictions on Proprietary Trading and Certain Interests in, and Relationships With, Hedge Funds and Private Equity Funds
2019-11-11SEC Division of Corporation Finance no-action letter: Jewelers Mutual Insurance Company
2019-11-05SEC Division of Corporation Finance no-action letter: Morgan Stanley
2019-11-04SEC Division of Investment Management staff letter: Securities Industry and Financial Markets Association
2019-10-30Publication or Submission of Quotations Without Specified Information
2019-10-30Amendments to Procedures With Respect to Applications Under the Investment Company Act of 1940
2019-10-28SEC Division of Trading and Markets no-action letter: Paxos Trust Company, LLC (Time Limited No-Action)
2019-10-25SEC Division of Investment Management staff letter: Robert Van Grover Esq., Seward & Kissel LLP
2019-10-24Commission Statement on Market Structure Innovation for Thinly Traded Securities
2019-10-24Adoption of Updated EDGAR Filer Manual
2019-10-24Exchange-Traded Funds
2019-10-18SEC Order Instituting Administrative and Cease-and-Disist Proceedings Against The Robare Group, Ltd. and Principals
2019-10-17SEC Division of Investment Management staff letter: Forethought Life Insurance Company
2019-10-17SEC Division of Investment Management staff letter: Nationwide Life Insurance Company
2019-10-17SEC Investment Management FAQ: Business Development Companies and Section 61(a) of the Investment Company Act of 1940
2019-10-16SEC Staff Legal Bulletin 14K: Guidance on Rule 14a-8(i)(7) and Proof of Ownership
2019-10-15Capital, Margin, and Segregation Requirements for Security-Based Swap Dealers and Major Security-Based Swap Participants and Capital and Segregation Requirements for Broker-Dealers; Correction
2019-10-11SEC Division of Corporation Finance no-action letter: Church Mutual Insurance Company
2019-10-11Rescission of Effective-Upon-Filing Procedure for NMS Plan Fee Amendments
2019-10-09Proposed Exemptive Order Granting Conditional Exemption From Broker Registration for Registered Municipal Advisors
2019-10-04Solicitations of Interest Prior to a Registered Public Offering
2019-10-03Update of Statistical Disclosures for Bank and Savings and Loan Registrants
2019-09-30SEC Division of Corporation Finance no-action letter: Nebulous, Inc.
2019-09-30SEC Order Granting Waivers of Disqualification Provisions for Investment Advisers in Share Class Selection Disclosure Initiative
2019-09-30SEC Order Granting Waivers of Disqualification Provisions for Investment Advisers in the Share Class Selection Disclosure Initiative
2019-09-30SEC Division of Corporation Finance no-action letter: Block.one
2019-09-26Technical Amendments To Update Cross-References to Commission's FOIA Regulations
2019-09-26SEC Division of Corporation Finance no-action letter: Bank of Montreal
2019-09-26SEC Division of Corporation Finance no-action letter: BGC Partners, Inc.
2019-09-17SEC Division of Corporation Finance no-action letter: Raymond James Financial, Inc.
2019-09-10Commission Interpretation and Guidance Regarding the Applicability of the Proxy Rules to Proxy Voting Advice
2019-09-10Commission Guidance Regarding Proxy Voting Responsibilities of Investment Advisers
2019-09-09SEC Division of Corporation Finance no-action letter: InvenTrust Properties Corp.
2019-09-03SEC Division of Corporation Finance no-action letter: BioCardia, Inc.
2019-08-28SEC Division of Trading and Markets no-action letter: Citigroup Global Markets Inc.
2019-08-26SEC Division of Trading and Markets no-action letter: Banco Bilbao Vizcaya Argentaria, S.A.
2019-08-23Modernization of Regulation S-K Items 101, 103, and 105
2019-08-22Capital, Margin, and Segregation Requirements for Security-Based Swap Dealers and Major Security-Based Swap Participants and Capital and Segregation Requirements for Broker-Dealers
2019-08-21SEC Staff Guidance on Current SCI Industry Standards
2019-08-20SEC Division of Corporation Finance no-action letter: First Trust Exchange-Traded Fund IV
2019-08-15SEC Division of Investment Management staff letter: Redwood Trust, Inc.
2019-08-14SEC Division of Corporation Finance no-action letter: Clear Channel Outdoor Holdings, Inc.
2019-08-14Amendments to Rules for Nationally Recognized Statistical Rating Organizations
2019-08-13FAST Act Modernization and Simplification of Regulation S-K; Correction
2019-08-12SEC Division of Investment Management staff letter: Lehman Brothers Holdings Inc.
2019-08-09SEC Division of Corporation Finance no-action letter: Banco Santander, S.A.
2019-08-09Regulation Best Interest: The Broker-Dealer Standard of Conduct Correction
2019-08-08SEC Division of Investment Management staff letter: Symetra Life Insurance Company and First Symetra National Life Insurance Company of New York
2019-08-06Revisions to Prohibitions and Restrictions on Proprietary Trading and Certain Interests in, and Relationships With, Hedge Funds and Private Equity Funds
2019-08-06SEC Division of Investment Management staff letter: XAI Octagon Floating Rate & Alternative Income Term Trust
2019-08-06SEC Division of Investment Management staff letter: Cushing MLP & Infrastructure Total Return Fund and Cushing Renaissance Fund
2019-08-02SEC Division of Trading and Markets no-action letter: Banco Santander, S.A.
2019-08-02SEC Division of Corporation Finance no-action letter: Adani Ports and Special Economic Zone Limited
2019-07-26Customer Margin Rules Relating to Security Futures
2019-07-25SEC Division of Corporation Finance no-action letter: Pocketful of Quarters, Inc.
2019-07-22Revisions to Prohibitions and Restrictions on Proprietary Trading and Certain Interests In, and Relationships With, Hedge Funds and Private Equity Funds
2019-07-12Commission Interpretation Regarding Standard of Conduct for Investment Advisers
2019-07-12Commission Interpretation Regarding the Solely Incidental Prong of the Broker-Dealer Exclusion From the Definition of Investment Adviser
2019-07-12Regulation Best Interest: The Broker-Dealer Standard of Conduct
2019-07-12Form CRS Relationship Summary; Amendments to Form ADV
2019-07-11List of Rules To Be Reviewed Pursuant to the Regulatory Flexibility Act
2019-07-09SEC Division of Investment Management staff letter: The BNY Mellon Family of Funds, et al.
2019-07-05Auditor Independence With Respect to Certain Loans or Debtor-Creditor Relationships
2019-07-01Adoption of Updated EDGAR Filer Manual
2019-06-27SEC Division of Corporation Finance no-action letter: KPIT Technologies, Limited
2019-06-27SEC Investment Management FAQ: Auditor Independence
2019-06-26Concept Release on Harmonization of Securities Offering Exemptions
2019-06-24SEC Division of Investment Management staff letter: Stradley Ronon Stevens & Young, LLP
2019-06-24Securities and Exchange Commission Regulatory Flexibility Agenda
2019-06-21SEC Division of Investment Management staff letter: Golub Capital Investment Corporation, et al.
2019-06-14Amendment to Single Issuer Exemption for Broker-Dealers
2019-06-13SEC Division of Corporation Finance no-action letter: BRP Inc.
2019-06-13SEC Division of Corporation Finance no-action letter: Hulst B.V.
2019-06-03SEC Division of Trading and Markets no-action letter: Letter from LSE Derivatives
2019-05-30SEC Division of Corporation Finance no-action letter: MiMedx Group, Inc.
2019-05-29SEC Division of Corporation Finance no-action letter: Deer Park Road Management Company, LP
2019-05-29Amendments to the Accelerated Filer and Large Accelerated Filer Definitions
2019-05-28Amendments to Financial Disclosures About Acquired and Disposed Businesses
2019-05-24Proposed Rule Amendments and Guidance Addressing Cross-Border Application of Certain Security-Based Swap Requirements
2019-05-23SEC Division of Corporation Finance no-action letter: FQF Trust
2019-05-22SEC Division of Corporation Finance no-action letter: Precidian ETF Trust II
2019-04-30Disclosure of Order Handling Information
2019-04-26SEC Division of Investment Management staff letter: Nuveen S&P 500 Dynamic Overwrite Fund, et al.
2019-04-12SEC Division of Investment Management staff letter: Community Capital Management, Inc., et al.
2019-04-10SEC Division of Corporation Finance no-action letter: NZX Limited
2019-04-10SEC Investment Management FAQ: Investment Company Liquidity Risk Management Programs
2019-04-10Securities Offering Reform for Closed-End Investment Companies
2019-04-08FAST Act Modernization and Simplification of Regulation S-K Correction
2019-04-08SEC Division of Investment Management staff letter: Voya Prime Rate Trust
2019-04-04SEC Division of Corporation Finance no-action letter: Salix Pharmaceuticals, Ltd.
2019-04-04SEC Division of Corporation Finance no-action letter: Valeant Pharmaceuticals International, Inc.
2019-04-03Public Company Accounting Oversight Board Hearing Officers
2019-04-02FAST Act Modernization and Simplification of Regulation S-K
2019-04-02SEC Division of Corporation Finance no-action letter: The Money Management Institute
2019-04-02SEC Division of Corporation Finance no-action letter: TurnKey Jet, Inc.
2019-04-01Adoption of Updated EDGAR Filer Manual
2019-04-01SEC Division of Corporation Finance no-action letter: Bank of America, N.A., Merrill Lynch, Pierce, Fenner & Smith Incorporated
2019-03-28Exemption Under Rule 608(e) of Regulation NMS from Certain Provisions of the Tick Size Pilot Program
2019-03-25SEC Division of Corporation Finance no-action letter: Contingent Convertible Capital Securities
2019-03-21SEC Division of Trading and Markets no-action letter: BancWest Investment Services, Inc.
2019-03-21SEC Division of Investment Management staff letter: Wells Fargo Securities, LLC, et al.
2019-03-20SEC Division of Corporation Finance no-action letter: Wells Fargo Securities, LLC
2019-03-15SEC Division of Investment Management staff letter: Lincoln Benefit Life Company
2019-03-11SEC Order Granting Waivers of Disqualification Provisions for SCSD Respondents and Issuers
2019-03-11SEC Order Granting Waivers of Disqualification Provisions for Investment Advisers and Issuers in Share Class Selection Disclosure Initiative
2019-03-07SEC Division of Investment Management staff letter: MONY Life Insurance Company of America