Source: https://www.law.cornell.edu/cfr/text/17/chapter-IV/subchapter-B
Timestamp: 2017-06-25 02:08:25
Document Index: 544035137

Matched Legal Cases: ['ART 450', '§ 450', 'ARTS 451', 'art.2017', 'art 165', 'art 279', 'art 275', 'art 3', 'art 143']

17 CFR Chapter IV, Subchapter B - REGULATIONS UNDER TITLE II OF THE GOVERNMENT SECURITIES ACT OF 1986 | US Law | LII / Legal Information Institute
CFR › Title 17 › Chapter IV › Subchapter B 17 CFR Chapter IV, Subchapter B - REGULATIONS UNDER TITLE II OF THE GOVERNMENT SECURITIES ACT OF 1986
PART 450 - CUSTODIAL HOLDINGS OF GOVERNMENT SECURITIES BY DEPOSITORY INSTITUTIONS
(§§ 450.1 - 450.5)
PARTS 451-499 [RESERVED]
Title 17 published on 09-May-2017 03:50The following are ALL rules, proposed rules, and notices (chronologically) published in the Federal Register relating to Title 17 after this date.* Only displaying the most recent 50 entries for Title 17. Please, view a Part for the full list of changes within that Part.2017-05-30; vol. 82 # 102 - Tuesday, May 30, 201782 FR 24479 - Recordkeeping
typeregulations.gov FR Doc.2017-10801 RIN3038-AE50 COMMODITY FUTURES TRADING COMMISSION Final rule. This final rule is effective July 31, 2017. 17 CFR Part 165 SummaryThe Commodity Futures Trading Commission (“Commission”) is amending its regulations and forms to enhance the process for reviewing whistleblower claims and to make related changes to clarify staff authority to administer the whistleblower program. The Commission also is making appropriate rule amendments to implement its reinterpretation of the Commission&apos;s anti-retaliation authority.
2017-05-09; vol. 82 # 88 - Tuesday, May 9, 201782 FR 21472 - Technical Amendments to Form ADV and Form ADV-W
typeregulations.gov FR Doc.2017-09331 RIN Release No.IA-4698 SECURITIES AND EXCHANGE COMMISSION Final rule; technical amendments. Effective July 1, 2017. 17 CFR Part 279 SummaryThe Securities and Exchange Commission (the “Commission” or “SEC”) is making technical amendments to Form ADV under the Investment Advisers Act of 1940 (“Advisers Act”) to reflect the enactment of a Wyoming state law regulating investment advisers. Form ADV is the form advisers use to register with the Commission and the state securities regulatory authorities. The Commission is also making similar amendments to Form ADV-W, the form advisers use to withdraw from registration with the Commission or the states.
typeregulations.gov FR Doc.2017-09334 RIN3235-AM02 Release No.IA-4697 File No.S7-05-17 SECURITIES AND EXCHANGE COMMISSION Proposed rule. Comments on the proposed rule amendments should be received on or before June 8, 2017. 17 CFR Part 275 SummaryWe are proposing to amend the definition of a venture capital fund (rule 203( l )-1) and the private fund adviser exemption (rule 203(m)-1) under the Investment Advisers Act of 1940 (the “Advisers Act”) in order to reflect changes made by title LXXIV, sections 74001 and 74002 of the Fixing America&apos;s Surface Transportation Act of 2015 (the “FAST Act”), which amended sections 203( l ) and 203(m) of the Advisers Act. Title LXXIV, section 74001 of the FAST Act amended the exemption from investment adviser registration for any adviser solely to one or more “venture capital funds” in Advisers Act section 203( l ) by deeming “small business investment companies” to be “venture capital funds” for purposes of the exemption. Accordingly, we are proposing to amend the definition of a venture capital fund to include “small business investment companies.” Title LXXIV, section 74002 of the FAST Act amended the exemption from investment adviser registration for any adviser solely to “private funds” with less than $150 million in assets under management in Advisers Act section 203(m) by excluding the assets of “small business investment companies” when calculating “private fund assets” towards the registration threshold of $150 million. Accordingly, we are proposing to amend the definition of “assets under management” in the private fund adviser exemption to exclude the assets of “small business investment companies.”
2017-05-08; vol. 82 # 87 - Monday, May 8, 201782 FR 21330 - Chief Compliance Officer Duties and Annual Report Requirements for Futures Commission Merchants, Swap Dealers, and Major Swap Participants; Amendments
typeregulations.gov FR Doc.2017-09229 RIN3038-AE56 COMMODITY FUTURES TRADING COMMISSION Proposed rule. Comments must be received on or before July 7, 2017. 17 CFR Part 3 SummaryThe Commodity Futures Trading Commission (“Commission” or “CFTC”) is proposing to amend its regulations regarding certain duties of chief compliance officers (“CCOs”) of swap dealers (“SDs”), major swap participants (“MSPs”), and futures commission merchants (“FCMs”) (collectively, “Registrants”); and certain requirements for preparing and furnishing to the Commission an annual report containing an assessment of the Registrant&apos;s compliance activities.
2017-04-24; vol. 82 # 77 - Monday, April 24, 201782 FR 18877 - Request for Comment on Possible Changes to Industry Guide 3 (Statistical Disclosure by Bank Holding Companies); Extension of Comment Period
2017-03-31; vol. 82 # 61 - Friday, March 31, 201782 FR 15993 - Adoption of Updated EDGAR Filer Manual
2017-01-23; vol. 82 # 13 - Monday, January 23, 201782 FR 7643 - Annual Adjustment of Civil Monetary Penalties for Inflation—2017
typeregulations.gov FR Doc.2017-00488 RIN3038-AE51 COMMODITY FUTURES TRADING COMMISSION Interim final rule. Effective Date: This interim final rule is effective January 23, 2017. 17 CFR Part 143 SummaryThe Commodity Futures Trading Commission (Commission) is amending its rule that governs the maximum amount of civil monetary penalties, to adjust for inflation. This rule sets forth the maximum, inflation-adjusted dollar amount for civil monetary penalties (CMPs) assessable for violations of the Commodity Exchange Act (CEA) and Commission rules, regulations and orders thereunder. The rule, as amended, implements the Federal Civil Penalties Inflation Adjustment Act of 1990, as amended.