{"description":"Documents published on or after 09/15/2026 and from Securities and Exchange Commission","count":171,"total_pages":9,"next_page_url":"https://www.federalregister.gov/api/v1/documents?conditions%5Bagencies%5D%5B%5D=securities-and-exchange-commission&conditions%5Bpublication_date%5D%5Bgte%5D=2026-09-15&format=json&page=2&search_after_cursor=WzE3OTA4OTkyMDAwMDAsIjIwMjYtMjAyMzAiXQ","results":[{"title":"Sunshine Act Meetings","type":"Notice","abstract":null,"document_number":"2026-20396","html_url":"https://www.federalregister.gov/documents/2026/10/05/2026-20396/sunshine-act-meetings","pdf_url":"https://www.govinfo.gov/content/pkg/FR-2026-10-05/pdf/2026-20396.pdf","public_inspection_pdf_url":null,"publication_date":"2026-10-05","agencies":[{"raw_name":"SECURITIES AND EXCHANGE COMMISSION","name":"Securities and Exchange Commission","id":466,"url":"https://www.federalregister.gov/agencies/securities-and-exchange-commission","json_url":"https://www.federalregister.gov/api/v1/agencies/466","parent_id":null,"slug":"securities-and-exchange-commission"}],"excerpts":null},{"title":"Interval Fund Modernization; Expansion of Multiple Share Class to Registered Closed-End Management Investment Companies and Business Development Companies","type":"Proposed Rule","abstract":"The Securities and Exchange Commission (the \"Commission\") is proposing to amend the rule under the Investment Company Act of 1940 that allows registered closed-end management investment companies and business development companies (collectively, \"regulated closed-end funds\") to make repurchase offers to shareholders at net asset value (\"NAV\") at periodic intervals pursuant to a fundamental policy (\"interval funds\"). The proposed amendments would increase flexibility in the rule's repurchase offer framework and modify the rule's liquidity management requirements. The proposal is designed to modernize the framework applicable to these funds by allowing them to better match the liquidity profile of the assets in which they invest, while continuing to provide the operational infrastructure and investor protection of the Investment Company Act of 1940. We also propose amending certain rules that would permit regulated closed-end funds to issue multiple share classes, consistent with routine exemptive relief provided to these funds, and to require certain related disclosure in funds' prospectuses. We further propose to require disclosures in all regulated closed-end fund shareholder reports, a legend in their prospectuses, and an increase in the dollar amount used for the prospectus expense example, to provide investors with information about fund expenses similar to that provided by registered open-end funds. As a result of these amendments for interval funds and multiple share class regulated closed-end funds, we propose to rescind existing related exemptive orders.","document_number":"2026-20360","html_url":"https://www.federalregister.gov/documents/2026/10/05/2026-20360/interval-fund-modernization-expansion-of-multiple-share-class-to-registered-closed-end-management","pdf_url":"https://www.govinfo.gov/content/pkg/FR-2026-10-05/pdf/2026-20360.pdf","public_inspection_pdf_url":null,"publication_date":"2026-10-05","agencies":[{"raw_name":"SECURITIES AND EXCHANGE COMMISSION","name":"Securities and Exchange Commission","id":466,"url":"https://www.federalregister.gov/agencies/securities-and-exchange-commission","json_url":"https://www.federalregister.gov/api/v1/agencies/466","parent_id":null,"slug":"securities-and-exchange-commission"}],"excerpts":"The Securities and Exchange Commission (the \"Commission\") is proposing to amend the rule under the Investment Company Act of 1940 that allows registered closed-end management investment companies and business development companies (collectively,..."},{"title":"Potential Designation of Chartered Financial Analyst Designation as Qualifying Natural Persons for Accredited Investor Status","type":"Notice","abstract":"Notice is given that the Securities and Exchange Commission (the \"Commission\") is considering whether to issue an order designating holding a charter as a Chartered Financial Analyst (\"CFA\") in good standing as qualifying natural persons for accredited investor status.","document_number":"2026-20311","html_url":"https://www.federalregister.gov/documents/2026/10/05/2026-20311/potential-designation-of-chartered-financial-analyst-designation-as-qualifying-natural-persons-for","pdf_url":"https://www.govinfo.gov/content/pkg/FR-2026-10-05/pdf/2026-20311.pdf","public_inspection_pdf_url":null,"publication_date":"2026-10-05","agencies":[{"raw_name":"SECURITIES AND EXCHANGE COMMISSION","name":"Securities and Exchange Commission","id":466,"url":"https://www.federalregister.gov/agencies/securities-and-exchange-commission","json_url":"https://www.federalregister.gov/api/v1/agencies/466","parent_id":null,"slug":"securities-and-exchange-commission"}],"excerpts":"Notice is given that the Securities and Exchange Commission (the \"Commission\") is considering whether to issue an order designating holding a charter as a Chartered Financial Analyst (\"CFA\") in good standing as qualifying natural persons for accredited..."},{"title":"Potential Designation of Passage of an Accredited Investor Exam To Be Developed by FINRA as Qualifying Natural Persons for Accredited Investor Status","type":"Notice","abstract":"Notice is given that the Securities and Exchange Commission (the \"Commission\") is considering whether to issue an order designating passage of an accredited investor exam (the \"Exam\") to be developed by the Financial Industry Regulatory Authority, Inc. (\"FINRA\") as qualifying natural persons for accredited investor status.","document_number":"2026-20310","html_url":"https://www.federalregister.gov/documents/2026/10/05/2026-20310/potential-designation-of-passage-of-an-accredited-investor-exam-to-be-developed-by-finra-as","pdf_url":"https://www.govinfo.gov/content/pkg/FR-2026-10-05/pdf/2026-20310.pdf","public_inspection_pdf_url":null,"publication_date":"2026-10-05","agencies":[{"raw_name":"SECURITIES AND EXCHANGE COMMISSION","name":"Securities and Exchange Commission","id":466,"url":"https://www.federalregister.gov/agencies/securities-and-exchange-commission","json_url":"https://www.federalregister.gov/api/v1/agencies/466","parent_id":null,"slug":"securities-and-exchange-commission"}],"excerpts":"Notice is given that the Securities and Exchange Commission (the \"Commission\") is considering whether to issue an order designating passage of an accredited investor exam (the \"Exam\") to be developed by the Financial Industry Regulatory Authority, Inc...."},{"title":"Potential Designation of Certified Financial Planner Certification as Qualifying Natural Persons for Accredited Investor Status","type":"Notice","abstract":"Notice is given that the Securities and Exchange Commission (the \"Commission\") is considering whether to issue an order designating holding a certification as a Certified Financial Planner (a \"CFP\") in the United States in good standing as qualifying natural persons for accredited investor status.","document_number":"2026-20309","html_url":"https://www.federalregister.gov/documents/2026/10/05/2026-20309/potential-designation-of-certified-financial-planner-certification-as-qualifying-natural-persons-for","pdf_url":"https://www.govinfo.gov/content/pkg/FR-2026-10-05/pdf/2026-20309.pdf","public_inspection_pdf_url":null,"publication_date":"2026-10-05","agencies":[{"raw_name":"SECURITIES AND EXCHANGE COMMISSION","name":"Securities and Exchange Commission","id":466,"url":"https://www.federalregister.gov/agencies/securities-and-exchange-commission","json_url":"https://www.federalregister.gov/api/v1/agencies/466","parent_id":null,"slug":"securities-and-exchange-commission"}],"excerpts":"Notice is given that the Securities and Exchange Commission (the \"Commission\") is considering whether to issue an order designating holding a certification as a Certified Financial Planner (a \"CFP\") in the United States in good standing as qualifying..."},{"title":"Potential Designation of U.S. Certified Public Accountant License as Qualifying Natural Persons for Accredited Investor Status","type":"Notice","abstract":"Notice is given that the Securities and Exchange Commission (the \"Commission\") is considering whether to issue an order designating holding a license as a U.S. certified public accountant (a \"CPA\") in good standing as qualifying natural persons for accredited investor status.","document_number":"2026-20308","html_url":"https://www.federalregister.gov/documents/2026/10/05/2026-20308/potential-designation-of-us-certified-public-accountant-license-as-qualifying-natural-persons-for","pdf_url":"https://www.govinfo.gov/content/pkg/FR-2026-10-05/pdf/2026-20308.pdf","public_inspection_pdf_url":null,"publication_date":"2026-10-05","agencies":[{"raw_name":"SECURITIES AND EXCHANGE COMMISSION","name":"Securities and Exchange Commission","id":466,"url":"https://www.federalregister.gov/agencies/securities-and-exchange-commission","json_url":"https://www.federalregister.gov/api/v1/agencies/466","parent_id":null,"slug":"securities-and-exchange-commission"}],"excerpts":"Notice is given that the Securities and Exchange Commission (the \"Commission\") is considering whether to issue an order designating holding a license as a U.S. certified public accountant (a \"CPA\") in good standing as qualifying natural persons for..."},{"title":"Potential Designations of the Investment Banking Representative License (Series 79) and the Research Analyst License (Series 86 and Series 87) as Qualifying Natural Persons for Accredited Investor Status","type":"Notice","abstract":"Notice is given that the Securities and Exchange Commission (the \"Commission\") is considering whether to issue an order designating the Investment Banking Representative license (Series 79) and the Research Analyst license (Series 86 and Series 87) as each independently qualifying natural persons for accredited investor status.","document_number":"2026-20307","html_url":"https://www.federalregister.gov/documents/2026/10/05/2026-20307/potential-designations-of-the-investment-banking-representative-license-series-79-and-the-research","pdf_url":"https://www.govinfo.gov/content/pkg/FR-2026-10-05/pdf/2026-20307.pdf","public_inspection_pdf_url":null,"publication_date":"2026-10-05","agencies":[{"raw_name":"SECURITIES AND EXCHANGE COMMISSION","name":"Securities and Exchange 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Arrangements","type":"Notice","abstract":null,"document_number":"2026-20305","html_url":"https://www.federalregister.gov/documents/2026/10/05/2026-20305/self-regulatory-organizations-long-term-stock-exchange-inc-notice-of-filing-and-immediate","pdf_url":"https://www.govinfo.gov/content/pkg/FR-2026-10-05/pdf/2026-20305.pdf","public_inspection_pdf_url":null,"publication_date":"2026-10-05","agencies":[{"raw_name":"SECURITIES AND EXCHANGE COMMISSION","name":"Securities and Exchange Commission","id":466,"url":"https://www.federalregister.gov/agencies/securities-and-exchange-commission","json_url":"https://www.federalregister.gov/api/v1/agencies/466","parent_id":null,"slug":"securities-and-exchange-commission"}],"excerpts":null},{"title":"Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Make Conforming Changes To Reflect the Name Change of Nasdaq BX, Inc. to Nasdaq Texas, LLC","type":"Notice","abstract":null,"document_number":"2026-20304","html_url":"https://www.federalregister.gov/documents/2026/10/05/2026-20304/self-regulatory-organizations-nasdaq-phlx-llc-notice-of-filing-and-immediate-effectiveness-of","pdf_url":"https://www.govinfo.gov/content/pkg/FR-2026-10-05/pdf/2026-20304.pdf","public_inspection_pdf_url":null,"publication_date":"2026-10-05","agencies":[{"raw_name":"SECURITIES AND EXCHANGE COMMISSION","name":"Securities and Exchange Commission","id":466,"url":"https://www.federalregister.gov/agencies/securities-and-exchange-commission","json_url":"https://www.federalregister.gov/api/v1/agencies/466","parent_id":null,"slug":"securities-and-exchange-commission"}],"excerpts":null},{"title":"Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Make Conforming Changes To Reflect the Name Change of Nasdaq BX, Inc. to Nasdaq Texas, LLC","type":"Notice","abstract":null,"document_number":"2026-20303","html_url":"https://www.federalregister.gov/documents/2026/10/05/2026-20303/self-regulatory-organizations-the-nasdaq-stock-market-llc-notice-of-filing-and-immediate","pdf_url":"https://www.govinfo.gov/content/pkg/FR-2026-10-05/pdf/2026-20303.pdf","public_inspection_pdf_url":null,"publication_date":"2026-10-05","agencies":[{"raw_name":"SECURITIES AND EXCHANGE COMMISSION","name":"Securities and Exchange Commission","id":466,"url":"https://www.federalregister.gov/agencies/securities-and-exchange-commission","json_url":"https://www.federalregister.gov/api/v1/agencies/466","parent_id":null,"slug":"securities-and-exchange-commission"}],"excerpts":null},{"title":"Self-Regulatory Organizations: MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Risk Controls for Equity Members in Connection With the Upcoming Expansion by Other National Securities Exchanges and the Appliable Securities Information Processors of Their Hours to 23 Hours per Day, 5 Days per Week","type":"Notice","abstract":null,"document_number":"2026-20302","html_url":"https://www.federalregister.gov/documents/2026/10/05/2026-20302/self-regulatory-organizations-miax-pearl-llc-notice-of-filing-and-immediate-effectiveness-of-a","pdf_url":"https://www.govinfo.gov/content/pkg/FR-2026-10-05/pdf/2026-20302.pdf","public_inspection_pdf_url":null,"publication_date":"2026-10-05","agencies":[{"raw_name":"SECURITIES AND EXCHANGE COMMISSION","name":"Securities and Exchange Commission","id":466,"url":"https://www.federalregister.gov/agencies/securities-and-exchange-commission","json_url":"https://www.federalregister.gov/api/v1/agencies/466","parent_id":null,"slug":"securities-and-exchange-commission"}],"excerpts":null},{"title":"Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing of Proposed Rule Change To Modernize the Direct Registration System","type":"Notice","abstract":null,"document_number":"2026-20301","html_url":"https://www.federalregister.gov/documents/2026/10/05/2026-20301/self-regulatory-organizations-the-depository-trust-company-notice-of-filing-of-proposed-rule-change","pdf_url":"https://www.govinfo.gov/content/pkg/FR-2026-10-05/pdf/2026-20301.pdf","public_inspection_pdf_url":null,"publication_date":"2026-10-05","agencies":[{"raw_name":"SECURITIES AND EXCHANGE COMMISSION","name":"Securities and Exchange Commission","id":466,"url":"https://www.federalregister.gov/agencies/securities-and-exchange-commission","json_url":"https://www.federalregister.gov/api/v1/agencies/466","parent_id":null,"slug":"securities-and-exchange-commission"}],"excerpts":null},{"title":"Self-Regulatory Organizations; Nasdaq GEMX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Make Conforming Changes To Reflect the Name Change of Nasdaq BX, Inc. to Nasdaq Texas, LLC","type":"Notice","abstract":null,"document_number":"2026-20300","html_url":"https://www.federalregister.gov/documents/2026/10/05/2026-20300/self-regulatory-organizations-nasdaq-gemx-llc-notice-of-filing-and-immediate-effectiveness-of","pdf_url":"https://www.govinfo.gov/content/pkg/FR-2026-10-05/pdf/2026-20300.pdf","public_inspection_pdf_url":null,"publication_date":"2026-10-05","agencies":[{"raw_name":"SECURITIES AND EXCHANGE COMMISSION","name":"Securities and Exchange Commission","id":466,"url":"https://www.federalregister.gov/agencies/securities-and-exchange-commission","json_url":"https://www.federalregister.gov/api/v1/agencies/466","parent_id":null,"slug":"securities-and-exchange-commission"}],"excerpts":null},{"title":"Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Make Conforming Changes To Reflect the Name Change of Nasdaq BX, Inc. to Nasdaq Texas, LLC","type":"Notice","abstract":null,"document_number":"2026-20299","html_url":"https://www.federalregister.gov/documents/2026/10/05/2026-20299/self-regulatory-organizations-nasdaq-ise-llc-notice-of-filing-and-immediate-effectiveness-of","pdf_url":"https://www.govinfo.gov/content/pkg/FR-2026-10-05/pdf/2026-20299.pdf","public_inspection_pdf_url":null,"publication_date":"2026-10-05","agencies":[{"raw_name":"SECURITIES AND EXCHANGE COMMISSION","name":"Securities and Exchange Commission","id":466,"url":"https://www.federalregister.gov/agencies/securities-and-exchange-commission","json_url":"https://www.federalregister.gov/api/v1/agencies/466","parent_id":null,"slug":"securities-and-exchange-commission"}],"excerpts":null},{"title":"Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Make Conforming Changes To Reflect the Name Change of “Nasdaq BX, Inc.” to “Nasdaq Texas, LLC”","type":"Notice","abstract":null,"document_number":"2026-20298","html_url":"https://www.federalregister.gov/documents/2026/10/05/2026-20298/self-regulatory-organizations-nasdaq-mrx-llc-notice-of-filing-and-immediate-effectiveness-of","pdf_url":"https://www.govinfo.gov/content/pkg/FR-2026-10-05/pdf/2026-20298.pdf","public_inspection_pdf_url":null,"publication_date":"2026-10-05","agencies":[{"raw_name":"SECURITIES AND EXCHANGE COMMISSION","name":"Securities and Exchange Commission","id":466,"url":"https://www.federalregister.gov/agencies/securities-and-exchange-commission","json_url":"https://www.federalregister.gov/api/v1/agencies/466","parent_id":null,"slug":"securities-and-exchange-commission"}],"excerpts":null},{"title":"Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Exchange Rule Equity 2, Section 9 Regarding Clearing and Settlement in Connection With 23-5 Trading","type":"Notice","abstract":null,"document_number":"2026-20297","html_url":"https://www.federalregister.gov/documents/2026/10/05/2026-20297/self-regulatory-organizations-the-nasdaq-stock-market-llc-notice-of-filing-and-immediate","pdf_url":"https://www.govinfo.gov/content/pkg/FR-2026-10-05/pdf/2026-20297.pdf","public_inspection_pdf_url":null,"publication_date":"2026-10-05","agencies":[{"raw_name":"SECURITIES AND EXCHANGE COMMISSION","name":"Securities and Exchange Commission","id":466,"url":"https://www.federalregister.gov/agencies/securities-and-exchange-commission","json_url":"https://www.federalregister.gov/api/v1/agencies/466","parent_id":null,"slug":"securities-and-exchange-commission"}],"excerpts":null},{"title":"SLR Secured Lending Partners, LLC and SLR Secured Specialty Lending Fund","type":"Notice","abstract":null,"document_number":"2026-20289","html_url":"https://www.federalregister.gov/documents/2026/10/05/2026-20289/slr-secured-lending-partners-llc-and-slr-secured-specialty-lending-fund","pdf_url":"https://www.govinfo.gov/content/pkg/FR-2026-10-05/pdf/2026-20289.pdf","public_inspection_pdf_url":null,"publication_date":"2026-10-05","agencies":[{"raw_name":"SECURITIES AND EXCHANGE COMMISSION","name":"Securities and Exchange Commission","id":466,"url":"https://www.federalregister.gov/agencies/securities-and-exchange-commission","json_url":"https://www.federalregister.gov/api/v1/agencies/466","parent_id":null,"slug":"securities-and-exchange-commission"}],"excerpts":null},{"title":"Agency Information Collection Activities; Proposed Collection; Comment Request; Extension: Rule 498","type":"Notice","abstract":null,"document_number":"2026-20280","html_url":"https://www.federalregister.gov/documents/2026/10/02/2026-20280/agency-information-collection-activities-proposed-collection-comment-request-extension-rule-498","pdf_url":"https://www.govinfo.gov/content/pkg/FR-2026-10-02/pdf/2026-20280.pdf","public_inspection_pdf_url":"https://public-inspection.federalregister.gov/2026-20280.pdf?1790858724","publication_date":"2026-10-02","agencies":[{"raw_name":"SECURITIES AND EXCHANGE COMMISSION","name":"Securities and Exchange Commission","id":466,"url":"https://www.federalregister.gov/agencies/securities-and-exchange-commission","json_url":"https://www.federalregister.gov/api/v1/agencies/466","parent_id":null,"slug":"securities-and-exchange-commission"}],"excerpts":null},{"title":"Commission Quorum Requirement","type":"Rule","abstract":"The Securities and Exchange Commission (\"Commission\") is amending its rules concerning the circumstances under which a quorum of the Commission is present. The amendments are designed to promote flexibility and finality of agency rulemaking.","document_number":"2026-20262","html_url":"https://www.federalregister.gov/documents/2026/10/02/2026-20262/commission-quorum-requirement","pdf_url":"https://www.govinfo.gov/content/pkg/FR-2026-10-02/pdf/2026-20262.pdf","public_inspection_pdf_url":"https://public-inspection.federalregister.gov/2026-20262.pdf?1790858722","publication_date":"2026-10-02","agencies":[{"raw_name":"SECURITIES AND EXCHANGE COMMISSION","name":"Securities and Exchange Commission","id":466,"url":"https://www.federalregister.gov/agencies/securities-and-exchange-commission","json_url":"https://www.federalregister.gov/api/v1/agencies/466","parent_id":null,"slug":"securities-and-exchange-commission"}],"excerpts":"The Securities and Exchange Commission (\"Commission\") is amending its rules concerning the circumstances under which a quorum of the Commission is present. The amendments are designed to promote flexibility and finality of agency rulemaking."},{"title":"Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Clearing Agency Risk Management Framework","type":"Notice","abstract":null,"document_number":"2026-20230","html_url":"https://www.federalregister.gov/documents/2026/10/02/2026-20230/self-regulatory-organizations-the-depository-trust-company-notice-of-filing-and-immediate","pdf_url":"https://www.govinfo.gov/content/pkg/FR-2026-10-02/pdf/2026-20230.pdf","public_inspection_pdf_url":"https://public-inspection.federalregister.gov/2026-20230.pdf?1790858716","publication_date":"2026-10-02","agencies":[{"raw_name":"SECURITIES AND EXCHANGE COMMISSION","name":"Securities and Exchange Commission","id":466,"url":"https://www.federalregister.gov/agencies/securities-and-exchange-commission","json_url":"https://www.federalregister.gov/api/v1/agencies/466","parent_id":null,"slug":"securities-and-exchange-commission"}],"excerpts":null}]}