FR: Securities and Exchange Commission

SEC Rule 12h-1(f) Exemption Extension OMB Review

SEC Rule 12h-1(f) Exemption Extension OMB Review

OMB Review Extension for Rule 203A-2(d) Multi-State Investment Adviser Exemption

The SEC has submitted to the Office of Management and Budget a request for extension of the information collection under Rule 203A-2(d), which provides an exemption allowing investment advisers required to register in 15 or more states to register with the Commission. The notice estimates 122 respondents with an annual time burden of 8 hours per response, totaling 976 hours. Rule 203A-2(d) is codified at 17 CFR 275.203A-2(d) under the Investment Advisers Act of 1940.

SEC Extends Rule 22d-1 Sales Load Exemption PRA Comment Request

The SEC has submitted to OMB a request to extend the collection of information under Rule 22d-1 (OMB Control No. 3235-0310). Rule 22d-1 under the Investment Company Act of 1940 permits investment companies to offer scheduled variations or elimination of sales loads for particular classes of investors. The notice estimates approximately 6,740 funds issue redeemable securities carrying a sales load, with up to 50% potentially offering scheduled variations annually.

SEC Requests Comments on Customer Account Statements Extension

SEC Requests Comments on Customer Account Statements Extension

SEC Sunshine Act Meetings Notice - Closed Meeting April 16, 2026

The SEC published a Sunshine Act Meetings Notice announcing a closed meeting scheduled for 2:00 p.m. on Thursday, April 16, 2026. The meeting will be closed to the public under Sunshine Act Exemption 9, which covers matters relating to agency investigation proceedings. Contact person information is provided for additional details.

SEC Announces Public Roundtable Meeting April 16, 2026

The Securities and Exchange Commission announces a public roundtable meeting on Thursday, April 16, 2026, from 9:00 a.m. to 3:15 p.m. ET. The meeting is open to the public on a first-come, first-served basis with doors opening at 8 a.m. ET. Visitors will be subject to security checks, and the meeting will be webcast on the SEC's website at www.sec.gov with a recording posted later.

Extension of Rule 17f-5, OMB Review, Comment Request

The Securities and Exchange Commission published a notice in the Federal Register (91 FR 18933) announcing the extension of Rule 17f-5 under the Investment Company Act of 1940, which governs the custody of fund assets held outside the United States. The SEC is requesting comments on the renewal of the associated information collection requirement under OMB Control No. 3235-0269.

SEC Form ADV-H Extension Requested for OMB Review

SEC Form ADV-H Extension Requested for OMB Review

Extension of Regulation 14C and Schedule 14C Information Collection Under OMB Control No. 3235-0057

The SEC published a notice seeking public comments on extending OMB Control No. 3235-0057 for Regulation 14C and Schedule 14C under the Paperwork Reduction Act. Regulation 14C (17 CFR 240.14c-1 through 14c-7) sets requirements for information statements that issuers who do not solicit proxies must provide to security holders. The SEC estimates 149.74 hours per response with 354 annual respondents, totaling 39,756 hours of annual reporting burden and $7,951,194 in external professional costs.

SEC Extends Rule 22e-4 OMB Review for Liquidity Risk Management Programs

The SEC has submitted to the Office of Management and Budget a request for extension of the previously approved collection of information under Rule 22e-4 (OMB Control No. 3235-0737). Rule 22e-4 requires open-end funds and in-kind ETFs to establish written liquidity risk management programs including policies for liquidity classification, highly liquid investment minimums, 15% illiquid investment limits, and redemptions in kind.