Securities and Exchange Commission October 20, 2010 – Federal Register Recent Federal Regulation Documents

Joint Public Roundtable on Issues Related to the Clearing of Credit Default Swaps
Document Number: 2010-26430
Type: Notice
Date: 2010-10-20
Agency: Securities and Exchange Commission, Agencies and Commissions, Commodity Futures Trading Commission
On October 22, 2010, commencing at 9 a.m. and ending at 12 p.m., staff of the Agencies will hold a public roundtable discussion at which invited participants will discuss certain issues related to the clearing of Credit Default Swaps in the context of the Agencies rulemaking efforts pursuant to the Dodd-Frank Wall Street Reform and Consumer Protection Act (the ``Act''). The discussion will be open to the public with seating on a first-come, first-served basis. Members of the public may also listen by telephone. Call-in participants should be prepared to provide their first name, last name, and affiliation. The information for the conference call is set forth below. US Toll-Free: (866) 844-9416. International Toll: 1-203-369-5026. Passcode: 8693978. A transcript of the public roundtable discussion will be published on the CFTC's Web site at https://www.cftc.gov/LawRegulation/ DoddFrankAct/OTC_7_DCORules.html. The roundtable discussion will take place in Lobby Level Hearing Room (Room 1000) at the CFTC's headquarters at Three Lafayette Centre, 1155 21st Street, NW., Washington, DC.
Self-Regulatory Organizations; Order Approving Minor Rule Violation Plan for BATS Y-Exchange, Inc.
Document Number: 2010-26359
Type: Notice
Date: 2010-10-20
Agency: Securities and Exchange Commission, Agencies and Commissions
Study Required by Section 989G(b) of the Dodd-Frank Act Regarding Compliance With Section 404(b) of the Sarbanes-Oxley Act
Document Number: 2010-26349
Type: Notice
Date: 2010-10-20
Agency: Securities and Exchange Commission, Agencies and Commissions
The Securities and Exchange Commission is requesting public comment related to a study of how the Commission could reduce the burden of complying with Section 404(b) of the Sarbanes-Oxley Act of 2002 for companies whose public float is between $75 million and $250 million, while maintaining investor protections for such companies, and whether any methods of reducing the compliance burden or a complete exemption for such companies from the auditor attestation requirement in Section 404(b) would encourage companies to list on exchanges in the United States in their initial public offerings. This study is required by the Dodd-Frank Wall Street Reform and Consumer Protection Act.
Facilitating Shareholder Director Nominations
Document Number: 2010-26348
Type: Rule
Date: 2010-10-20
Agency: Securities and Exchange Commission, Agencies and Commissions
By order dated October 4, 2010 (Release No. 33-9149, 34- 63031), the Securities and Exchange Commission (``Commission'') stayed from November 15, 2010 until the resolution of the petition for review in Business Roundtable, et al. v. SEC, No. 10-1305 (D.C. Cir., filed Sept. 29, 2010) (``Business Roundtable''), the effective and compliance dates of amendments to the federal proxy and related rules that the Commission adopted to facilitate the effective exercise of shareholders' traditional state law rights to nominate and elect directors to company boards of directors. We are publishing this release in the Federal Register to provide additional notice regarding the change in effective and compliance dates of the amendments.
Indexed Annuities
Document Number: 2010-26347
Type: Rule
Date: 2010-10-20
Agency: Securities and Exchange Commission, Agencies and Commissions
We are withdrawing rule 151A under the Securities Act of 1933, which defines the terms ``annuity contract'' and ``optional annuity contract'' under the Act. On July 12, 2010, the United States Court of Appeals for the District of Columbia Circuit issued an order vacating the rule.
Proposed Collection; Comment Request
Document Number: 2010-26344
Type: Notice
Date: 2010-10-20
Agency: Securities and Exchange Commission, Agencies and Commissions
Submission for OMB Review; Comment Request
Document Number: 2010-26343
Type: Notice
Date: 2010-10-20
Agency: Securities and Exchange Commission, Agencies and Commissions
Submission for OMB Review; Comment Request
Document Number: 2010-26342
Type: Notice
Date: 2010-10-20
Agency: Securities and Exchange Commission, Agencies and Commissions
Reporting of Security-Based Swap Transaction Data
Document Number: 2010-26217
Type: Rule
Date: 2010-10-20
Agency: Securities and Exchange Commission, Agencies and Commissions
Section 766 of Title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act (``Dodd-Frank Act'') requires the Securities and Exchange Commission (``Commission'') to adopt an interim final rule for the reporting of security-based swaps entered into before July 21, 2010, the terms of which had not expired as of that date (``pre-enactment security-based swap transactions''), within 90 days of the enactment of the Dodd-Frank Act. Pursuant to this requirement, the Commission today is adopting an interim final temporary rule that requires specified counterparties to pre-enactment security-based swap transactions to report certain information relating to pre-enactment security-based swaps to a registered security-based swap data repository or to the Commission by the compliance date established in the security-based swap reporting rules required under Sections 3C(e) and 13A(a) of the Securities Exchange Act of 1934 (``Exchange Act''),\1\ or within 60 days after a registered security- based swap data repository commences operations to receive and maintain data concerning such security-based swaps, whichever occurs first and report information relating to pre-enactment security-based swaps to the Commission upon request. The Commission also is issuing an Interpretive Note to the rule that states that counterparties that may be required to report to the Commission will need to preserve information pertaining to the terms of these pre-enactment security- based swaps.
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