Agencies and Commissions September 28, 2007 – Federal Register Recent Federal Regulation Documents
Results 1 - 40 of 40
Interpretive Rule Under the Advisers Act Affecting Broker-Dealers
The Securities and Exchange Commission is publishing for comment an interpretive rule that would address the application of the Investment Advisers Act of 1940 to certain activities of broker- dealers. The proposal would reinstate three interpretive provisions of a rule that was vacated by a recent court opinion. The first provision would clarify that a broker-dealer that exercises investment discretion with respect to an account or charges a separate fee, or separately contracts, for advisory services provides investment advice that is not ``solely incidental to'' its business as a broker-dealer. The second provision would clarify that a broker-dealer does not receive special compensation within the meaning of section 202(a)(11)(C) of the Advisers Act solely because it charges a commission for discount brokerage services that is less than it charges for full-service brokerage. The third provision would clarify that a registered broker- dealer is an investment adviser solely with respect to those accounts for which it provides services or receives compensation that subjects it to the Advisers Act.
NRC Size Standards; Revision Confirmation of Effective Date
The Nuclear Regulatory Commission (NRC) is confirming the effective date of October 24, 2007, for a direct final rule that was published in the Federal Register on August 10, 2007 (72 FR 44951). This direct final rule amended the NRC's regulations concerning the size standard it uses to qualify an NRC licensee as a small entity under the Regulatory Flexibility Act and has made the same change to its annual fee rule.
Procurement List Additions
This action adds to the Procurement List a product and services to be furnished by nonprofit agencies employing persons who are blind or have other severe disabilities.
Procurement List: Proposed Additions and Deletion
The Committee is proposing to add to the Procurement List a product and services to be furnished by nonprofit agencies employing persons who are blind or have other severe disabilities, and to delete a service previously furnished by such agencies. Comments Must Be Received On or Before: October 28, 2007.
Improving Public Safety Communications in the 800 MHz Band
By this Public Notice, the Federal Communications Commission (Commission) announces supplemental procedures and provides guidance for completion of 800 MHz rebanding by National Public Safety Planning Advisory Committee (NPSPAC) licensees. As part of the rebanding process, NPSPAC licensees are being relocated to new frequencies in the 800 MHz band, with all rebanding costs to be paid by Sprint Corporation (Sprint). The Commission's orders provide for the rebanding process to be completed by June 26, 2008.
Temporary Rule Regarding Principal Trades With Certain Advisory Clients
The Commission is adopting a temporary rule under the Investment Advisers Act of 1940 that establishes an alternative means for investment advisers who are registered with the Commission as broker-dealers to meet the requirements of section 206(3) of the Advisers Act when they act in a principal capacity in transactions with certain of their advisory clients. The Commission is adopting the temporary rule on an interim final basis as part of its response to a recent court decision invalidating a rule under the Advisers Act, which provided that fee-based brokerage accounts were not advisory accounts and were thus not subject to the Advisers Act. As a result of the Court's decision, which takes effect on October 1, fee-based brokerage customers must decide whether they will convert their accounts to fee- based accounts that are subject to the Advisers Act or to commission- based brokerage accounts. We are adopting the temporary rule to enable investors to make an informed choice between those accounts and to continue to have access to certain securities held in the principal accounts of certain advisory firms while remaining protected from certain conflicts of interest. The temporary rule will expire and no longer be effective on December 31, 2009.
Raw Flexible Magnets From China and Taiwan
The Commission hereby gives notice of the institution of investigations and commencement of preliminary phase countervailing duty and antidumping duty investigations Nos. 701-TA-452 and 731-TA- 1129-1130 (Preliminary) under section 703(a) of the Tariff Act of 1930 (19 U.S.C. 1671b(a)) (the Act) and section 733(a) (19 U.S.C. 1673b(a)) to determine whether there is a reasonable indication that an industry in the United States is materially injured or threatened with material injury, or the establishment of an industry in the United States is materially retarded, by reason of imports from China and Taiwan of raw flexible magnets, provided for in subheadings 8505.19.10 and 8505.19.20 of the Harmonized Tariff Schedule of the United States, that are alleged to be subsidized by the Government of China,\1\ and that are alleged to be sold in the United States at less than fair value. Unless the Department of Commerce extends the time for initiation pursuant to section 702(c)(1)(B) of the Act (19 U.S.C. 1671a(c)(1)(B)) or 732(c)(1)(B) of the Act (19 U.S.C. 1673a(c)(1)(B)), the Commission must reach preliminary determinations in countervailing duty and antidumping investigations in 45 days, or in these cases by November 5, 2007. The Commission's views are due at Commerce within five business days thereafter, or by November 13, 2007.
Glycine From India, Japan, and Korea
The Commission hereby gives notice of the scheduling of the final phase of antidumping investigation Nos. 731-TA-1111-1113 (Final) under section 735(b) of the Act (19 U.S.C. 1673d(b)) to determine whether an industry in the United States is materially injured or threatened with material injury, or the establishment of an industry in the United States is materially retarded, by reason of less-than-fair- value imports from India, Japan, and Korea of glycine, provided for in statistical reporting number 2922.49.4020 of the Harmonized Tariff Schedule of the United States.\1\
In the Matter of Certain Sucralose, Sweeteners Containing Sucralose, and Related Intermediate Compounds Thereof; Notice of Commission Determination To Review and Vacate an Initial Determination Denying a Motion To Terminate the Investigation With Regard to Three Patents
Notice is hereby given that the U.S. International Trade Commission has determined to review and vacate an initial determination (``ID'') (Order No. 11) of the presiding administrative law judge (``ALJ'') in the above-captioned investigation denying a motion to terminate the investigation as to United States Patent Nos. 4,980,463, 5,470,969, and 5,034,551.
Milliman, Inc.; Analysis of Proposed Consent Order to Aid Public Comment
The consent agreement in this matter settles alleged violations of federal law prohibiting unfair or deceptive acts or practices or unfair methods of competition. The attached Analysis to Aid Public Comment describes both the allegations in the draft complaint and the terms of the consent orderembodied in the consent agreementthat would settle these allegations.
Ingenix, Inc.; Analysis of Proposed Consent Order to Aid Public Comment
The consent agreement in this matter settles alleged violations of federal law prohibiting unfair or deceptive acts or practices or unfair methods of competition. The attached Analysis to Aid Public Comment describes both the allegations in the draft complaint and the terms of the consent orderembodied in the consent agreementthat would settle these allegations.
New Move Update Standards for First-Class Mail and Standard Mail
The Postal ServiceTM is extending its effort to improve the percentage of deliverable mail by revising Move Update standards in the Mailing Standards of the United States Postal Service, Domestic Mail Manual (DMM). The Move Update standards provide ways for mailers to reduce the number of mailpieces that require forwarding or return by the periodic matching of a mailer's address records with customer-filed change-of-address orders. Our final rule includes the following changes related to Move Update processing: increase the minimum frequency of Move Update processing from 185 days to 95 days prior to the date of mailing and extend the revised Move Update requirement to include all Standard Mail.
Unfair or Deceptive Acts or Practices
The Board is publishing amendments to Regulation AA (Unfair or Deceptive Acts or Practices) to update the address where consumer complaints regarding a state member bank may be sent.
Equal Credit Opportunity
The Board is publishing amendments to Regulation B (Equal Credit Opportunity Act) to update the address where questions should be directed concerning creditors for which the Federal Reserve System administers compliance with the regulation.
In the Matter of Certain Voltage Regulators, Components Thereof and Products Containing Same; Notice of Commission Final Determination of Violation of Section 337; Termination of Investigation; Issuance of Limited Exclusion Order
Notice is hereby given that the U.S. International Trade Commission has determined that there is a violation of 19 U.S.C. 1337 by Advanced Analogic Technologies, Inc. (``AATI'') of Sunnyvale, California in the above-captioned investigation, and has issued a limited exclusion order directed against products of respondent AATI. The investigation is terminated.
Proposed Guidance on Garnishment of Exempt Federal Benefit Funds
The Agencies are proposing guidance entitled Garnishment of Exempt Federal Benefit Funds. This proposed guidance has been developed to encourage financial institutions to have policies and procedures in place with respect to handling garnishment orders and sets forth best practices, including procedures designed to expedite notice to the consumer of the garnishment process and release of funds to the consumer as quickly as possible.
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