Securities and Exchange Commission 2009 – Federal Register Recent Federal Regulation Documents

Results 151 - 200 of 1,827
Proposed Collection; Comment Request
Document Number: E9-28690
Type: Notice
Date: 2009-12-01
Agency: Securities and Exchange Commission, Agencies and Commissions
Proposed Collection; Comment Request
Document Number: E9-28689
Type: Notice
Date: 2009-12-01
Agency: Securities and Exchange Commission, Agencies and Commissions
Proposed Collection; Comment Request
Document Number: E9-28688
Type: Notice
Date: 2009-12-01
Agency: Securities and Exchange Commission, Agencies and Commissions
Proposed Collection; Comment Request
Document Number: E9-28687
Type: Notice
Date: 2009-12-01
Agency: Securities and Exchange Commission, Agencies and Commissions
Proposed Collection; Comment Request
Document Number: E9-28686
Type: Notice
Date: 2009-12-01
Agency: Securities and Exchange Commission, Agencies and Commissions
Proposed Collection; Comment Request
Document Number: E9-28685
Type: Notice
Date: 2009-12-01
Agency: Securities and Exchange Commission, Agencies and Commissions
Proposed Collection; Comment Request
Document Number: E9-28684
Type: Notice
Date: 2009-12-01
Agency: Securities and Exchange Commission, Agencies and Commissions
Proposed Collection; Comment Request
Document Number: E9-28683
Type: Notice
Date: 2009-12-01
Agency: Securities and Exchange Commission, Agencies and Commissions
Proposed Collection; Comment Request
Document Number: E9-28682
Type: Notice
Date: 2009-12-01
Agency: Securities and Exchange Commission, Agencies and Commissions
Final Model Privacy Form Under the Gramm-Leach-Bliley Act
Document Number: E9-27882
Type: Rule
Date: 2009-12-01
Agency: Federal Deposit Insurance Corporation, Agencies and Commissions, Federal Reserve System, Federal Trade Commission, National Credit Union Administration, Securities and Exchange Commission, Office of the Comptroller of the Currency, Department of Treasury, Department of the Treasury, Office of Thrift Supervision, Commodity Futures Trading Commission
The OCC, Board, FDIC, OTS, NCUA, FTC, CFTC, and SEC (the ``Agencies'') are publishing final amendments to their rules that implement the privacy provisions of Subtitle A of Title V of the Gramm- Leach-Bliley Act (``GLB Act''). These rules require financial institutions to provide initial and annual privacy notices to their customers. Pursuant to Section 728 of the Financial Services Regulatory Relief Act of 2006 (``Regulatory Relief Act'' or ``Act''), the Agencies are adopting a model privacy form that financial institutions may rely on as a safe harbor to provide disclosures under the privacy rules. In addition, the Agencies other than the SEC are eliminating the safe harbor permitted for notices based on the Sample Clauses currently contained in the privacy rules if the notice is provided after December 31, 2010. Similarly, the SEC is eliminating the guidance associated with the use of notices based on the Sample Clauses in its privacy rule if the notice is provided after December 31, 2010.
Members Mutual Funds, et al.; Notice of Application
Document Number: E9-28560
Type: Notice
Date: 2009-11-30
Agency: Securities and Exchange Commission, Agencies and Commissions
Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 1940
Document Number: E9-28353
Type: Notice
Date: 2009-11-27
Agency: Securities and Exchange Commission, Agencies and Commissions
Applicant seeks an order declaring that it has ceased to be an investment company. On April 17, 2009, applicant transferred its assets to Jennison Mid-Cap Growth Fund, Inc., based on net asset value. Expenses of $112,056 incurred in connection with the reorganization were paid by applicant and Jennison Associates LLC, the acquiring fund's subadviser.
Pioneer Floating Rate Trust and Pioneer High Income Trust; Notice of Application
Document Number: E9-28352
Type: Notice
Date: 2009-11-27
Agency: Securities and Exchange Commission, Agencies and Commissions
Proposed Collection; Comment Request
Document Number: E9-28228
Type: Notice
Date: 2009-11-25
Agency: Securities and Exchange Commission, Agencies and Commissions
Proposed Collection; Comment Request
Document Number: E9-28227
Type: Notice
Date: 2009-11-25
Agency: Securities and Exchange Commission, Agencies and Commissions
Proposed Collection; Comment Request
Document Number: E9-28226
Type: Notice
Date: 2009-11-25
Agency: Securities and Exchange Commission, Agencies and Commissions
Proposed Collection; Comment Request
Document Number: E9-28225
Type: Notice
Date: 2009-11-25
Agency: Securities and Exchange Commission, Agencies and Commissions