Securities and Exchange Commission September 2010 – Federal Register Recent Federal Regulation Documents
Results 101 - 150 of 172
Joint Public Roundtable To Discuss Data for Swaps and Security-Based Swaps, Swap Data Repositories, Security-Based Swap Data Repositories, and Real-Time Public Reporting
On September 14, 2010, commencing at 8:45 a.m. and ending at 5:30 p.m., staff of the Agencies will hold a public roundtable discussion at which invited participants will discuss data for swaps and security-based swaps, swap data repositories, security-based swap data repositories, and real-time public reporting in the context of certain authority that Sections 727, 728, and 763 of the Dodd-Frank Wall Street Reform and Consumer Protection Act (the ``Act'') granted to the Agencies respectively. 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/Canada Toll-Free: (866) 312-4390. International Toll: (404) 537-3379. Conference ID: 98801653. A transcript of the public roundtable discussion will be published on the following CFTC pages: Swap Data Repositories Registration Standards and Core Principle Rulemaking, Interpretation & Guidance; Data Recordkeeping & Reporting Requirements; and Real Time Reporting, available at https://www.cftc.gov/LawRegulation/ OTCderivatives/otc_rules.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 20581.
Joint Public Roundtable on Swap Execution Facilities and Security-Based Swap Execution Facilities
On September 15, 2010, commencing at 9 a.m. and ending at 12:30 p.m., staff of the Agencies will hold a public roundtable discussion at which invited participants will discuss swap execution facilities and security-based swap execution facilities in the context of certain authority that Sections 733 and 763 of the Dodd-Frank Wall Street Reform and Consumer Protection Act (the ``Act'') granted to the Agencies respectively. 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/Canada Toll-Free: 877-732-6422 Conference ID: 7772 A transcript of the public roundtable discussion will be published on the SEC's mandatory exchange trading and swap execution facilities rulemaking page at https://www.sec.gov/spotlight/ regreformcomments.shtml. The transcript also will be available by a link on the CFTC's SEF Registration Requirements and Core Principle Rulemaking, Interpretation & Guidance Web page at https://www.cftc.gov/ LawRegulation/OTCDerivatives/otc_rules.html. The roundtable discussion will take place in the Auditorium (Room L-002) at the SEC Headquarters located at 100 F Street, NE., Washington, DC.
State of the Municipal Securities Market Field Hearings
On May 7, 2010, the Chairman of the Securities and Exchange Commission Mary L. Schapiro, announced that Commissioner Elisse B. Walter would lead an effort to gather facts, opinions and analyses about the municipal securities market by holding a series of field hearings across the country. A broad array of municipal market participants representing diverse viewpoints will be invited to participate in the field hearings by sharing their perspectives on important topics relating to the municipal securities market.
Tudor Employee Investment Fund LLC and Tudor Investment Corporation; Notice of Application
Summary of Application: Applicants request an order to exempt certain limited liability companies and other investment vehicles formed for the benefit of eligible employees of Tudor Investment Corporation (``Tudor'') and its affiliates from certain provisions of the Act. Each limited liability company and other investment vehicle will be an ``employees' securities company'' within the meaning of section 2(a)(13) of the Act. Applicants: Tudor Employee Investment Fund LLC (``Investment Fund'') and Tudor.
List of Rules To Be Reviewed Pursuant to the Regulatory Flexibility Act
The Securities and Exchange Commission is today publishing a list of rules to be reviewed pursuant to Section 610 of the Regulatory Flexibility Act. The list is published to provide the public with notice that these rules are scheduled for review by the agency and to invite public comment on them.
Temporary Registration of Municipal Advisors
The Commission is adopting an interim final temporary rule that establishes a means for municipal advisors, as defined in the Dodd-Frank Wall Street Reform and Consumer Protection Act \1\ (``Dodd- Frank Act''), to satisfy temporarily the requirement that they register with the Commission by October 1, 2010.
Delegation of Authority to the Director of Its Division of Enforcement
The Commission is amending its rules to delegate authority to the Director of the Division of Enforcement, in connection with the collection of delinquent debts arising from actions to enforce the federal securities laws, to terminate collection activity or discharge debts, to accept or reject offers to compromise debts, and to accept or reject offers to enter into payment plans. This action is intended to facilitate the Commission's debt resolution process.
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