Securities and Exchange Commission October 2010 – Federal Register Recent Federal Regulation Documents
Results 1 - 50 of 170
Nationwide Life Insurance Company, et al.,
Summary of Application: Applicants seek an order approving the proposed substitutions (the ``Substitutions'') of certain series of Nationwide Variable Insurance Trust (the ``Trust'' or ``NVIT'') for shares of series of other unaffiliated registered investment companies held by the Separate Accounts under certain variable annuity contracts and/or variable life insurance policies issued by the Insurance Companies (collectively, the ``Contracts''). Section 17(b) Applicants also seek an order pursuant to Section 17(b) of the Act to permit certain in-kind transactions in connection with the Substitutions.
Study on Extraterritorial Private Rights of Action
Section 929Y of the Dodd-Frank Wall Street Reform and Consumer Protection Act (the ``Dodd-Frank Act'') directs the Securities and Exchange Commission (the ``Commission'') to solicit public comment and thereafter conduct a study to determine the extent to which private rights of action under the antifraud provisions of the Securities Exchange Act of 1934 (the ``Exchange Act'') should be extended to cover transnational securities fraud. The Commission is soliciting comment on this question and on related questions.
Joint CFTC-SEC Advisory Committee on Emerging Regulatory Issues
The Joint CFTC-SEC Advisory Committee on Emerging Regulatory Issues will hold a public meeting on November 5, 2010, from 9 a.m. to 12 p.m., at the CFTC's Washington, DC headquarters. At the meeting, the committee will: (1) Receive a summary and recap from the staffs of the SEC and CFTC on the report issued September 30, 2010; (2) Hear a report from the subcommittee on cross-market linkages; (3) Hear a report from the subcommittee on pre-trade risk management; and (4) Discuss potential recommendations and responses.
Reporting of Proxy Votes on Executive Compensation and Other Matters
The Securities and Exchange Commission is proposing rule and form amendments under the Securities Exchange Act of 1934 and the Investment Company Act of 1940 that, if adopted, would require an institutional investment manager that is subject to Section 13(f) of the Securities Exchange Act to report annually how it voted proxies relating to executive compensation matters as required by Section 14A of the Securities Exchange Act, which was added by the Dodd-Frank Wall Street Reform and Consumer Protection Act.
Shareholder Approval of Executive Compensation and Golden Parachute Compensation
We are proposing amendments to our rules to implement the provisions of the Dodd-Frank Wall Street Reform and Consumer Protection Act relating to shareholder approval of executive compensation and ``golden parachute'' compensation arrangements. Section 951 of the Dodd-Frank Act amends the Securities Exchange Act of 1934 by adding Section 14A, which requires companies to conduct a separate shareholder advisory vote to approve the compensation of executives, as disclosed pursuant to Item 402 of Regulation S-K or any successor to Item 402. Section 14A also requires companies to conduct a separate shareholder advisory vote to determine how often an issuer will conduct a shareholder advisory vote on executive compensation. In addition, Section 14A requires companies soliciting votes to approve merger or acquisition transactions to provide disclosure of certain ``golden parachute'' compensation arrangements and, in certain circumstances, to conduct a separate shareholder advisory vote to approve the golden parachute compensation arrangements.
Ownership Limitations and Governance Requirements for Security-Based Swap Clearing Agencies, Security-Based Swap Execution Facilities, and National Securities Exchanges With Respect to Security-Based Swaps Under Regulation MC
In accordance with Section 765 (``Section 765'') of Title VII (``Title VII'') of the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010 (``Dodd-Frank Act''), the Securities and Exchange Commission (``SEC'' or ``Commission'') is proposing Regulation MC under the Securities Exchange Act of 1934 (``Exchange Act'') for clearing agencies that clear security-based swaps (``security-based swap clearing agencies'') and for security-based swap execution facilities (``SB SEFs'') and national securities exchanges that post or make available for trading security-based swaps (``SBS exchanges''). Regulation MC is designed to mitigate potential conflicts of interest that could exist at these entities. Specifically, the Commission seeks to mitigate the potential conflicts of interest through conditions and structures relating to ownership, voting, and governance of security- based swap clearing agencies, SB SEFs, and SBS exchanges.
Citigroup Global Markets Inc., et al.; Notice of Application and Temporary Order
Summary of Application: Applicants have received a temporary order exempting them from section 9(a) of the Act, with respect to an injunction entered against Citigroup Inc. (``Citigroup'') on October 19, 2010 by the United States District Court for the District of Columbia (the ``Injunction''), until the Commission takes final action on an application for a permanent order. Applicants also have applied for a permanent order. Applicants: Citigroup Global Markets Inc. (``CGMI''), CEFOF GP I Corp. (``CEFOF''), CELFOF GP Corp. (``CELFOF''), Citibank, N.A. (``Citibank''), Citigroup Alternative Investments LLC (``Citigroup Alternative''), Consulting Group Advisory Services LLC (``Advisory Services''), Citigroup Capital Partners I GP I Corp. (``CCP I''), and Citigroup Capital Partners I GP II Corp. (``CCP II'') (collectively, ``Applicants'').\1\
Disclosure for Asset-Backed Securities Required by Section 943 of the Dodd-Frank Wall Street Reform and Consumer Protection Act
The Securities and Exchange Commission published a document in the Federal Register of October 13, 2010, concerning Disclosure for Asset-Backed Securities Required by Section 943 of the Dodd-Frank Wall Street Reform and Consumer Protection Act. The document contained an incorrect reference to Sec. 249.1300. This correction is being published to correct the reference.
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