Securities and Exchange Commission 2010 – Federal Register Recent Federal Regulation Documents
Results 201 - 250 of 2,032
Regulation SBSR-Reporting and Dissemination of Security-Based Swap Information
In accordance with Section 763 (``Section 763'') and Section 766 (``Section 766'') of Title VII (``Title VII'') of the Dodd-Frank Wall Street Reform and Consumer Protection Act (the ``Dodd-Frank Act''), the Securities and Exchange Commission (``SEC'' or ``Commission'') is proposing Regulation SBSRReporting and Dissemination of Security-Based Swap Information (``Regulation SBSR'') under the Securities Exchange Act of 1934 (``Exchange Act'').\1\ Proposed Regulation SBSR would provide for the reporting of security- based swap information to registered security-based swap data repositories or the Commission and the public dissemination of security-based swap transaction, volume, and pricing information. Registered security-based swap data repositories would be required to establish and maintain certain policies and procedures regarding how transaction data are reported and disseminated, and participants of registered security-based swap data repositories that are security- based swap dealers or major security-based swap participants would be required to establish and maintain policies and procedures that are reasonably designed to ensure that they comply with applicable reporting obligations. Finally, proposed Regulation SBSR also would require a registered SDR to register with the Commission as a securities information processor on existing Form SIP.
Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 1940
Applicant, a closed-end investment company, seeks an order declaring that it has ceased to be an investment company. On October 19, 2009, applicant transferred its assets to Nuveen Insured Municipal Opportunity Fund, Inc., based on net asset value. Shareholders of applicant's municipal auction rate cumulative preferred shares (``preferred shares'') received one share of the acquiring fund's preferred shares for each preferred share of applicant. Expenses of approximately $364,782 incurred in connection with the reorganization were paid by applicant and the acquiring fund. Filing Dates: The application was filed on November 4, 2009, and amended on November 12, 2010. Applicant's Address: 333 West Wacker Dr., Chicago, IL 60606.
Extension of Temporary Exemptions for Eligible Credit Default Swaps To Facilitate Operation of Central Counterparties To Clear and Settle Credit Default Swaps
We are extending the expiration dates in our temporary rules that provide exemptions under the Securities Act of 1933, the Securities Exchange Act of 1934, and the Trust Indenture Act of 1939 for certain credit default swaps in order to continue facilitating the operation of one or more central counterparties for those credit default swaps until the implementation of the clearing provisions of the Dodd-Frank Wall Street Reform and Consumer Protection Act. Under the amendments, the expiration dates of the temporary rules are extended to July 16, 2011.
This site is protected by reCAPTCHA and the Google
Privacy Policy and
Terms of Service apply.
