Securities and Exchange Commission 2011 – Federal Register Recent Federal Regulation Documents
Results 51 - 100 of 2,021
Prohibition Against Conflicts of Interest in Certain Securitizations
The Securities and Exchange Commission is extending the comment period for a release proposing a new rule to implement Section 621 of the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010 (the ``Dodd-Frank Act'') on material conflicts of interest in connection with certain securitizations (the ``ABS Conflicts Proposal''). The original comment period for the ABS Conflicts Proposal is scheduled to end on December 19, 2011. The Commission is extending the time period in which to provide the Commission with comments on the ABS Conflicts Proposal until January 13, 2012. This action will allow interested persons additional time to analyze the issues and prepare their comments.
Wells Fargo Bank, N.A., 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 Wells Fargo Bank, N.A. (``Wells Fargo Bank'') on December 9, 2011 by the United States District Court for the District of New Jersey (``Injunction'') until the Commission takes final action on an application for a permanent order. Applicants also have applied for a permanent order. Applicants: Wells Fargo Bank, First International Advisors, LLC (``First International''), Metropolitan West Capital Management, LLC (``Metropolitan West''), Golden Capital Management, LLC (``Golden Capital''), Alternative Strategies Brokerage Services, Inc. (``Alternative Strategies Brokerage''), Alternative Strategies Group, Inc. (``Alternative Strategies''), Wells Fargo Funds Management, LLC (``WF Funds Management''), Wells Capital Management Incorporated (``Wells Capital Management''), Peregrine Capital Management, Inc. (``Peregrine''), Galliard Capital Management, Inc. (``Galliard''), Nelson Capital Management (``Nelson''), and Wells Fargo Funds Distributor, LLC (``WF Funds Distributor'') (each an ``Applicant'' and collectively, the ``Applicants'').\1\
Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing of Proposed Rule Change To Modify Its Co-Location Fee Schedule Regarding Low Latency Network Connections; Correction
The Securities and Exchange Commission published a document in the Federal Register of November 10, 2011 concerning a Proposed Rule Change by NASDAQ OMX PHLX LLC to Modify its Co-Location Fee Schedule Regarding Low Latency Network Connections; The document contained a typographical error in the heading.
Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing of Proposed Rule Change To Allow the Mortgage-Backed Securities Division To Provide Guaranteed Settlement and Central Counterparty Services; Correction
The Securities and Exchange Commission published a document in the Federal Register of December 12, 2011, concerning a Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing of Proposed Rule Change to Allow the Mortgage-Backed Securities Division to Provide Guaranteed Settlement and Central Counterparty Services. The document contained improper timing requirements. Because this filing was received by the Securities and Exchange Commission prior to amendments to Section 19(b) of the Securities Exchange Act (through the Dodd-Frank Wall Street Reform and Consumer Protection Act), the operative timing requirements for the Securities and Exchange Commission's action with respect to the filing are different from the amended timing requirements. However, the release was sent to the Federal Register reflecting the amended and consequently improper timing requirements.
Seasons Series Trust, et al.; Notice of Application
Summary of Application: Applicants request an order to permit open-end management investment companies relying on rule 12d1-2 under the Act to invest in certain financial instruments.
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