Securities and Exchange Commission 2005 – Federal Register Recent Federal Regulation Documents
Results 701 - 750 of 1,775
Ownership Reports and Trading by Officers, Directors and Principal Security Holders
We are adopting amendments to two rules that exempt certain transactions from the private right of action to recover short-swing profit provided by Section 16(b) of the Securities Exchange Act of 1934. The amendments are intended to clarify the exemptive scope of these rules, consistent with statements in previous Commission releases. We also are amending Item 405 of Regulations S-K and S-B to harmonize this item with the two-business day Form 4 due date and mandated electronic filing and Web site posting of Section 16 reports.
Amendments to the Penny Stock Rules
In Release No. 34-51983, the Securities and Exchange Commission issued amendments concerning the ``penny stock rules'' under the Securities Exchange Act of 1934, which appeared in the Federal Register of July 13, 2005 (70 FR 40614). In Release No. 34-51808, the Commission issued Regulation NMS, which appeared in the Federal Register of June 29, 2005 (70 FR 37496), and which, among other things, made technical amendments to the definition of penny stock. Since the effective date of Regulation NMS predates that of the amendments to the penny stock rules, the Commission is making technical corrections to the amendments to the penny stock rules to conform to the changes made in connection with Regulation NMS.
ING USA Annuity & Life Insurance Company, et al.
The Applicants have submitted an application (the ``Application'') for an order of the Securities and Exchange Commission (the ``Commission''), pursuant to Section 26(c), formerly Section (b), of the 1940 Act, permitting the substitutions of securities issued by certain registered investment companies held by the Accounts to support certain in force variable life insurance policies and variable annuity contracts (collectively, the ``Contracts'') issued by the Companies. More particularly, the Applicants propose to substitute shares of certain series of ING Investors Trust, ING Partners, Inc. and ING Variable Products Trust (the ``Substitute Funds'') for shares of certain registered investment companies currently held by subaccounts of the various Accounts (the ``Replaced Funds'') as follows:
Regulation NMS
The Commission is extending the compliance date for the rule under the Securities Exchange Act of 1934 included as part of Regulation NMS that governs sub-penny quoting.
Advisory Committee on Smaller Public Companies
The SEC Advisory Committee on Smaller Public Companies is soliciting public input on issues related to the current securities regulatory system for smaller companies, including the impact of the Sarbanes-Oxley Act of 2002 on the system. The Advisory Committee is doing this by publishing a series of questions and asking interested parties to respond to the questions.
Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 1940
Each applicant, a closed-end investment company, seeks an order declaring that it has ceased to be an investment company. Applicants have never made a public offering of their securities and do not propose to make public offerings or engage in business of any kind. Filing Dates: The applications were filed on May 11, 2005, and amended on July 20, 2005. Applicants' Address: 100 Bellevue Parkway, Wilmington, DE 19809.
Securities Offering Reform
The Securities and Exchange Commission is adopting rules that will modify and advance significantly the registration, communications, and offering processes under the Securities Act of 1933. Today's rules will eliminate unnecessary and outmoded restrictions on offerings. In addition, the rules will provide more timely investment information to investors without mandating delays in the offering process that we believe would be inconsistent with the needs of issuers for timely access to capital. The rules also will continue our long-term efforts toward integrating disclosure and processes under the Securities Act and the Securities Exchange Act of 1934. The rules will further these goals by addressing communications related to registered securities offerings, delivery of information to investors, and procedural aspects of the offering and capital formation processes.
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