Securities and Exchange Commission October 2006 – Federal Register Recent Federal Regulation Documents

Definition of Eligible Portfolio Company Under the Investment Company Act of 1940
Document Number: E6-18257
Type: Proposed Rule
Date: 2006-10-31
Agency: Securities and Exchange Commission, Agencies and Commissions
The Commission is reproposing for comment an additional definition of the term ``eligible portfolio company'' under the Investment Company Act of 1940 (``Investment Company Act'' or ``Act''). The reproposed rule is intended to more closely align the definition of eligible portfolio company, and the investment activities of business development companies (``BDCs''), with the purpose that Congress intended. The reproposed rule would expand the definition of eligible portfolio company to include certain companies that list their securities on a national securities exchange (``Exchange'').
Tactical Allocation Services, LLC, et al.;
Document Number: E6-18256
Type: Notice
Date: 2006-10-31
Agency: Securities and Exchange Commission, Agencies and Commissions
Definition of Eligible Portfolio Company Under the Investment Company Act of 1940
Document Number: E6-18255
Type: Rule
Date: 2006-10-31
Agency: Securities and Exchange Commission, Agencies and Commissions
The Commission is adopting two new rules under the Investment Company Act of 1940 (``Investment Company Act'' or ``Act''). The new rules more closely align the definition of eligible portfolio company, and the investment activities of business development companies (``BDCs''), with the purpose that Congress intended. The rules expand the definition of eligible portfolio company in a manner that promotes the flow of capital to certain small, developing and financially troubled companies.
Privacy Act of 1974: Establishment of a New System of Records: Photographic Files (SEC-54)
Document Number: E6-18234
Type: Notice
Date: 2006-10-31
Agency: Securities and Exchange Commission, Agencies and Commissions
In accordance with the requirements of the Privacy Act of 1974, as amended, 5 U.S.C. 552a, the Securities and Exchange Commission gives notice of a proposed Privacy Act system of records: ``Photographic Files (SEC-54).'' This system of records will contain a collection of photographic materials, in print and electronic format, related to Commission staff and events.
AXA Equitable Life Insurance Company, et al.; Notice of Application
Document Number: E6-18143
Type: Notice
Date: 2006-10-30
Agency: Securities and Exchange Commission, Agencies and Commissions
Submissions for OMB Review; Comment Request
Document Number: E6-18141
Type: Notice
Date: 2006-10-30
Agency: Securities and Exchange Commission, Agencies and Commissions
Integrated ARROs Fund I, et al.; Notice of Application
Document Number: E6-18088
Type: Notice
Date: 2006-10-30
Agency: Securities and Exchange Commission, Agencies and Commissions
Investment Technology Group, Inc.; Notice of Application
Document Number: E6-17997
Type: Notice
Date: 2006-10-27
Agency: Securities and Exchange Commission, Agencies and Commissions
Applicant requests an exemption from section 9(a) of the Act with respect to a securities-related injunction entered in 1987. Applicant: Investment Technology Group, Inc. (``ITG''). Filing Dates: The application was filed on May 24, 2005 and amended on June 23, 2006. Hearing or Notification of Hearing: Interested persons may request a hearing by writing to the Commission's Secretary and serving applicants with a copy of the request, personally or by mail. Hearing requests should be received by the Commission by 5:30 p.m. on November 17, 2006 and should be accompanied by proof of service on applicants in the form of an affidavit or, for lawyers, a certificate of service. Hearing requests should state the nature of the writer's interest, the reason for the request, and the issues contested. Persons who wish to be notified of a hearing may request notification by writing to the Commission's Secretary. An order granting the application will be issued unless the Commission orders a hearing.
Sunshine Act Meeting
Document Number: 06-8963
Type: Notice
Date: 2006-10-27
Agency: Securities and Exchange Commission, Agencies and Commissions
Proposed Collection; Comment Request
Document Number: E6-17929
Type: Notice
Date: 2006-10-26
Agency: Securities and Exchange Commission, Agencies and Commissions
Notice of Intention To Cancel Registrations of Certain Transfer Agents
Document Number: E6-17928
Type: Notice
Date: 2006-10-26
Agency: Securities and Exchange Commission, Agencies and Commissions
Submission for OMB Review; Comment Request
Document Number: E6-17927
Type: Notice
Date: 2006-10-26
Agency: Securities and Exchange Commission, Agencies and Commissions
In the Matter of Conversion Solutions Holdings Corp.; Order of Suspension of Trading
Document Number: 06-8939
Type: Notice
Date: 2006-10-26
Agency: Securities and Exchange Commission, Agencies and Commissions
Pioneer America Income Trust, et al., Notice of Application
Document Number: E6-17619
Type: Notice
Date: 2006-10-23
Agency: Securities and Exchange Commission, Agencies and Commissions
Proposed Collection; Comment Request
Document Number: E6-17618
Type: Notice
Date: 2006-10-23
Agency: Securities and Exchange Commission, Agencies and Commissions
Notice of Availability of the Fort Bliss, Texas and New Mexico, Mission Master Plan Supplemental Programmatic Environmental Impact Statement
Document Number: C6-8667
Type: Notice
Date: 2006-10-23
Agency: Department of Defense, Securities and Exchange Commission, Agencies and Commissions, Department of the Army, Army Department
Sunshine Act Meeting
Document Number: 06-8861
Type: Notice
Date: 2006-10-23
Agency: Securities and Exchange Commission, Agencies and Commissions
Evaluation of the Carcinogenicity of Ethylene Oxide
Document Number: Z6-16921
Type: Notice
Date: 2006-10-20
Agency: Fiscal Service, Public Debt Bureau, Department of Treasury, Department of the Interior, Securities and Exchange Commission, Agencies and Commissions, Department of the Treasury, Mineral Management Service, Environmental Protection Agency