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

Results 401 - 450 of 1,747
Proposed Collections; Comment Request
Document Number: E6-16849
Type: Notice
Date: 2006-10-12
Agency: Securities and Exchange Commission, Agencies and Commissions
Proposed Collection; Comment Request
Document Number: E6-16646
Type: Notice
Date: 2006-10-10
Agency: Securities and Exchange Commission, Agencies and Commissions
Proposed Collection; Comment Request
Document Number: E6-16624
Type: Notice
Date: 2006-10-10
Agency: Securities and Exchange Commission, Agencies and Commissions
In the Matter of Pretory USA, Inc. (n/k/a Sunrise Petroleum Resources, Inc.); Order of Suspension of Trading
Document Number: 06-8597
Type: Notice
Date: 2006-10-10
Agency: Securities and Exchange Commission, Agencies and Commissions
Proposed Collection; Comment Request
Document Number: E6-16576
Type: Notice
Date: 2006-10-06
Agency: Securities and Exchange Commission, Agencies and Commissions
Proposed Collection; Comment Request
Document Number: E6-16549
Type: Notice
Date: 2006-10-06
Agency: Securities and Exchange Commission, Agencies and Commissions
Sunshine Act Meetings
Document Number: 06-8580
Type: Notice
Date: 2006-10-06
Agency: Securities and Exchange Commission, Agencies and Commissions
Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 1940
Document Number: E6-16461
Type: Notice
Date: 2006-10-05
Agency: Securities and Exchange Commission, Agencies and Commissions
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 a public offering or engage in business of any kind. Filing Dates: The applications were filed on July 20, 2006, and amended on September 21, 2006 and September 27, 2006. Applicants' Address: One Freedom Valley Dr., Oaks, PA 19456.
RiverSource Diversified Income Series, Inc., et al.; Notice of Application
Document Number: E6-16365
Type: Notice
Date: 2006-10-04
Agency: Securities and Exchange Commission, Agencies and Commissions
SEC Government-Business Forum on Small Business Capital Formation
Document Number: E6-16331
Type: Notice
Date: 2006-10-04
Agency: Securities and Exchange Commission, Agencies and Commissions
The Securities and Exchange Commission is providing for additional public input in connection with its annual Government- Business Forum on Small Business Capital Formation, to be held Friday, September 29, 2006, beginning at 9 a.m. EDT, at its Washington, DC headquarters. The morning sessions of the Forum will be Webcast on the Commission's Web site at www.sec.gov. The public is invited to submit written statements in connection with the Forum. This year's Forum program will include two roundtable discussions in the morning. The first roundtable will discuss the advantages to smaller public companies of filing interactive data with the SEC. The second roundtable will discuss current issues in capital raising techniques for small business, such as the status of the IPO (initial public offering) market and PIPE (private investment in public equity) offerings. The Commission expects that the Forum will develop recommendations for government and private action to facilitate small business capital formation. The afternoon sessions of the Forum, which will not be Webcast, will be devoted to breakout sessions to develop recommendations. More information about the Forum is available at www.sec.gov/info/ smallbus/sbforum.shtml.
Proposed Collection; Comment Request
Document Number: E6-16330
Type: Notice
Date: 2006-10-04
Agency: Securities and Exchange Commission, Agencies and Commissions
Mutual Fund Redemption Fees
Document Number: E6-16273
Type: Rule
Date: 2006-10-03
Agency: Securities and Exchange Commission, Agencies and Commissions
The Securities and Exchange Commission (``Commission'' or ``SEC'') is adopting amendments to a rule under the Investment Company Act. The rule, among other things, requires most open-end investment companies (``funds'') to enter into agreements with intermediaries, such as broker-dealers, that hold shares on behalf of other investors in so called ``omnibus accounts.'' These agreements must provide funds access to information about transactions in these accounts to enable the funds to enforce restrictions on market timing and similar abusive transactions. The Commission is amending the rule to clarify the operation of the rule and reduce the number of intermediaries with which funds must negotiate shareholder information agreements. The amendments are designed to reduce the costs to funds (and fund shareholders) while still achieving the goals of the rulemaking.
Sunshine Act Meeting
Document Number: 06-8473
Type: Notice
Date: 2006-10-03
Agency: Securities and Exchange Commission, Agencies and Commissions