Securities and Exchange Commission January 2007 – Federal Register Recent Federal Regulation Documents

Submission for OMB Review; Comment Request
Document Number: E7-1520
Type: Notice
Date: 2007-01-31
Agency: Securities and Exchange Commission, Agencies and Commissions
Submission for OMB Review; Comment Request
Document Number: E7-1507
Type: Notice
Date: 2007-01-31
Agency: Securities and Exchange Commission, Agencies and Commissions
Unregulated Contaminant Monitoring Regulation (UCMR) for Public Water Systems Revisions
Document Number: Z6-22123
Type: Unknown
Date: 2007-01-30
Agency: Securities and Exchange Commission, Agencies and Commissions, Environmental Protection Agency
Integrity Life Insurance Company, et al.
Document Number: E7-1408
Type: Notice
Date: 2007-01-30
Agency: Securities and Exchange Commission, Agencies and Commissions
Applicants seek an order approving the proposed substitution of shares of DWS Equity 500 Index VIP Fund: Class A with Fidelity VIP Index 500: Initial Class; DWS Equity 500 Index VIP Fund: Class B with Fidelity VIP Index 500: Service Class 2; JPMorgan Bond Portfolio with Fidelity VIP Investment Grade Bond: Initial Class; JPMorgan International Equity Portfolio with Fidelity VIP Overseas: Initial Class; MFS VIT Capital Opportunities Series: Service Class with Franklin VIP Growth and Income Securities Fund: Class 2; MFS VIT Emerging Growth Series: Service Class with Touchstone VST Eagle Capital Appreciation Fund; MFS VIT Investors Growth Stock Series: Service Class with Touchstone VST Eagle Capital Appreciation Fund; MFS VIT Mid Cap Growth Series: Service Class with Touchstone VST Mid Cap Growth Fund; MFS VIT New Discovery Series: Service Class with Fidelity VIP Disciplined Small Cap: Service Class 2; MFS VIT Total Return Series: Service Class with Franklin VIP Growth and Income Securities Fund: Class 2; Putnam VT Discovery Growth: Class IB with Fidelity VIP Mid Cap: Service Class 2; Putnam VT George Putnam Fund of Boston: Class IB with Fidelity VIP Balanced: Service Class 2; Putnam VT Growth and Income Fund: Class IB with Franklin VIP Growth and Income Securities Fund: Class 2; Putnam VT International Equity Fund: Class IB with Fidelity VIP Overseas: Service Class 2; Putnam VT Small Cap Value Fund: Class IB with Touchstone VST Third Avenue Value Fund; Putnam VT Voyager Fund: Class IB with Fidelity VIP Growth: Service Class 2.
Regulation NMS
Document Number: E7-1384
Type: Rule
Date: 2007-01-30
Agency: Securities and Exchange Commission, Agencies and Commissions
The Commission is extending for a limited period of time three of the future compliance dates for Rule 610 and Rule 611 of Regulation NMS (``Rule 610'' and ``Rule 611,'' respectively) under the Securities Exchange Act of 1934 (``Exchange Act''). Rule 610 requires fair and non-discriminatory access to quotations, establishes a limit on access fees, and requires each national securities exchange and national securities association to adopt, maintain, and enforce written rules that prohibit their members from engaging in a pattern or practice of displaying quotations that lock or cross protected quotations. Rule 611 requires trading centers to establish, maintain, and enforce written policies and procedures reasonably designed to prevent the execution of trades at prices inferior to protected quotations displayed by other trading centers, subject to an applicable exception. The Commission is extending the three compliance dates to give automated trading centers additional time to complete the rollout of their new or modified trading systems.
Universal Internet Availability of Proxy Materials
Document Number: E7-1184
Type: Proposed Rule
Date: 2007-01-29
Agency: Securities and Exchange Commission, Agencies and Commissions
We are proposing amendments to the proxy rules under the Securities Exchange Act of 1934 that would require issuers and other soliciting persons to furnish proxy materials to shareholders by posting them on an Internet Web site and providing shareholders with notice of the availability of the proxy materials. In a separate release, we concurrently are adopting rules that allow issuers and other soliciting persons to voluntarily furnish proxy materials to shareholders in this manner. The proposed amendments are intended to provide all shareholders with the ability to choose the means by which they receive proxy materials, to expand use of the Internet to ultimately lower the costs of proxy solicitations, and to improve shareholder communications.
Internet Availability of Proxy Materials
Document Number: 07-327
Type: Rule
Date: 2007-01-29
Agency: Securities and Exchange Commission, Agencies and Commissions
We are adopting amendments to the proxy rules under the Securities Exchange Act of 1934 that provide an alternative method for issuers and other persons to furnish proxy materials to shareholders by posting them on an Internet Web site and providing shareholders with notice of the availability of the proxy materials. Issuers must make copies of the proxy materials available to shareholders on request, at no charge to shareholders. The amendments put into place processes that will provide shareholders with notice of, and access to, proxy materials while taking advantage of technological developments and the growth of the Internet and electronic communications. Issuers that rely on the amendments may be able to significantly lower the costs of their proxy solicitations that ultimately are borne by shareholders. The amendments also might reduce the costs of engaging in a proxy contest for soliciting persons other than the issuer. The amendments do not apply to business combination transactions. The amendments also do not affect the availability of any existing method of furnishing proxy materials.
American Capital Strategies, Ltd.; Notice of Application
Document Number: E7-1228
Type: Notice
Date: 2007-01-26
Agency: Securities and Exchange Commission, Agencies and Commissions
Sunshine Act Meetings
Document Number: 07-372
Type: Notice
Date: 2007-01-26
Agency: Securities and Exchange Commission, Agencies and Commissions
Hercules Technology Growth Capital, Inc.; Notice of Application
Document Number: E7-1061
Type: Notice
Date: 2007-01-25
Agency: Securities and Exchange Commission, Agencies and Commissions
MFS Series Trust X, et al.; Notice of Application
Document Number: E7-905
Type: Notice
Date: 2007-01-23
Agency: Securities and Exchange Commission, Agencies and Commissions