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

Results 151 - 160 of 160
Proposed Collection; Comment Request
Document Number: E6-22539
Type: Notice
Date: 2007-01-04
Agency: Securities and Exchange Commission, Agencies and Commissions
Prohibition of Fraud by Advisers to Certain Pooled Investment Vehicles; Accredited Investors in Certain Private Investment Vehicles
Document Number: E6-22531
Type: Proposed Rule
Date: 2007-01-04
Agency: Securities and Exchange Commission, Agencies and Commissions
The Commission is today proposing new rules designed to provide additional investor protections that would affect pooled investment vehicles, including hedge funds. First, the Commission is proposing a rule that would prohibit advisers to pooled investment vehicles from making false or misleading statements or otherwise defrauding investors or prospective investors in those pooled investment vehicles. Second, the Commission is proposing two rules that would revise the definition of accredited investor as it relates to natural persons. The latter rules would apply solely to the offer and sale of interests in certain privately offered investment pools specified in the rules.
ProShares Trust, et al.; Notice of Application
Document Number: E6-22447
Type: Notice
Date: 2007-01-03
Agency: Securities and Exchange Commission, Agencies and Commissions
Ziegler Exchange Traded Trust, et al.; Notice of Application
Document Number: E6-22444
Type: Notice
Date: 2007-01-03
Agency: Securities and Exchange Commission, Agencies and Commissions
Sunshine Act Meeting
Document Number: 06-9968
Type: Notice
Date: 2007-01-03
Agency: Securities and Exchange Commission, Agencies and Commissions