Securities and Exchange Commission April 24, 2007 – Federal Register Recent Federal Regulation Documents

Technical Amendments to Form BD and Form BDW
Document Number: E7-7746
Type: Rule
Date: 2007-04-24
Agency: Securities and Exchange Commission, Agencies and Commissions
The Securities and Exchange Commission (``Commission'' or ``SEC'') is making technical amendments to Form BD and Form BDW, the uniform broker-dealer registration form and the uniform request for withdrawal from broker-dealer registration, respectively. The technical amendments will update the current list of self-regulatory organizations (``SROs'') and government jurisdictions listed on Form BD and Form BDW, and make conforming changes to the definition ``jurisdiction'' in the forms.
Covered Securities Pursuant to Section 18 of the Securities Act of 1933
Document Number: E7-7713
Type: Rule
Date: 2007-04-24
Agency: Securities and Exchange Commission, Agencies and Commissions
The Securities and Exchange Commission (``SEC'' or ``Commission'') is adopting an amendment to a rule under Section 18 of the Securities Act of 1933 (``Securities Act'') to designate securities listed, or authorized for listing, on the Nasdaq Capital Market tier of The NASDAQ Stock Market LLC (``Nasdaq'') as covered securities for purposes of Section 18 of the Securities Act. Covered securities under Section 18 of the Securities Act are exempt from State law registration requirements. The Commission also is making a correction to the rule text to conform it to the language of Section 18 of the Securities Act.
Submission of OMB Review; Comment Request
Document Number: E7-7710
Type: Notice
Date: 2007-04-24
Agency: Securities and Exchange Commission, Agencies and Commissions