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

Proposed Collection; Comment Request
Document Number: E7-23210
Type: Notice
Date: 2007-11-30
Agency: Securities and Exchange Commission, Agencies and Commissions
Submission for OMB Review; Comment Request
Document Number: E7-23209
Type: Notice
Date: 2007-11-30
Agency: Securities and Exchange Commission, Agencies and Commissions
Submission for OMB Review; Comment Request
Document Number: E7-23208
Type: Notice
Date: 2007-11-30
Agency: Securities and Exchange Commission, Agencies and Commissions
John Hancock Life Insurance Company, et al.
Document Number: E7-23205
Type: Notice
Date: 2007-11-30
Agency: Securities and Exchange Commission, Agencies and Commissions
The Applicants hereby apply for an order of exemption pursuant to Section 17(b) of the 1940 Act to permit in-kind purchases in connection with a substitution as described herein. Filing Date: The application was filed on August 6, 2007 and amended and restated on November 19, 2007. Hearing or Notification of Hearing: An order granting the application will be issued unless the Commission orders a hearing. Interested persons may request a hearing by writing to the Secretary of the Commission and serving Applicants with a copy of the request personally or by mail. Hearing requests must be received by the Commission by 5:30 p.m. on December 20, 2007, 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 requester'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 Secretary of the Commission.
Enhanced Disclosure and New Prospectus Delivery Option for Registered Open-End Management Investment Companies
Document Number: 07-5852
Type: Proposed Rule
Date: 2007-11-30
Agency: Securities and Exchange Commission, Agencies and Commissions
The Securities and Exchange Commission is proposing amendments to the form used by mutual funds to register under the Investment Company Act of 1940 and to offer their securities under the Securities Act of 1933 in order to enhance the disclosures that are provided to mutual fund investors. The proposed amendments, if adopted, would require key information to appear in plain English in a standardized order at the front of the mutual fund statutory prospectus. The Commission is also proposing rule amendments that would permit a person to satisfy its mutual fund prospectus delivery obligations under Section 5(b)(2) of the Securities Act by sending or giving the key information directly to investors in the form of a summary prospectus and providing the statutory prospectus on an Internet Web site. Upon an investor's request, mutual funds would also be required to send the statutory prospectus to the investor. The proposals are intended to improve mutual fund disclosure by providing investors with key information in plain English in a clear and concise format, while enhancing the means of delivering more detailed information to investors.
Request for Review by OMB
Document Number: E7-23111
Type: Notice
Date: 2007-11-28
Agency: Securities and Exchange Commission, Agencies and Commissions
Proposed Collection; Comment Request
Document Number: E7-23004
Type: Notice
Date: 2007-11-27
Agency: Securities and Exchange Commission, Agencies and Commissions
Proposed Collection; Comment Request
Document Number: E7-23002
Type: Notice
Date: 2007-11-27
Agency: Securities and Exchange Commission, Agencies and Commissions
Submission for OMB Review; Comment Request
Document Number: E7-22981
Type: Notice
Date: 2007-11-27
Agency: Securities and Exchange Commission, Agencies and Commissions
Submission for OMB Review; Comment Request
Document Number: E7-22980
Type: Notice
Date: 2007-11-27
Agency: Securities and Exchange Commission, Agencies and Commissions
Submission for OMB Review; Comment Request
Document Number: E7-22978
Type: Notice
Date: 2007-11-27
Agency: Securities and Exchange Commission, Agencies and Commissions
Sunshine Act Meetings
Document Number: E7-22999
Type: Notice
Date: 2007-11-26
Agency: Securities and Exchange Commission, Agencies and Commissions
Proposed Collection, Comment Request
Document Number: E7-22927
Type: Notice
Date: 2007-11-26
Agency: Securities and Exchange Commission, Agencies and Commissions
MyShares Trust, et al.; Notice of Application
Document Number: E7-22846
Type: Notice
Date: 2007-11-23
Agency: Securities and Exchange Commission, Agencies and Commissions
Proposed Collection; Comment Request
Document Number: E7-22843
Type: Notice
Date: 2007-11-23
Agency: Securities and Exchange Commission, Agencies and Commissions
Concept Release on Mechanisms To Access Disclosures Relating to Business Activities in or With Countries Designated as State Sponsors of Terrorism
Document Number: E7-22789
Type: Proposed Rule
Date: 2007-11-23
Agency: Securities and Exchange Commission, Agencies and Commissions
The Securities and Exchange Commission is soliciting comment about whether to develop mechanisms to facilitate greater access to companies' disclosures concerning their business activities in or with countries designated as State Sponsors of Terrorism.