Securities and Exchange Commission 2007 – Federal Register Recent Federal Regulation Documents
Results 801 - 850 of 1,834
Delaware VIP Trust et al., Notice of Application
Applicants request an order exempting them from the provisions of sections 9(a), 13(a), 15(a) and 15(b) of the Act and Rules 6e- 2(b)(15) and 6e-3(T)(b)(15) thereunder, to the extent necessary to permit shares of the Fund and shares of any other investment company or portfolio that is designed to fund insurance products and for which DMC or any of its affiliates, may serve in the future as investment adviser, manager, principal underwriter, sponsor, or administrator (``Future Funds'') (the Fund, together with Future Funds, the ``Funds'') to be sold to and held by: (a) Separate accounts funding variable annuity contracts and variable life insurance policies (collectively ``Variable Contracts'') issued by both affiliated life insurance companies and unaffiliated life insurance companies; (b) trustees of qualified group pension and group retirement plans outside of the separate account context (``Qualified Plans''); (c) separate accounts that are not registered as investment companies under the 1940 Act pursuant to exemptions from registration under section 3(c) of the 1940 Act; (d) DMC or its affiliates who serve or may serve as an investment manager, investment adviser, principal underwriter, sponsor or administrator of a Fund (collectively, ``DMC Entities'') for the purpose of providing initial capital to a Fund; and (e) any other account of a Participating Insurance Company permitted to hold shares of the Funds (``General Account'').
Smaller Reporting Company Regulatory Relief and Simplification
The Securities and Exchange Commission is proposing rule amendments relating to our disclosure and reporting requirements for smaller companies under the Securities Act of 1933 and the Securities Exchange Act of 1934. We propose to extend the benefits of our current optional disclosure and reporting requirements for smaller companies to a much larger group of companies. The proposals would allow companies with a public float of less than $75 million to qualify for the smaller company requirements, up from $25 million for most companies today. The proposals also would combine for most purposes the ``small business issuer'' and ``non-accelerated filer'' categories of smaller companies into a single category of ``smaller reporting companies.'' In addition, the proposals would maintain the current disclosure requirements for smaller companies contained in Regulation S-B, but integrate them into Regulation S-K. We also are soliciting suggestions for additional ways in which we could better scale our disclosure and reporting requirements to the needs of smaller reporting companies and their investors.
Extension of Interactive Data Voluntary Reporting Program on the Edgar System To Include Mutual Fund Risk/Return Summary Information
We are adopting rule amendments to extend the current interactive data voluntary reporting program to enable mutual funds voluntarily to submit supplemental tagged information contained in the risk/return summary section of their prospectuses. A mutual fund choosing to tag its risk/return summary information also would continue to file this information in HTML or ASCII format, as currently required. This extension of the voluntary program is intended to help us evaluate the usefulness to investors, third-party analysts, registrants, the Commission, and the marketplace of data tagging and, in particular, of tagging mutual fund information.
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