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

Results 401 - 450 of 1,834
Vanguard STAR Funds, et al.; Notice of Application
Document Number: E7-19639
Type: Notice
Date: 2007-10-04
Agency: Securities and Exchange Commission, Agencies and Commissions
Fidelity Rutland Square Trust, et al.
Document Number: E7-19631
Type: Notice
Date: 2007-10-04
Agency: Securities and Exchange Commission, Agencies and Commissions
Van Eck Associates Corporation, et al.; Notice of Application
Document Number: E7-19630
Type: Notice
Date: 2007-10-04
Agency: Securities and Exchange Commission, Agencies and Commissions
Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 1940
Document Number: E7-19579
Type: Notice
Date: 2007-10-04
Agency: Securities and Exchange Commission, Agencies and Commissions
Applicant seeks an order declaring that it has ceased to be an investment company. On July 24, 2007, applicant was liquidated, at which time applicant's liabilities exceeded its assets. Expenses of $6,775 incurred in connection with the liquidation were paid by applicant and Ameritor Financial Corporation, applicant's investment adviser. Filing Dates: The application was filed on July 24, 2007, and amended on September 14, 2007. Applicant's Address: 4400 MacArthur Blvd., NW., Suite 301, Washington, DC 20007.
Submission for OMB Review; Comment Request
Document Number: E7-19549
Type: Notice
Date: 2007-10-04
Agency: Securities and Exchange Commission, Agencies and Commissions
Submission for OMB Review; Comment Request
Document Number: E7-19548
Type: Notice
Date: 2007-10-04
Agency: Securities and Exchange Commission, Agencies and Commissions
Submission for OMB Review; Comment Request
Document Number: E7-19547
Type: Notice
Date: 2007-10-04
Agency: Securities and Exchange Commission, Agencies and Commissions
Submission for OMB Review; Comment Request
Document Number: E7-19546
Type: Notice
Date: 2007-10-04
Agency: Securities and Exchange Commission, Agencies and Commissions
American Capital Strategies, Ltd.; Notice of Application
Document Number: E7-19539
Type: Notice
Date: 2007-10-03
Agency: Securities and Exchange Commission, Agencies and Commissions
Rydex ETF Trust, et al.
Document Number: E7-19538
Type: Notice
Date: 2007-10-03
Agency: Securities and Exchange Commission, Agencies and Commissions
Exemptions for Banks Under Section 3(a)(5) of the Securities Exchange Act of 1934 and Related Rules
Document Number: E7-19093
Type: Rule
Date: 2007-10-03
Agency: Securities and Exchange Commission, Agencies and Commissions
The Securities and Exchange Commission (``Commission'') is adopting rules and rule amendments regarding exemptions from the definitions of ``broker'' and ``dealer'' under the Securities Exchange Act of 1934 (``Exchange Act'') for banks' securities activities. In particular, the Commission is adopting a conditional exemption that will allow banks to effect riskless principal transactions with non- U.S. persons pursuant to Regulation S under the Securities Act of 1933 (``Securities Act''). The Commission also is amending and redesignating an existing exemption from the definition of ``dealer'' for banks' securities lending activities as a conduit lender. In addition, the Commission is conforming a rule that grants a limited exemption from U.S. broker-dealer registration for foreign broker-dealers to the amended definitions of ``broker'' and ``dealer'' under the Exchange Act. Finally, the Commission is withdrawing three rules under the Exchange Act: A rule defining the term ``bank'' for purposes of the Exchange Act's definitions of ``broker'' and ``dealer,'' due to judicial invalidation; a time-limited exemption for banks' securities activities, due to the passage of time; and an exemption from the definitions of ``broker'' and ``dealer'' for savings associations and savings banks, as the exemption no longer necessary in light of subsequent legislation.
In the Matter of ConnectAJet.com, Inc.; Order of Suspension of Trading
Document Number: 07-4916
Type: Notice
Date: 2007-10-03
Agency: Securities and Exchange Commission, Agencies and Commissions
In the Matter of China Expert Technology, Inc.; Order of Suspension of Trading
Document Number: 07-4915
Type: Notice
Date: 2007-10-03
Agency: Securities and Exchange Commission, Agencies and Commissions
Definitions of Terms and Exemptions Relating to the “Broker” Exceptions for Banks
Document Number: 07-4769
Type: Rule
Date: 2007-10-03
Agency: Securities and Exchange Commission, Agencies and Commissions, Federal Reserve System
The Board and the Commission jointly are adopting a single set of final rules that implement certain of the exceptions for banks from the definition of the term ``broker'' under Section 3(a)(4) of the Securities Exchange Act of 1934 (``Exchange Act''), as amended by the Gramm-Leach-Bliley Act (``GLBA''). The rules define terms used in these statutory exceptions and include certain related exemptions. In developing these rules, the Agencies have consulted with, and sought the concurrence of, the Office of the Comptroller of the Currency (``OCC''), the Federal Deposit Insurance Corporation (``FDIC'') and the Office of Thrift Supervision (``OTS''), and have taken into consideration all comments received on the proposed rules issued in December 2006. The rules are intended, among other things, to facilitate banks' compliance with the Exchange Act and the GLBA.
Claymore Exchange-Traded Fund Trust, et al.; Notice of Application
Document Number: E7-19385
Type: Notice
Date: 2007-10-02
Agency: Securities and Exchange Commission, Agencies and Commissions
Sunshine Act Meetings
Document Number: E7-19384
Type: Notice
Date: 2007-10-02
Agency: Securities and Exchange Commission, Agencies and Commissions
Public Alert: Unregistered Soliciting Entities (“Pause”) Program
Document Number: E7-19343
Type: Notice
Date: 2007-10-02
Agency: Securities and Exchange Commission, Agencies and Commissions
The Securities and Exchange Commission (``SEC'' or ``Commission'') is announcing a new program that will post on its Web site certain factual information about unregistered entities that are engaged in the solicitation of securities transactions.
Order Cancelling the Registration of a Transfer Agent
Document Number: E7-19291
Type: Notice
Date: 2007-10-01
Agency: Securities and Exchange Commission, Agencies and Commissions