Securities and Exchange Commission January 2008 – Federal Register Recent Federal Regulation Documents

Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 1940
Document Number: E8-1687
Type: Notice
Date: 2008-01-31
Agency: Securities and Exchange Commission, Agencies and Commissions
Applicant seeks an order declaring that it has ceased to be an investment company. Applicant has never made a public offering of its securities and does not propose to make a public offering or engage in business of any kind. Filing Dates: The application was filed on November 8, 2007, and amended on January 11, 2008. Applicant's Address: 100 N. Riverside Plaza, Suite 2200, Chicago, IL 60606.
Sunshine Act Meetings
Document Number: E8-1694
Type: Notice
Date: 2008-01-30
Agency: Securities and Exchange Commission, Agencies and Commissions
Schroder Series Trust, et al.; Notice of Application
Document Number: E8-1648
Type: Notice
Date: 2008-01-30
Agency: Securities and Exchange Commission, Agencies and Commissions
Submission for OMB Review; Comment Request
Document Number: E8-1619
Type: Notice
Date: 2008-01-30
Agency: Securities and Exchange Commission, Agencies and Commissions
Proposed Collection; Comment Request
Document Number: E8-1618
Type: Notice
Date: 2008-01-30
Agency: Securities and Exchange Commission, Agencies and Commissions
Proposed Collection; Comment Request
Document Number: E8-1617
Type: Notice
Date: 2008-01-30
Agency: Securities and Exchange Commission, Agencies and Commissions
Statement of Policy for Section 19 of the Federal Deposit Insurance Act
Document Number: Z7-25128
Type: Notice
Date: 2008-01-29
Agency: Centers for Medicare & Medicaid Services, Department of Health and Human Services, Securities and Exchange Commission, Agencies and Commissions, Federal Deposit Insurance Corporation
Submission for OMB Review; Comment Request
Document Number: E8-1506
Type: Notice
Date: 2008-01-29
Agency: Securities and Exchange Commission, Agencies and Commissions
Technical Amendments to Forms MSD, MSDW, BD-N, BD, BDW, ADV, and ADV-W and to Exchange Act Rules 15b1-1, 15b3-1, 15b6-1, 15Ba2-2, 15Bc3-1, 15Ca1-1, 15Ca2-1, 15Cc1-1, and 17a-3, and Advisers Act Rules 203-1, 203-3, and 204-1
Document Number: E8-1171
Type: Rule
Date: 2008-01-28
Agency: Securities and Exchange Commission, Agencies and Commissions
The Securities and Exchange Commission (``Commission'' or ``SEC'') is adopting technical amendments to Form MSD and Form MSDW (the application for registration as a municipal securities dealer and the notice of withdrawal from registration as a municipal securities dealer, respectively) primarily to add the Office of Thrift Supervision to the list of agencies with which Forms MSD and MSDW must be filed. The Commission is also adopting a technical amendment to Form BD-N (the notice of registration as a broker-dealer for the purposes of trading security futures products pursuant to Section 15(b)(11) of the Securities Exchange Act of 1934 (``Exchange Act'')) to update the address of the National Futures Association. In addition, to reflect the formation of the Financial Industry Regulatory Authority, Inc. (``FINRA''), the Commission is adopting technical amendments to Forms BD and BDW (the uniform broker-dealer registration form and the uniform request for withdrawal from broker-dealer registration, respectively), related Exchange Act Rules, Forms ADV and ADV-W (the investment adviser registration form and the request for withdrawal from investment adviser registration, respectively), and related rules under the Investment Advisers Act of 1940 (``Advisers Act'').
Morgan Stanley Investment Management Inc., et al., Notice of Application
Document Number: E8-1304
Type: Notice
Date: 2008-01-25
Agency: Securities and Exchange Commission, Agencies and Commissions
Electronic Shareholder Forums
Document Number: E8-1263
Type: Rule
Date: 2008-01-25
Agency: Securities and Exchange Commission, Agencies and Commissions
We are adopting amendments to the proxy rules under the Securities Exchange Act of 1934 to facilitate electronic shareholder forums. The amendments clarify that participation in an electronic shareholder forum that could potentially constitute a solicitation subject to the proxy rules is exempt from most of the proxy rules if all of the conditions to the exemption are satisfied. In addition, the amendments state that a shareholder, company, or third party acting on behalf of a shareholder or company that establishes, maintains or operates an electronic shareholder forum will not be liable under the federal securities laws for any statement or information provided by another person participating in the forum. Therefore, the amendments remove legal ambiguity that might deter shareholders and companies from energetically pursuing this mode of communication.
The TIGERS Revenue Trust and VTL Associates, LLC; Notice of Application
Document Number: E8-1253
Type: Notice
Date: 2008-01-25
Agency: Securities and Exchange Commission, Agencies and Commissions
Proposed Collection; Comment Request
Document Number: E8-1179
Type: Notice
Date: 2008-01-24
Agency: Securities and Exchange Commission, Agencies and Commissions
Submission for OMB Review; Comment Request
Document Number: E8-1159
Type: Notice
Date: 2008-01-24
Agency: Securities and Exchange Commission, Agencies and Commissions
Proposed Collection; Comment Request
Document Number: E8-1158
Type: Notice
Date: 2008-01-24
Agency: Securities and Exchange Commission, Agencies and Commissions
Proposed Collection; Comment Request
Document Number: E8-1157
Type: Notice
Date: 2008-01-24
Agency: Securities and Exchange Commission, Agencies and Commissions
Sunshine Act Meeting
Document Number: E8-1072
Type: Notice
Date: 2008-01-23
Agency: Securities and Exchange Commission, Agencies and Commissions
Submission for OMB Review; Comment Request
Document Number: E8-1060
Type: Notice
Date: 2008-01-23
Agency: Securities and Exchange Commission, Agencies and Commissions