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

Results 101 - 150 of 170
Amendments to Form ADV
Document Number: E8-4611
Type: Proposed Rule
Date: 2008-03-14
Agency: Securities and Exchange Commission, Agencies and Commissions
The Securities and Exchange Commission is reproposing amendments to Part 2 of Form ADV, and related rules under the Investment Advisers Act, to require investment advisers registered with us to deliver to clients and prospective clients a brochure written in plain English. These amendments are designed to require advisers to provide clients and prospective clients with clear, current, and more meaningful disclosure of the business practices, conflicts of interest (including those related to soft dollar practices), and background of investment advisers and their advisory personnel. Advisers would file their brochures with us electronically, and we would make them available to the public through our Web site. The Commission also is proposing to withdraw, as duplicative, the Advisers Act rule requiring advisers to disclose certain disciplinary and financial information.
In the Matter of Beverage Creations, Inc.; Order of Suspension of Trading
Document Number: 08-1033
Type: Notice
Date: 2008-03-14
Agency: Securities and Exchange Commission, Agencies and Commissions
Part 248-Regulation S-P: Privacy of Consumer Financial Information and Safeguarding Personal Information
Document Number: E8-4612
Type: Proposed Rule
Date: 2008-03-13
Agency: Securities and Exchange Commission, Agencies and Commissions
The Securities and Exchange Commission (``Commission'') is proposing amendments to Regulation S-P, which implements certain provisions of the Gramm-Leach-Bliley Act (``GLBA'') and the Fair Credit Reporting Act (``FCRA'') for entities regulated by the Commission. The proposed amendments would set forth more specific requirements for safeguarding information and responding to information security breaches, and broaden the scope of the information covered by Regulation S-P's safeguarding and disposal provisions. They also would extend the application of the disposal provisions to natural persons associated with brokers, dealers, investment advisers registered with the Commission (``registered investment advisers'') and transfer agents registered with the Commission (``registered transfer agents''), and would extend the application of the safeguarding provisions to registered transfer agents. Finally, the proposed amendments would permit a limited transfer of information to a nonaffiliated third party without the required notice and opt out when personnel move from one broker-dealer or registered investment adviser to another.
Submission for OMB Review; Comment Request
Document Number: E8-4836
Type: Notice
Date: 2008-03-12
Agency: Securities and Exchange Commission, Agencies and Commissions
Submission for OMB Review; Comment Request
Document Number: E8-4823
Type: Notice
Date: 2008-03-12
Agency: Securities and Exchange Commission, Agencies and Commissions
Foreign Issuer Reporting Enhancements
Document Number: E8-4366
Type: Proposed Rule
Date: 2008-03-12
Agency: Securities and Exchange Commission, Agencies and Commissions
We are proposing a number of changes to our rules relating to foreign private issuers that are intended to improve the accessibility of the U.S. public capital markets to these issuers, as well as to enhance the information that is available to investors. These amendments are part of a series of initiatives that seek to address changes in our disclosure and other requirements applicable to foreign private issuers in light of market developments, new technologies and other matters in a manner that promotes investor protection, cross- border capital flows and the elimination of unnecessary barriers to our capital markets. We are proposing amendments that would enable foreign issuers to test their qualification to use the forms and rules available to foreign private issuers once a year, rather than continuously. We are also proposing amendments to change the deadline for annual reports filed by foreign private issuers and to eliminate an option under which foreign private issuers are permitted to omit segment data from their U.S. GAAP financial statements, and an amendment to the rule pertaining to going private transactions to reflect the new termination of reporting and deregistration rules for foreign private issuers. In addition, we are soliciting comment on proposals that would revise the annual report and registration statement forms used by foreign private issuers to improve certain disclosures provided in these forms.
RSI Retirement Trust; Notice of Application
Document Number: E8-4750
Type: Notice
Date: 2008-03-11
Agency: Securities and Exchange Commission, Agencies and Commissions
CUNA Mutual Insurance Society, et al; Notice of Application
Document Number: E8-4686
Type: Notice
Date: 2008-03-11
Agency: Securities and Exchange Commission, Agencies and Commissions
Pruco Life Insurance Company, et al.; Notice of Application
Document Number: E8-4685
Type: Notice
Date: 2008-03-11
Agency: Securities and Exchange Commission, Agencies and Commissions
Prudential Annuities Life Assurance Corporation, et al; Notice of Application
Document Number: E8-4684
Type: Notice
Date: 2008-03-11
Agency: Securities and Exchange Commission, Agencies and Commissions
JPMorgan Trust I, et al.; Notice of Application
Document Number: E8-4616
Type: Notice
Date: 2008-03-10
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: E8-4257
Type: Notice
Date: 2008-03-06
Agency: Securities and Exchange Commission, Agencies and Commissions
Applicant, a closed-end investment company, 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 2, 2007, and amended on February 20, 2008. Applicant's Address: BlackRock, Inc., 800 Scudders Mill Rd., Plainsboro, NJ 08536.