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

Results 101 - 148 of 148
Fidelity Aberdeen Street Trust, et al.; Notice of Application
Document Number: E8-21144
Type: Notice
Date: 2008-09-11
Agency: Securities and Exchange Commission, Agencies and Commissions
Prudential Financial, Inc., et al.; Notice of Application and Temporary Order
Document Number: E8-21143
Type: Notice
Date: 2008-09-11
Agency: Securities and Exchange Commission, Agencies and Commissions
Exemption From Registration Under Section 12(G) of the Securities Exchange Act of 1934 for Foreign Private Issuers
Document Number: E8-20995
Type: Rule
Date: 2008-09-10
Agency: Securities and Exchange Commission, Agencies and Commissions
We are adopting amendments to the rule that exempts a foreign private issuer from having to register a class of equity securities under Section 12(g) of the Securities Exchange Act of 1934 (``Exchange Act'') based on the submission to the Commission of certain information published by the issuer outside the United States. The exemption allows a foreign private issuer to have its equity securities traded in the U.S. over-the-counter market without registration under Section 12(g). The adopted rule amendments will eliminate the current written application and paper submission requirements under Rule 12g3-2(b) by automatically exempting from Exchange Act Section 12(g) a foreign private issuer that meets specified conditions. Those conditions will require an issuer to maintain a listing of its equity securities in its primary trading market located outside the United States, and require it to publish electronically in English specified non-United States disclosure documents. As a result, the adopted amendments should make it easier for U.S. investors to gain access to a foreign private issuer's material non-United States disclosure documents and thereby to make better informed decisions regarding whether to invest in that issuer's equity securities through the over-the-counter market in the United States or otherwise. As is currently the case, issuers must continue to register their securities under the Exchange Act to have them listed on a national securities exchange or traded on the OTC Bulletin Board.
Phoenix Equity Trust, et al.; Notice of Application
Document Number: E8-20960
Type: Notice
Date: 2008-09-10
Agency: Securities and Exchange Commission, Agencies and Commissions
Sunshine Act Meeting
Document Number: E8-20957
Type: Notice
Date: 2008-09-10
Agency: Securities and Exchange Commission, Agencies and Commissions
In the Matter of Continental Beverage and Nutrition, Inc.; Order of Suspension of Trading
Document Number: E8-20707
Type: Notice
Date: 2008-09-05
Agency: Securities and Exchange Commission, Agencies and Commissions
Submission for OMB Review; Comment Request
Document Number: E8-20618
Type: Notice
Date: 2008-09-05
Agency: Securities and Exchange Commission, Agencies and Commissions
Submission for OMB Review; Comment Request
Document Number: E8-20617
Type: Notice
Date: 2008-09-05
Agency: Securities and Exchange Commission, Agencies and Commissions
Submission for OMB Review; Comment Request
Document Number: E8-20616
Type: Notice
Date: 2008-09-05
Agency: Securities and Exchange Commission, Agencies and Commissions
PIMCO Municipal Income Fund, et al.; Notice of Application
Document Number: E8-20615
Type: Notice
Date: 2008-09-05
Agency: Securities and Exchange Commission, Agencies and Commissions
John Hancock Income Securities Trust, et al.; Notice of Application
Document Number: E8-20614
Type: Notice
Date: 2008-09-05
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: E8-20550
Type: Notice
Date: 2008-09-05
Agency: Securities and Exchange Commission, Agencies and Commissions
Applicant seeks an order declaring that it has ceased to be an investment company. On April 22, 2008, applicant made a liquidating distribution to its shareholders, based on net asset value. Expenses of $48,327 incurred in connection with the liquidation were paid by Credit Suisse Asset Management, LLC, applicant's investment adviser. Applicant has retained $41,722 in cash for the payment of outstanding expenses. Filing Date: The application was filed on July 24, 2008. Applicant's Address: c/o Credit Suisse Asset Management, LLC, Eleven Madison Ave., New York, NY 10010.
Sunshine Act Meeting
Document Number: E8-20534
Type: Notice
Date: 2008-09-04
Agency: Securities and Exchange Commission, Agencies and Commissions
Allianz Life Insurance Company of North America, et al.
Document Number: E8-20398
Type: Notice
Date: 2008-09-03
Agency: Securities and Exchange Commission, Agencies and Commissions
Woodcock Financial Management Company, LLC; Notice of Application
Document Number: E8-20247
Type: Notice
Date: 2008-09-02
Agency: Securities and Exchange Commission, Agencies and Commissions