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

Results 151 - 188 of 188
First Trust Advisors L.P., et al.; Notice of Application
Document Number: E8-23366
Type: Notice
Date: 2008-10-03
Agency: Securities and Exchange Commission, Agencies and Commissions
Forward Funds and Forward Management, LLC; Notice of Application
Document Number: E8-23365
Type: Notice
Date: 2008-10-03
Agency: Securities and Exchange Commission, Agencies and Commissions
Invesco PowerShares Capital Management LLC, et al.; Notice of Application
Document Number: E8-23346
Type: Notice
Date: 2008-10-03
Agency: Securities and Exchange Commission, Agencies and Commissions
Dodge & Cox Funds and Dodge & Cox Incorporated; Notice of Application
Document Number: E8-23343
Type: Notice
Date: 2008-10-03
Agency: Securities and Exchange Commission, Agencies and Commissions
MB Tech, Inc., Order of Suspension of Trading
Document Number: E8-23378
Type: Notice
Date: 2008-10-02
Agency: Securities and Exchange Commission, Agencies and Commissions
Sunshine Act Meeting
Document Number: E8-23283
Type: Notice
Date: 2008-10-02
Agency: Securities and Exchange Commission, Agencies and Commissions
Sunshine Act Meeting
Document Number: E8-23282
Type: Notice
Date: 2008-10-02
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: E8-23198
Type: Notice
Date: 2008-10-02
Agency: Securities and Exchange Commission, Agencies and Commissions
Applicant seeks an order declaring that it has ceased to be an investment company. On April 19, 2007, applicant transferred its assets to corresponding series of AIM Funds Group, based on net asset value. Expenses of $320,500 incurred in connection with the reorganization were paid by Invesco Aim Advisors, Inc., applicant's investment adviser. Filing Dates: The application was filed on August 8, 2008, and amended on September 19, 2008. Applicant's Address: 11 Greenway Plaza, Suite 100, Houston, TX 77046-1173. Legg Mason Partners Appreciation Fund, Inc. [File No. 811-1940] Legg Mason Partners Capital Fund, Inc. [File No. 811-2667] Legg Mason Partners Aggressive Growth Fund, Inc. [File No. 811-3762] CitiFunds Trust I [File No. 811-4006]
Technical Amendment to Item 407 of Regulation S-K
Document Number: E8-23057
Type: Rule
Date: 2008-10-02
Agency: Securities and Exchange Commission, Agencies and Commissions
The Securities and Exchange Commission (``Commission'') is making a technical amendment to Item 407 of Regulation S-K. The technical amendment updates a reference to Independence Standards Board Standard No. 1 (``ISB No. 1''), which was previously adopted by the Public Company Accounting Oversight Board (``PCAOB'') as an interim standard but has been superseded by the PCAOB's newly adopted Ethics and Independence Rule 3526, Communication with Audit Committees Concerning Independence. The reference is being updated to refer to the ``applicable requirements of the Public Company Accounting Oversight Board regarding the independent accountant's communications with the audit committee concerning independence.''
Roundtable on Modernizing the SEC's Disclosure System
Document Number: E8-23105
Type: Notice
Date: 2008-10-01
Agency: Securities and Exchange Commission, Agencies and Commissions
On October 8, 2008 from 9 a.m. to 1 p.m., the Securities and Exchange Commission will hold a roundtable to discuss ways in which its current disclosure system can be modernized to provide investors more useful and timely information to help them make investment choices. The roundtable will be organized as two panels. The panels will be moderated by Commission staff and will include investor representatives, company officials, information intermediaries, practitioners, and academics. The roundtable is part of the Commission's 21st Century Disclosure Initiative. The roundtable will be held in the auditorium of SEC headquarters at 100 F Street, NE., Washington, DC, from 9 a.m. until approximately 1 p.m. The roundtable will be open to the public with seating on a first- come, first-served basis. The roundtable discussions will be Webcast on the Commission's Web site at http://www.sec.gov. The roundtable agenda and other related materials, including a list of participants and moderators, will be accessible at http://www.sec.gov/ disclosureinitiative. The Commission welcomes comments regarding any of the topics to be addressed at the roundtable and is particularly interested in comments responding to the questions that are set forth below.
Wendt-Bristol Health Services Corp.; Order of Suspension of Trading
Document Number: E8-23086
Type: Notice
Date: 2008-10-01
Agency: Securities and Exchange Commission, Agencies and Commissions
Sunshine Act Meeting
Document Number: E8-23074
Type: Notice
Date: 2008-10-01
Agency: Securities and Exchange Commission, Agencies and Commissions
Sunshine Act Meeting
Document Number: E8-23048
Type: Notice
Date: 2008-10-01
Agency: Securities and Exchange Commission, Agencies and Commissions
Aberdeen Asset Management Inc., et al.; Notice of Application
Document Number: E8-23044
Type: Notice
Date: 2008-10-01
Agency: Securities and Exchange Commission, Agencies and Commissions
Van Kampen Retirement Strategy Trust, et al.; Notice of Application
Document Number: E8-23043
Type: Notice
Date: 2008-10-01
Agency: Securities and Exchange Commission, Agencies and Commissions
Delaware Management Business Trust, et al.; Notice of Application
Document Number: E8-23042
Type: Notice
Date: 2008-10-01
Agency: Securities and Exchange Commission, Agencies and Commissions
Proposed Collection; Comment Request
Document Number: E8-22969
Type: Notice
Date: 2008-10-01
Agency: Securities and Exchange Commission, Agencies and Commissions