Securities and Exchange Commission November 4, 2008 – Federal Register Recent Federal Regulation Documents

Sunshine Act Meeting
Document Number: E8-26276
Type: Notice
Date: 2008-11-04
Agency: Securities and Exchange Commission, Agencies and Commissions
Mandatory Electronic Submission of Applications for Orders Under the Investment Company Act and Filings Made Pursuant to Regulation E
Document Number: E8-26183
Type: Rule
Date: 2008-11-04
Agency: Securities and Exchange Commission, Agencies and Commissions
We are adopting several amendments to rules regarding our Electronic Data Gathering, Analysis, and Retrieval (EDGAR) system. Specifically, we are amending our rules to make mandatory the electronic submission on EDGAR of applications for orders under any section of the Investment Company Act of 1940 (``Investment Company Act'') as well as Regulation E filings of small business investment companies and business development companies. We also are amending the electronic filing rules to make the temporary hardship exemption unavailable for submission of applications under the Investment Company Act. Finally, we are amending Rule 0-2 under the Investment Company Act, eliminating the requirement that certain documents accompanying an application be notarized and the requirement that applicants submit a draft notice as an exhibit to an application.