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

Results 401 - 450 of 1,859
Aberdeen Asset Management Inc. and Aberdeen Funds, et al.; Notice of Application
Document Number: E8-23691
Type: Notice
Date: 2008-10-07
Agency: Securities and Exchange Commission, Agencies and Commissions
HLHZ Investments II, LLC and Houlihan, Lokey, Howard & Zukin, Inc.; Notice of Application
Document Number: E8-23689
Type: Notice
Date: 2008-10-07
Agency: Securities and Exchange Commission, Agencies and Commissions
Eaton Vance Floating-Rate Income Trust, et al.; Notice of Application
Document Number: E8-23672
Type: Notice
Date: 2008-10-07
Agency: Securities and Exchange Commission, Agencies and Commissions
Sunshine Act Meeting
Document Number: E8-23579
Type: Notice
Date: 2008-10-06
Agency: Securities and Exchange Commission, Agencies and Commissions
Sunshine Act Meeting
Document Number: E8-23498
Type: Notice
Date: 2008-10-06
Agency: Securities and Exchange Commission, Agencies and Commissions
MCG Capital Corporation, et al.; Notice of Application
Document Number: E8-23492
Type: Notice
Date: 2008-10-06
Agency: Securities and Exchange Commission, Agencies and Commissions
H&Q Healthcare Investors, et al.; Notice of Application
Document Number: E8-23491
Type: Notice
Date: 2008-10-06
Agency: Securities and Exchange Commission, Agencies and Commissions
Foreign Issuer Reporting Enhancements
Document Number: E8-22760
Type: Rule
Date: 2008-10-06
Agency: Securities and Exchange Commission, Agencies and Commissions, Part II
We are adopting a number of amendments to our rules relating to foreign private issuers that are intended to enhance the information that is available to investors. These amendments are part of a series of initiatives that seek to effect 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 and cross-border capital flows. We are adopting amendments that would enable foreign issuers to test their eligibility to use the special forms and rules available to foreign private issuers once a year, rather than continuously. We also are adopting 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 adopting amendments that would revise the annual report and registration statement forms used by foreign private issuers to improve certain disclosures provided in these forms.
WisdomTree Asset Management, Inc. and WisdomTree Trust; Notice of Application
Document Number: E8-23411
Type: Notice
Date: 2008-10-03
Agency: Securities and Exchange Commission, Agencies and Commissions
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.