Securities and Exchange Commission 2009 – Federal Register Recent Federal Regulation Documents

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Sunshine Act Meeting Notice
Document Number: E9-31076
Type: Notice
Date: 2009-12-30
Agency: Securities and Exchange Commission, Agencies and Commissions
Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change Amending Rule 5.3
Document Number: E9-30915
Type: Notice
Date: 2009-12-30
Agency: Securities and Exchange Commission, Agencies and Commissions
Temporary Rule Regarding Principal Trades With Certain Advisory Clients
Document Number: E9-30877
Type: Rule
Date: 2009-12-30
Agency: Securities and Exchange Commission, Agencies and Commissions
The Securities and Exchange Commission is adopting as final Rule 206(3)-3T under the Investment Advisers Act of 1940, the interim final temporary rule that establishes an alternative means for investment advisers who are registered with the Commission as broker- dealers to meet the requirements of Section 206(3) of the Investment Advisers Act when they act in a principal capacity in transactions with certain of their advisory clients. As adopted, the only change to the rule is the expiration date. Rule 206(3)-3T will sunset on December 31, 2010.
In the Matter of: GH3 International, Inc.; Order of Suspension of Trading
Document Number: E9-30943
Type: Notice
Date: 2009-12-29
Agency: Securities and Exchange Commission, Agencies and Commissions
Revisions To Rule 163
Document Number: E9-30589
Type: Proposed Rule
Date: 2009-12-28
Agency: Securities and Exchange Commission, Agencies and Commissions
We are proposing amendments to Rule 163(c) under the Securities Act of 1933 that would allow a well-known seasoned issuer to authorize an underwriter or dealer to act as its agent or representative in communicating about offerings of the issuer's securities prior to the filing of a registration statement. We believe that the proposed amendments should further facilitate capital formation by well-known seasoned issuers by removing certain impediments to issuer communications with broader groups of potential investors regarding offerings of securities.
Sunshine Act Meeting Notice
Document Number: E9-30601
Type: Notice
Date: 2009-12-24
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: E9-30546
Type: Notice
Date: 2009-12-24
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. On October 1, 2009, applicant transferred its assets to ING Clarion Global Real Estate Income Fund, based on net asset value. Expenses of approximately $35,855 incurred in connection with the reorganization were paid by applicant.
Submission for OMB Review; Comment Request
Document Number: E9-30432
Type: Notice
Date: 2009-12-23
Agency: Securities and Exchange Commission, Agencies and Commissions
Proposed Collection; Comment Request
Document Number: E9-30431
Type: Notice
Date: 2009-12-23
Agency: Securities and Exchange Commission, Agencies and Commissions
Submission for OMB Review; Comment Request
Document Number: E9-30430
Type: Notice
Date: 2009-12-23
Agency: Securities and Exchange Commission, Agencies and Commissions
Cash Account Trust, et al.;
Document Number: E9-30429
Type: Notice
Date: 2009-12-23
Agency: Securities and Exchange Commission, Agencies and Commissions
Investools Inc., et al.;
Document Number: E9-30428
Type: Notice
Date: 2009-12-23
Agency: Securities and Exchange Commission, Agencies and Commissions