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

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Interagency Proposal for Model Privacy Form Under the Gramm-Leach-Bliley Act
Document Number: E9-8977
Type: Proposed Rule
Date: 2009-04-20
Agency: Securities and Exchange Commission, Agencies and Commissions
The Securities and Exchange Commission (``Commission'') is reopening the period for public comment on proposed amendments to Regulation S-P, which implements the privacy provisions of the Gramm- Leach-Bliley Act (``GLB Act''), originally published in the Federal Register on March 29, 2007. The proposed amendments would, if adopted, create a safe harbor for a model form that financial institutions may use to provide disclosures in initial and annual privacy notices required under Regulation S-P.
Triangle Capital Corporation; Notice of Application
Document Number: E9-8965
Type: Notice
Date: 2009-04-20
Agency: Securities and Exchange Commission, Agencies and Commissions
Submission for OMB Review; Comment Request
Document Number: E9-8879
Type: Notice
Date: 2009-04-20
Agency: Securities and Exchange Commission, Agencies and Commissions
Submission for OMB Review; Comment Request
Document Number: E9-8876
Type: Notice
Date: 2009-04-20
Agency: Securities and Exchange Commission, Agencies and Commissions
Amendments to Regulation SHO
Document Number: E9-8730
Type: Proposed Rule
Date: 2009-04-20
Agency: 17 Cfr Part 242, Securities and Exchange Commission, Agencies and Commissions
The Securities and Exchange Commission (``Commission'') is proposing amendments to Regulation SHO under the Securities Exchange Act of 1934 (``Exchange Act''). We are proposing two approaches to restrictions on short sellingone is a price test that would apply on a market wide and permanent basis (``short sale price test'' or ``short sale price test restriction'') and one that would apply only to a particular security during severe market declines in that security (``circuit breaker''). With respect to the first approach, we propose two alternative short sale price tests: One based on the national best bid and the second based on the last sale price. With respect to the second approach, we propose two basic alternatives: One alternative is a circuit breaker rule that would temporarily prohibit short selling in a particular security when there is a severe decline in the price of that security (a ``halt''), which could operate in place of, or in addition to, a short sale price test rule; and the second alternative is a circuit breaker rule that would trigger a short sale price test rule; we propose that such a short sale price test either be based on the national best bid for any security for which there has been a severe price decline or be based on the last sale price for any security for which there has been a severe price decline.
Staff Accounting Bulletin No. 111
Document Number: E9-8801
Type: Rule
Date: 2009-04-17
Agency: Securities and Exchange Commission, Agencies and Commissions
This staff accounting bulletin (``SAB'') amends Topic 5.M. in the Staff Accounting Bulletin Series entitled Other Than Temporary Impairment of Certain Investments in Debt and Equity Securities (``Topic 5.M.''). On April 9, 2009, the FASB issued FASB Staff Position No. FAS 115-2 and FAS 124-2, Recognition and Presentation of Other- Than-Temporary Impairments (``FSP 115-2'') to provide guidance for assessing whether an impairment of a debt security is other than temporary. This SAB maintains the staff's previous views related to equity securities. It also amends Topic 5.M. to exclude debt securities from its scope.
Poseidis, Inc.; Order of Suspension of Trading
Document Number: E9-8829
Type: Notice
Date: 2009-04-16
Agency: Securities and Exchange Commission, Agencies and Commissions
Roundtable on Oversight of Credit Rating Agencies
Document Number: E9-8704
Type: Notice
Date: 2009-04-16
Agency: Securities and Exchange Commission, Agencies and Commissions
The Credit Rating Agency Reform Act of 2006 provided the Securities and Exchange Commission for the first time with authority over credit rating agencies that register with the Commission as Nationally Recognized Statistical Rating Organizations (``NRSROs''). Most of the Act's provisions became effective in June 2007. Pursuant to the Act, the Commission has adopted two sets of rules, and Commission staff has conducted an extensive 10-month examination of the three largest credit rating agencies. In February 2009, the Commission issued a proposing release that included several proposals to further the Act's purpose of promoting accountability, transparency, and competition in the credit rating industry. The proposing release is available on the Commission's Web site at https://www.sec.gov/rules/ proposed/2009/34-59343.pdf.
Adoption of Updated EDGAR Filer Manual
Document Number: E9-8589
Type: Rule
Date: 2009-04-16
Agency: Securities and Exchange Commission, Agencies and Commissions
The Securities and Exchange Commission (the Commission) is adopting revisions to the Electronic Data Gathering, Analysis, and Retrieval System (EDGAR) Filer Manual to reflect updates to the EDGAR system. The revisions are being made primarily to update EDGAR to support the potential rule where domestic and foreign large accelerated filers that use U.S. Generally Accepted Accounting Principles (GAAP) would provide to the Commission a new exhibit to their filings for their reporting periods that end as per the details specified in the final eXtensible Business Reporting Language (XBRL) rule. The revisions to the Filer Manual reflect changes within Volume II entitled EDGAR Filer Manual, Volume II: ``EDGAR Filing,'' Version 10 (December 2008). The updated manual will be incorporated by reference into the Code of Federal Regulations.
VoIP, Inc.; Order of Suspension of Trading
Document Number: E9-8743
Type: Notice
Date: 2009-04-15
Agency: Securities and Exchange Commission, Agencies and Commissions
Sunshine Act Meeting
Document Number: E9-8480
Type: Notice
Date: 2009-04-14
Agency: Securities and Exchange Commission, Agencies and Commissions
Blackrock International Growth and Income Trust, et al.; Notice of Application
Document Number: E9-8428
Type: Notice
Date: 2009-04-14
Agency: Securities and Exchange Commission, Agencies and Commissions
ING Investments, LLC, et al.; Notice of Application; Correction
Document Number: E9-8427
Type: Notice
Date: 2009-04-14
Agency: Securities and Exchange Commission, Agencies and Commissions
All Line, Inc.; Order of Suspension of Trading
Document Number: E9-8332
Type: Notice
Date: 2009-04-10
Agency: Securities and Exchange Commission, Agencies and Commissions
Phoenix Life Insurance Company, et al.; Notice of Application
Document Number: E9-8068
Type: Notice
Date: 2009-04-09
Agency: Securities and Exchange Commission, Agencies and Commissions
Proposed Collection; Comment Request
Document Number: E9-8067
Type: Notice
Date: 2009-04-09
Agency: Securities and Exchange Commission, Agencies and Commissions
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