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

Proposed Collection; Comment Request
Document Number: E9-15399
Type: Notice
Date: 2009-06-30
Agency: Securities and Exchange Commission, Agencies and Commissions
Embarcadero Funds, Inc., et al.; Notice of Application
Document Number: E9-15225
Type: Notice
Date: 2009-06-29
Agency: Securities and Exchange Commission, Agencies and Commissions
Sunshine Act Meeting
Document Number: E9-15252
Type: Notice
Date: 2009-06-26
Agency: Securities and Exchange Commission, Agencies and Commissions
Technical Amendment; Internal Control Over Financial Reporting in Exchange Act Periodic Reports of Non-Accelerated Filers
Document Number: E9-15014
Type: Rule
Date: 2009-06-25
Agency: Securities and Exchange Commission, Agencies and Commissions
We are extending the effectiveness of Sec. 210.2-02T published in 71 FR 47059 (August 15, 2006) and Sec. 229.308T published in 71 FR 76595 (December 21, 2006) and amended in 73 FR 38099 (July 2, 2008) through June 30, 2010. The effective dates for the other sections of the July 2, 2008 document remain as published.
Sunshine Act Meeting
Document Number: E9-14656
Type: Notice
Date: 2009-06-23
Agency: Securities and Exchange Commission, Agencies and Commissions
In the Matter of Petro America Corp.; Order of Suspension of Trading
Document Number: E9-14673
Type: Notice
Date: 2009-06-22
Agency: Securities and Exchange Commission, Agencies and Commissions
Sunshine Act Meeting
Document Number: E9-14657
Type: Notice
Date: 2009-06-22
Agency: Securities and Exchange Commission, Agencies and Commissions
Sunshine Act Meeting
Document Number: E9-14538
Type: Notice
Date: 2009-06-19
Agency: Securities and Exchange Commission, Agencies and Commissions
Nationwide Life Insurance Company, et al.
Document Number: E9-14288
Type: Notice
Date: 2009-06-18
Agency: [release No. Ic-28767; File No. 812-13495], Securities and Exchange Commission, Agencies and Commissions
Summary of Application: Section 26 Applicants seek an order pursuant to Section 26(c) of the 1940 Act, approving the substitutions of certain securities (the ``Substitutions'') issued by certain management investment companies and held by Separate Accounts to support certain variable annuity contracts and variable life insurance contracts (the ``Contracts'') issued by Insurance Company Applicants. Section 17 Applicants seek an order pursuant to Section 17(b) of the 1940 Act exempting them from Section 17(a) of the 1940 Act to the extent necessary to permit them to effectuate the proposed Substitutions by redeeming a portion of the securities of one or more of the Existing Funds (as defined herein) in-kind and using those securities received to purchase shares of the Replacement Funds (as defined herein) (the ``In-Kind Transactions'').
Facilitating Shareholder Director Nominations
Document Number: E9-14090
Type: Proposed Rule
Date: 2009-06-18
Agency: Securities and Exchange Commission, Agencies and Commissions
We are proposing changes to the federal proxy rules to remove impediments to the exercise of shareholders' rights to nominate and elect directors to company boards of directors. The new rules would require, under certain circumstances, a company to include in the company's proxy materials a shareholder's, or group of shareholders', nominees for director. The proposal includes certain requirements, key among which are a requirement that use of the new procedures be in accordance with state law, and provisions regarding the disclosures required to be made concerning nominating shareholders or groups and their nominees. In addition, the new rules would require companies to include in their proxy materials, under certain circumstances, shareholder proposals that would amend, or that request an amendment to, a company's governing documents regarding nomination procedures or disclosures related to shareholder nominations, provided the proposal does not conflict with the Commission's disclosure rulesincluding the proposed new rules. We also are proposing changes to certain of our other rules and regulationsincluding the existing exemptions from our proxy rules and the beneficial ownership reporting requirementsthat may be affected by the new proposed procedures.
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