Securities and Exchange Commission August 2010 – Federal Register Recent Federal Regulation Documents
Results 1 - 50 of 170
Aston Funds, et al.; Notice of Application
Summary of the Application: The requested order would (a) permit certain registered open-end management investment companies that operate as ``funds of funds'' to acquire shares of certain registered open-end management investment companies and unit investment trusts (``UITs'') that are within and outside the same group of investment companies as the acquiring investment companies, and (b) permit funds of funds relying on rule 12d1-2 under the Act to invest in certain financial instruments.
The Integrity Funds, et al.; Notice of Application
Summary of Application: The requested order would permit certain registered open-end management investment companies to enter into and materially amend subadvisory agreements without shareholder approval.
Privacy Act of 1974: Systems of Records
In accordance with the requirements of the Privacy Act of 1974, as amended, 5 U.S.C. 552a, the U.S. Securities and Exchange Commission (``Commission'' or ``SEC'') gives notice of a proposal to establish the following two new Privacy Act systems of records: ``Municipal Advisor Records (SEC-61)'' and ``Correspondence Files Pertaining to Municipal Advisors; Municipal Advisor Logs (SEC-62)''.
Definitions Contained in Title VII of Dodd-Frank Wall Street Reform and Consumer Protection Act
The Dodd-Frank Wall Street Reform and Consumer Protection Act (the ``Dodd-Frank Act''), provides for the comprehensive regulation of swaps and security-based swaps. Title VII of the Dodd-Frank Act (``Title VII''), provides that the Securities and Exchange Commission (``SEC'') and the Commodity Futures Trading Commission (``CFTC'') (collectively, ``the Commissions''), in consultation with the Board of Governors of the Federal Reserve System, shall jointly further define certain key terms (specifically, ``swap'', ``security-based swap'', ``swap dealer'', ``security-based swap dealer'', ``major swap participant'', ``major security-based swap participant'', ``eligible contract participant'', and ``security-based swap agreement''), and shall jointly prescribe regulations regarding ``mixed swaps,'' as that term is used in Title VII of the Dodd-Frank Act. To assist the SEC and CFTC in further defining such terms, the Commissions are issuing this Notice and request for public comment.
Joint Public Roundtable on Governance and Conflicts of Interest in the Clearing and Listing of Swaps and Security-Based Swaps
On August 20, 2010, commencing at 9 a.m. and ending at 12 p.m., staff of the Agencies will hold a public roundtable discussion at which invited participants will discuss governance and conflicts of interest in the context of certain authority that Sections 726 and 765 of the Dodd-Frank Wall Street Reform and Consumer Protection Act (the ``Act'') granted to the Agencies respectively. The discussion will be open to the public with seating on a first-come, first-served basis. Members of the public may also listen by telephone. Call-in participants should be prepared to provide their first name, last name, and affiliation. The information for the conference call is set forth below.
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