Securities and Exchange Commission 2010 – Federal Register Recent Federal Regulation Documents

Results 601 - 650 of 2,032
Agency Meeting
Document Number: 2010-23169
Type: Notice
Date: 2010-09-16
Agency: Securities and Exchange Commission, Agencies and Commissions
Tri-Continental Corporation, et al.; Notice of Application
Document Number: 2010-23113
Type: Notice
Date: 2010-09-16
Agency: Securities and Exchange Commission, Agencies and Commissions
Summary of Application: Applicants request an order to permit certain registered closed-end investment companies to make periodic distributions of long-term capital gains with respect to their common shares as often as monthly in any one taxable year, and as frequently as distributions are specified by or in accordance with the terms of any preferred shares. Applicants: Tri-Continental Corporation (``Tri-Continental''), RiverSource LaSalle International Real Estate Fund, Inc. (``RLIREF''), Seligman Premium Technology Growth Fund, Inc. (``SPTGF,'' together with Tri-Continental and RLIREF, the ``Funds''), and Columbia Management Investment Advisers, LLC (the ``Investment Adviser'').
Facilitating Shareholder Director Nominations
Document Number: 2010-22218
Type: Rule
Date: 2010-09-16
Agency: Securities and Exchange Commission, Agencies and Commissions
We are adopting changes to the Federal proxy rules to facilitate the effective exercise of shareholders' traditional State law rights to nominate and elect directors to company boards of directors. The new rules will require, under certain circumstances, a company's proxy materials to provide shareholders with information about, and the ability to vote for, a shareholder's, or group of shareholders', nominees for director. We believe that these rules will benefit shareholders by improving corporate suffrage, the disclosure provided in connection with corporate proxy solicitations, and communication between shareholders in the proxy process. The new rules apply only where, among other things, relevant state or foreign law does not prohibit shareholders from nominating directors. The new rules will require that specified disclosures be made concerning nominating shareholders or groups and their nominees. In addition, the new rules provide that companies must include in their proxy materials, under certain circumstances, shareholder proposals that seek to establish a procedure in the company's governing documents for the inclusion of one or more shareholder director nominees in the company's proxy materials. We also are adopting related changes to certain of our other rules and regulations, including the existing solicitation exemptions from our proxy rules and the beneficial ownership reporting requirements.
Adoption of Updated EDGAR Filer Manual
Document Number: 2010-22983
Type: Rule
Date: 2010-09-15
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 support the electronic filing of Form N-MFP (Monthly Schedule of Portfolio Holdings of Money Market Funds) and any amendments to the form. The EDGAR system is scheduled to be upgraded to support this functionality on August 30, 2010. The revisions to the Filer Manual reflect changes within Volume II entitled EDGAR Filer Manual, Volume II: ``EDGAR Filing,'' Version 15 (August 2010). The updated manual will be incorporated by reference into the Code of Federal Regulations.
Sunshine Act Meeting
Document Number: 2010-22949
Type: Notice
Date: 2010-09-14
Agency: Securities and Exchange Commission, Agencies and Commissions
Sunshine Act; Notice of Meeting
Document Number: 2010-22900
Type: Notice
Date: 2010-09-14
Agency: Securities and Exchange Commission, Agencies and Commissions
Joint Public Roundtable To Discuss Data for Swaps and Security-Based Swaps, Swap Data Repositories, Security-Based Swap Data Repositories, and Real-Time Public Reporting
Document Number: 2010-22727
Type: Notice
Date: 2010-09-13
Agency: Securities and Exchange Commission, Agencies and Commissions, Commodity Futures Trading Commission
On September 14, 2010, commencing at 8:45 a.m. and ending at 5:30 p.m., staff of the Agencies will hold a public roundtable discussion at which invited participants will discuss data for swaps and security-based swaps, swap data repositories, security-based swap data repositories, and real-time public reporting in the context of certain authority that Sections 727, 728, and 763 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. US/Canada Toll-Free: (866) 312-4390. International Toll: (404) 537-3379. Conference ID: 98801653. A transcript of the public roundtable discussion will be published on the following CFTC pages: Swap Data Repositories Registration Standards and Core Principle Rulemaking, Interpretation & Guidance; Data Recordkeeping & Reporting Requirements; and Real Time Reporting, available at https://www.cftc.gov/LawRegulation/ OTCderivatives/otc_rules.html. The roundtable discussion will take place in Lobby Level Hearing Room (Room 1000) at the CFTC's headquarters at Three Lafayette Centre, 1155 21st Street, NW., Washington, DC 20581.
Joint Public Roundtable on Swap Execution Facilities and Security-Based Swap Execution Facilities
Document Number: 2010-22725
Type: Notice
Date: 2010-09-13
Agency: Securities and Exchange Commission, Agencies and Commissions, Commodity Futures Trading Commission
On September 15, 2010, commencing at 9 a.m. and ending at 12:30 p.m., staff of the Agencies will hold a public roundtable discussion at which invited participants will discuss swap execution facilities and security-based swap execution facilities in the context of certain authority that Sections 733 and 763 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. US/Canada Toll-Free: 877-732-6422 Conference ID: 7772 A transcript of the public roundtable discussion will be published on the SEC's mandatory exchange trading and swap execution facilities rulemaking page at https://www.sec.gov/spotlight/ regreformcomments.shtml. The transcript also will be available by a link on the CFTC's SEF Registration Requirements and Core Principle Rulemaking, Interpretation & Guidance Web page at https://www.cftc.gov/ LawRegulation/OTCDerivatives/otc_rules.html. The roundtable discussion will take place in the Auditorium (Room L-002) at the SEC Headquarters located at 100 F Street, NE., Washington, DC.
Sunshine Act Meetings
Document Number: 2010-22751
Type: Notice
Date: 2010-09-10
Agency: Securities and Exchange Commission, Agencies and Commissions
State of the Municipal Securities Market Field Hearings
Document Number: 2010-22628
Type: Notice
Date: 2010-09-10
Agency: Securities and Exchange Commission, Agencies and Commissions
On May 7, 2010, the Chairman of the Securities and Exchange Commission Mary L. Schapiro, announced that Commissioner Elisse B. Walter would lead an effort to gather facts, opinions and analyses about the municipal securities market by holding a series of field hearings across the country. A broad array of municipal market participants representing diverse viewpoints will be invited to participate in the field hearings by sharing their perspectives on important topics relating to the municipal securities market.
Transamerica Asset Management, Inc. et al.; Notice of Application
Document Number: 2010-22623
Type: Notice
Date: 2010-09-10
Agency: Securities and Exchange Commission, Agencies and Commissions
Tudor Employee Investment Fund LLC and Tudor Investment Corporation; Notice of Application
Document Number: 2010-22622
Type: Notice
Date: 2010-09-10
Agency: Securities and Exchange Commission, Agencies and Commissions
Summary of Application: Applicants request an order to exempt certain limited liability companies and other investment vehicles formed for the benefit of eligible employees of Tudor Investment Corporation (``Tudor'') and its affiliates from certain provisions of the Act. Each limited liability company and other investment vehicle will be an ``employees' securities company'' within the meaning of section 2(a)(13) of the Act. Applicants: Tudor Employee Investment Fund LLC (``Investment Fund'') and Tudor.
Submission for OMB Review; Comment Request
Document Number: 2010-22602
Type: Notice
Date: 2010-09-10
Agency: Securities and Exchange Commission, Agencies and Commissions
List of Rules To Be Reviewed Pursuant to the Regulatory Flexibility Act
Document Number: 2010-22574
Type: Proposed Rule
Date: 2010-09-10
Agency: Securities and Exchange Commission, Agencies and Commissions
The Securities and Exchange Commission is today publishing a list of rules to be reviewed pursuant to Section 610 of the Regulatory Flexibility Act. The list is published to provide the public with notice that these rules are scheduled for review by the agency and to invite public comment on them.
Submission for OMB Review; Comment Request
Document Number: 2010-22563
Type: Notice
Date: 2010-09-10
Agency: Securities and Exchange Commission, Agencies and Commissions
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