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

Results 301 - 350 of 2,032
Regulation SHO
Document Number: 2010-28327
Type: Rule
Date: 2010-11-09
Agency: Securities and Exchange Commission, Agencies and Commissions
The Commission is extending for a limited period of time the compliance date for the amendments to Rule 201 and Rule 200(g) of Regulation SHO under the Securities Exchange Act of 1934 (``Exchange Act''). Rule 201 adopts a short sale-related circuit breaker that, if triggered, will impose a restriction on the prices at which securities may be sold short (``short sale price test restriction''). The amendments to Rule 200(g) provide that a broker-dealer may mark certain qualifying short sale orders ``short exempt.'' The Commission is extending the compliance date for the amendments to Rule 201 and Rule 200(g) to give certain exchanges additional time to modify their current procedures for conducting single-priced opening, reopening, and closing transactions for covered securities that have triggered Rule 201's circuit breaker in a manner that is consistent with the goals and requirements of Rule 201. Further, the extended compliance period will give industry participants additional time for programming and testing for compliance with the requirements of the Rule.
8000, Inc.; Order of Suspension of Trading
Document Number: 2010-28241
Type: Notice
Date: 2010-11-08
Agency: Securities and Exchange Commission, Agencies and Commissions
Submission for OMB Review; Comment Request
Document Number: 2010-28180
Type: Notice
Date: 2010-11-08
Agency: Securities and Exchange Commission, Agencies and Commissions
President's Working Group Report on Money Market Fund Reform
Document Number: 2010-28177
Type: Notice
Date: 2010-11-08
Agency: Securities and Exchange Commission, Agencies and Commissions
The Securities and Exchange Commission (``Commission'' or ``SEC'') is seeking comment on the options discussed in the report presenting the results of the President's Working Group on Financial Markets' study of possible money market fund reforms. Public comments on the options discussed in this report will help inform consideration of reform proposals addressing money market funds' susceptibility to runs.
Prohibition Against Fraud, Manipulation, and Deception in Connection With Security-Based Swaps
Document Number: 2010-28136
Type: Proposed Rule
Date: 2010-11-08
Agency: Securities and Exchange Commission, Agencies and Commissions
The Securities and Exchange Commission (``Commission'') is proposing for comment a new rule under the Securities Exchange Act of 1934 (``Exchange Act'') that is intended to prevent fraud, manipulation, and deception in connection with the offer, purchase or sale of any security-based swap, the exercise of any right or performance of any obligation under a security-based swap, or the avoidance of such exercise or performance.
Sunshine Act Meeting.
Document Number: 2010-28140
Type: Notice
Date: 2010-11-05
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: 2010-27861
Type: Notice
Date: 2010-11-04
Agency: Securities and Exchange Commission, Agencies and Commissions
Applicant seeks an order declaring that it has ceased to be an investment company. Applicant has never made a public offering of its securities and does not propose to make a public offering or engage in business of any kind. Filing Dates: The application was filed on October 13, 2010, and amended on October 25, 2010. Applicant's Address: 200 Berkeley St., Boston, MA 02116.
Notice of Intention To Cancel Registrations of Certain Transfer Agents
Document Number: 2010-27857
Type: Notice
Date: 2010-11-04
Agency: Securities and Exchange Commission, Agencies and Commissions
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