Securities and Exchange Commission January 2011 – Federal Register Recent Federal Regulation Documents

Results 101 - 135 of 135
Registration of Municipal Advisors
Document Number: 2010-32445
Type: Proposed Rule
Date: 2011-01-06
Agency: Securities and Exchange Commission, Agencies and Commissions
Section 975 of Title IX of the Dodd-Frank Wall Street Reform and Consumer Protection Act (``Dodd-Frank Act'') amended Section 15B of the Securities Exchange Act of 1934 (as amended, the ``Exchange Act'') to require municipal advisors, as defined below, to register with the Securities and Exchange Commission (``Commission'' or ``SEC'') effective October 1, 2010. To enable municipal advisors to temporarily satisfy this requirement, the Commission adopted an interim final temporary rule and form, Exchange Act rule 15Ba2-6T and Form MA-T, effective October 1, 2010. Rule 15Ba2-6T will expire on December 31, 2011. The Commission is proposing new rules 15Ba1-1 through 15Ba1-7 and new Forms MA, MA-I, MA-W, and MA-NR under the Exchange Act. These proposed rules and forms are designed to give effect to provisions of Title IX of the Dodd-Frank Act that, among other things, would establish a permanent registration regime with the Commission for municipal advisors and would impose certain record-keeping requirements on such advisors.
Submission for OMB Review; Comment Request
Document Number: 2010-33271
Type: Notice
Date: 2011-01-05
Agency: Securities and Exchange Commission, Agencies and Commissions
Sunshine Act Meeting
Document Number: 2010-33261
Type: Notice
Date: 2011-01-04
Agency: Securities and Exchange Commission, Agencies and Commissions
Amendments To Form ADV; Extension of Compliance Date
Document Number: 2010-33142
Type: Rule
Date: 2011-01-04
Agency: Securities and Exchange Commission, Agencies and Commissions
The Securities and Exchange Commission is extending the compliance date for Part 2B of Form ADV, the brochure supplement, and for certain rule provisions that relate to the delivery of brochure supplements. The Commission is extending the compliance date generally for four months to provide certain investment advisers additional time to design, test and implement systems and controls to satisfy their obligations to prepare and deliver brochure supplements.
MetLife Insurance Company of Connecticut, et al.
Document Number: 2010-33117
Type: Notice
Date: 2011-01-04
Agency: Securities and Exchange Commission, Agencies and Commissions
iShares Trust, et al.; Notice of Application
Document Number: 2010-33116
Type: Notice
Date: 2011-01-04
Agency: Securities and Exchange Commission, Agencies and Commissions
Summary of Application: Applicants request an order that permits: (a) Series o SUMMARY: f certain actively managed open-end management investment companies to issue shares (``Shares'') redeemable in large aggregations only (``Creation Units''); (b) secondary market transactions in Shares to occur at negotiated market prices; (c) certain series to pay redemption proceeds, under certain circumstances, more than seven days from the tender of Shares for redemption; and (d) certain affiliated persons of the series to deposit securities into, and receive securities from, the series in connection with the purchase and redemption of Creation Units.
Submission for OMB Review; Comment Request
Document Number: 2010-33113
Type: Notice
Date: 2011-01-04
Agency: Securities and Exchange Commission, Agencies and Commissions
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