Securities and Exchange Commission March 22, 2011 – Federal Register Recent Federal Regulation Documents

General Rules and Regulations, Securities Act of 1933
Document Number: 2011-6830
Type: Rule
Date: 2011-03-22
Agency: Securities and Exchange Commission, Agencies and Commissions
Beneficial Ownership Reporting Requirements and Security-Based Swaps
Document Number: 2011-6685
Type: Proposed Rule
Date: 2011-03-22
Agency: Securities and Exchange Commission, Agencies and Commissions
To preserve the application of our existing beneficial ownership rules to persons who purchase or sell security-based swaps after the effective date of new Section 13(o) of the Securities Exchange Act of 1934, we are proposing to readopt without change the relevant portions of Rules 13d-3 and 16a-1. The proposals are intended to clarify that following the July 16, 2011 statutory effective date of Section 13(o), which was added by Section 766 of the Dodd-Frank Wall Street Reform and Consumer Protection Act (``Dodd-Frank Act''), persons who purchase or sell security-based swaps will remain within the scope of these rules to the same extent as they are now.
Proposed Collection; Comment Request
Document Number: 2011-6656
Type: Notice
Date: 2011-03-22
Agency: Securities and Exchange Commission, Agencies and Commissions
Proposed Collection; Comment Request
Document Number: 2011-6655
Type: Notice
Date: 2011-03-22
Agency: Securities and Exchange Commission, Agencies and Commissions