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

Sunshine Act Meeting
Document Number: 2011-7731
Type: Notice
Date: 2011-03-31
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: 2011-7516
Type: Notice
Date: 2011-03-31
Agency: Securities and Exchange Commission, Agencies and Commissions
Each applicant seeks an order declaring that it has ceased to be an investment company. On June 1, 2010, each applicant transferred its assets to a corresponding series of AIM Counselor Series Trust, based on net asset value. Expenses of approximately $1,244,560, $93,704, $73,457, $566,552, $151,484, $434,071, and $92,108, respectively, incurred in connection with the reorganizations were paid by Morgan Stanley Investment Advisors Inc., applicants' investment adviser, and Invesco Advisers, Inc. Filing Date: The applications were filed on March 4, 2011. Applicants' Address: c/o Morgan Stanley Investment Advisors Inc., 522 Fifth Ave., New York, NY 10036.
In the Matter of Euro Solar Parks, Inc.; Order of Suspension of Trading
Document Number: 2011-7572
Type: Notice
Date: 2011-03-30
Agency: Securities and Exchange Commission, Agencies and Commissions
American Family Life Insurance Company, et al.
Document Number: 2011-7418
Type: Notice
Date: 2011-03-30
Agency: Securities and Exchange Commission, Agencies and Commissions
Simple Alternatives, LLC and The RBB Fund, Inc.; Notice of Application
Document Number: 2011-7417
Type: Notice
Date: 2011-03-30
Agency: Securities and Exchange Commission, Agencies and Commissions
Sunshine Act Meeting
Document Number: 2011-7342
Type: Notice
Date: 2011-03-28
Agency: Securities and Exchange Commission, Agencies and Commissions
TIAA-CREF Life Insurance Company, et al.
Document Number: 2011-7152
Type: Notice
Date: 2011-03-28
Agency: Securities and Exchange Commission, Agencies and Commissions
Submission for OMB Review; Comments Requested
Document Number: 2011-7151
Type: Notice
Date: 2011-03-28
Agency: Securities and Exchange Commission, Agencies and Commissions
Staff Accounting Bulletin No. 114
Document Number: 2011-5584
Type: Rule
Date: 2011-03-28
Agency: Securities and Exchange Commission, Agencies and Commissions
This Staff Accounting Bulletin (SAB) revises or rescinds portions of the interpretive guidance included in the codification of the Staff Accounting Bulletin Series. This update is intended to make the relevant interpretive guidance consistent with current authoritative accounting guidance issued as part of the Financial Accounting Standards Board's Accounting Standards Codification. The principal changes involve revision or removal of accounting guidance references and other conforming changes to ensure consistency of referencing throughout the SAB Series.
Order Cancelling Registrations of Certain Transfer Agents
Document Number: 2011-7100
Type: Notice
Date: 2011-03-25
Agency: Securities and Exchange Commission, Agencies and Commissions
Rule 17Ad-17; Transfer Agents', Brokers', and Dealers' Obligation To Search for Lost Securityholders; Paying Agents' Obligation To Search for Missing Securityholders
Document Number: 2011-6940
Type: Proposed Rule
Date: 2011-03-25
Agency: Securities and Exchange Commission, Agencies and Commissions
The Dodd-Frank Wall Street Reform and Consumer Protection Act (``Dodd-Frank Act'') amended the Securities Exchange Act of 1934 (``Exchange Act'') by adding a subsection entitled, ``Due Diligence for the Delivery of Dividends, Interest, and Other Valuable Property Rights.'' The amendment directs the Securities and Exchange Commission (``Commission'') to revise Exchange Act Rule 17Ad-17, ``Transfer Agents' Obligation to Search for Lost Securityholders'' to: extend to brokers and dealers the requirement of Rule 17Ad-17 to search for lost securityholders; add to Rule 17Ad-17 a requirement that ``paying agents'' notify ``missing security holders'' in writing that the paying agent has sent the missing security holder a check that has not yet been negotiated; add to Rule 17Ad-17 an exclusion for paying agents from the notification requirements when the value of the not yet negotiated check is less than $25; and add to Rule 17Ad-17 a provision clarifying that the written notification requirements shall have no effect on State escheatment laws. The amendment also requires the Commission to ``adopt such rules, regulations, and orders necessary to implement this subsection no later than 1 year after the date of enactment of this subsection.'' The Commission is publishing for comment proposed amendments to Rule 17Ad-17 to implement the statutory requirements.
Sunshine Act Meeting
Document Number: 2011-7145
Type: Notice
Date: 2011-03-24
Agency: Securities and Exchange Commission, Agencies and Commissions
Sunshine Act Meeting
Document Number: 2011-7143
Type: Notice
Date: 2011-03-24
Agency: Securities and Exchange Commission, Agencies and Commissions
In the Matter of Heli Electronics Corp., Order of Suspension of Trading
Document Number: 2011-6943
Type: Notice
Date: 2011-03-23
Agency: Securities and Exchange Commission, Agencies and Commissions
Proposed Collection; Comment Request
Document Number: 2011-6810
Type: Notice
Date: 2011-03-23
Agency: Securities and Exchange Commission, Agencies and Commissions
Proposed Collection; Comment Request
Document Number: 2011-6809
Type: Notice
Date: 2011-03-23
Agency: Securities and Exchange Commission, Agencies and Commissions
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
Sunshine Act Meeting
Document Number: 2011-6706
Type: Notice
Date: 2011-03-21
Agency: Securities and Exchange Commission, Agencies and Commissions
Proposed Collection; Comment Request
Document Number: 2011-6513
Type: Notice
Date: 2011-03-21
Agency: Securities and Exchange Commission, Agencies and Commissions
Proposed Collection; Comment Request
Document Number: 2011-6367
Type: Notice
Date: 2011-03-18
Agency: Securities and Exchange Commission, Agencies and Commissions
Proposed Collection; Comment Request
Document Number: 2011-6366
Type: Notice
Date: 2011-03-18
Agency: Securities and Exchange Commission, Agencies and Commissions