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

Results 51 - 100 of 174
Incentive-Based Compensation Arrangements
Document Number: 2011-7937
Type: Proposed Rule
Date: 2011-04-14
Agency: Federal Deposit Insurance Corporation, Agencies and Commissions, Federal Reserve System, National Credit Union Administration, Securities and Exchange Commission, Office of the Comptroller of the Currency, Department of Treasury, Department of the Treasury, Office of Thrift Supervision, Federal Housing Finance Agency
The OCC, Board, FDIC, OTS, NCUA, SEC, and FHFA (the Agencies) are proposing rules to implement section 956 of the Dodd-Frank Wall Street Reform and Consumer Protection Act. The proposed rule would require the reporting of incentive-based compensation arrangements by a covered financial institution and prohibit incentive-based compensation arrangements at a covered financial institution that provide excessive compensation or that could expose the institution to inappropriate risks that could lead to material financial loss.
RINO International Corporation; Order of Suspension of Trading
Document Number: 2011-9060
Type: Notice
Date: 2011-04-13
Agency: Securities and Exchange Commission, Agencies and Commissions
Technical Amendment to Rule 19b-4: Filings With Respect to Proposed Rule Changes by Self-Regulatory Organizations
Document Number: 2011-8919
Type: Rule
Date: 2011-04-13
Agency: Securities and Exchange Commission, Agencies and Commissions
The Securities and Exchange Commission (``Commission'') is amending Rule 19b-4(a) under the Securities Exchange Act of 1934 (the ``Exchange Act'') so that references to ``business day'' in Section 19(b) of the Exchange Act and Rule 19b-4 thereunder refer to a day other than a Saturday, Sunday, Federal holiday, a day that the U.S. Office of Personnel Management (``OPM'') has announced that Federal agencies in the Washington, DC area are closed to the public, a day on which the Commission is subject to a Federal government shutdown in the event of a lapse in appropriations, or a day on which the Commission's Washington, DC office is otherwise not open for regular business.
National Life Insurance Company, et al.
Document Number: 2011-8731
Type: Notice
Date: 2011-04-13
Agency: Securities and Exchange Commission, Agencies and Commissions
MaxLife Fund Corp.; Order of Suspension of Trading
Document Number: 2011-8811
Type: Notice
Date: 2011-04-12
Agency: Securities and Exchange Commission, Agencies and Commissions