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

Credit Risk Retention
Document Number: 2011-8364
Type: Proposed Rule
Date: 2011-04-29
Agency: Federal Deposit Insurance Corporation, Agencies and Commissions, Federal Reserve System, Department of Housing and Urban Development, Securities and Exchange Commission, Office of the Comptroller of the Currency, Department of Treasury, Department of the Treasury, Federal Housing Finance Agency
The OCC, Board, FDIC, Commission, FHFA, and HUD (the Agencies) are proposing rules to implement the credit risk retention requirements of section 15G of the Securities Exchange Act of 1934 (15 U.S.C. 78o- 11), as added by section 941 of the Dodd-Frank Wall Street Reform and Consumer Protection Act. Section 15G generally requires the securitizer of asset-backed securities to retain not less than five percent of the credit risk of the assets collateralizing the asset-backed securities. Section 15G includes a variety of exemptions from these requirements, including an exemption for asset-backed securities that are collateralized exclusively by residential mortgages that qualify as ``qualified residential mortgages,'' as such term is defined by the Agencies by rule.
Proposed Collection; Comment Request
Document Number: 2011-10193
Type: Notice
Date: 2011-04-27
Agency: Securities and Exchange Commission, Agencies and Commissions
Proposed Collection; Comment Request
Document Number: 2011-10107
Type: Notice
Date: 2011-04-27
Agency: Securities and Exchange Commission, Agencies and Commissions
Russell Investment Management Company, et al.;
Document Number: 2011-9968
Type: Notice
Date: 2011-04-26
Agency: Securities and Exchange Commission, Agencies and Commissions
Joint Public Roundtable on Issues Related to the Schedule for Implementing Final Rules for Swaps and Security-Based Swaps Under the Dodd-Frank Wall Street Reform and Consumer Protection Act
Document Number: 2011-10158
Type: Proposed Rule
Date: 2011-04-26
Agency: Commodity Futures Trading Commission, Agencies and Commissions, Securities and Exchange Commission
On Monday, May 2, 2011, and Tuesday, May 3, 2011, commencing each day at 9:30 a.m. and ending at 4 p.m., staff of the Agencies will hold a public roundtable meeting at which invited participants will discuss various issues related to the schedule for implementing final rules for swaps and security-based swaps under the Dodd-Frank Wall Street Reform and Consumer Protection Act (the ``Act''). The discussion will be open to the public with seating on a first-come, first-served basis. Members of the public may also listen to the meeting by telephone. Call-in participants should be prepared to provide their first name, last name and affiliation. The information for the conference call is set forth below. U.S. Toll-Free: (866) 844-9416. International Toll: information on international dialing can be found at the following link: http://www.cftc.gov/PressRoom/ PressReleases/internationalnumbers021811.html. Conference ID: 1212444. A transcript of the public roundtable discussion will be published at http://www.cftc.gov/PressRoom/Events/2011/index.htm. The roundtable discussion will take place each day in the Conference Center at the CFTC's headquarters, Three Lafayette Centre, 1155 21st Street, NW., Washington, DC.
Sunshine Act Meetings
Document Number: 2011-9991
Type: Notice
Date: 2011-04-25
Agency: Securities and Exchange Commission, Agencies and Commissions
Sunshine Act Meeting
Document Number: 2011-10072
Type: Notice
Date: 2011-04-25
Agency: Securities and Exchange Commission, Agencies and Commissions
Sunshine Act Meeting
Document Number: 2011-10054
Type: Notice
Date: 2011-04-25
Agency: Securities and Exchange Commission, Agencies and Commissions
Comment Request on Existing Private and Public Efforts To Educate Investors
Document Number: 2011-9829
Type: Notice
Date: 2011-04-22
Agency: Securities and Exchange Commission, Agencies and Commissions
In connection with a study regarding financial literacy among investors as mandated by the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010 (the ``Dodd-Frank Act''), the Securities and Exchange Commission is requesting public comment on the effectiveness of existing private and public efforts to educate investors.
Proposed Collection; Comment Request
Document Number: 2011-9775
Type: Notice
Date: 2011-04-22
Agency: Securities and Exchange Commission, Agencies and Commissions
Submission for OMB Review; Comment Request
Document Number: 2011-9641
Type: Notice
Date: 2011-04-21
Agency: Securities and Exchange Commission, Agencies and Commissions
Submission for OMB Review; Comment Request
Document Number: 2011-9640
Type: Notice
Date: 2011-04-21
Agency: Securities and Exchange Commission, Agencies and Commissions
Proposed Collection; Comment Request
Document Number: 2011-9639
Type: Notice
Date: 2011-04-21
Agency: Securities and Exchange Commission, Agencies and Commissions
Submission for OMB Review; Comment Request
Document Number: 2011-9414
Type: Notice
Date: 2011-04-19
Agency: Securities and Exchange Commission, Agencies and Commissions
Sunshine Act Meeting
Document Number: 2011-9434
Type: Notice
Date: 2011-04-18
Agency: Securities and Exchange Commission, Agencies and Commissions
Submission for OMB Review; Comment Request
Document Number: 2011-9189
Type: Notice
Date: 2011-04-15
Agency: Securities and Exchange Commission, Agencies and Commissions
Submission for OMB Review; Comment Request
Document Number: 2011-9188
Type: Notice
Date: 2011-04-15
Agency: Securities and Exchange Commission, Agencies and Commissions
Submission for OMB Review; Comment Request
Document Number: 2011-9187
Type: Notice
Date: 2011-04-15
Agency: Securities and Exchange Commission, Agencies and Commissions
Submission for OMB Review; Comment Request
Document Number: 2011-9186
Type: Notice
Date: 2011-04-15
Agency: Securities and Exchange Commission, Agencies and Commissions