Securities and Exchange Commission May 2011 – Federal Register Recent Federal Regulation Documents
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Privacy Act of 1974: Systems of Records
In accordance with the requirements of the Privacy Act of 1974, as amended, 5 U.S.C. 552a, the Securities and Exchange Commission (``Commission'' or ``SEC'') proposes to establish three new systems of records and revise two existing systems of records. The three new systems of records are ``Tips, Complaints, and Referrals (TCR) Records (SEC-63)'', ``SEC Security in the Workplace Incident Records (SEC- 64)'', and ``Investor Response Information System (IRIS) (SEC-65).'' In a companion release published elsewhere in this issue of the Federal Register the Commission is issuing a Proposed Rule concurrent with this notice. Additionally, two existing systems of records are being revised: ``Personnel Management Code of Conduct and Employee Performance Files (SEC-38)'', last published in the Federal Register Volume 62, Number 176 on Thursday, September 11, 1997; and ``Enforcement Files (SEC-42)'', last published in the Federal Register Volume 67, Number 142 on Wednesday, July 24, 2002.
Privacy Act of 1974: Implementation and Amendment of Exemptions
Pursuant to the Privacy Act of 1974, as amended, the Securities and Exchange Commission (``Commission'' or ``SEC'') proposes to exempt portions of three new systems of records from provisions of the Privacy Act to the extent that the records contain investigatory materials compiled for law enforcement purposes. Additionally, the Commission proposes to make technical amendments to its Privacy Act regulation exempting specific systems of records from certain provisions of the Privacy Act. In a companion release published elsewhere in this issue, the Commission is giving concurrent notice of three new systems of records pursuant to the Privacy Act of 1974.
Further Definition of “Swap,” “Security-Based Swap,” and “Security-Based Swap Agreement”; Mixed Swaps; Security-Based Swap Agreement Recordkeeping
In accordance with section 712(a)(8), section 712(d)(1), sections 712(d)(2)(B) and (C), sections 721(b) and (c), and section 761(b) of the Dodd-Frank Wall Street Reform and Consumer Protection Act (``Dodd-Frank Act''), the Commodity Futures Trading Commission (``CFTC'') and the Securities and Exchange Commission (``SEC'') (collectively, ``Commissions''), in consultation with the Board of Governors of the Federal Reserve System (``Board''), are jointly issuing proposed rules and proposed interpretive guidance under the Commodity Exchange Act (``CEA'') and the Securities Exchange Act of 1934 (``Exchange Act'') to further define the terms ``swap,'' ``security-based swap,'' and ``security-based swap agreement'' (collectively, ``Product Definitions''), regarding ``mixed swaps,'' and governing books and records with respect to ``security-based swap agreements.''
Amendment to Procedures for Holding Funds in Dormant Filing Fee Accounts
The Securities and Exchange Commission is amending its procedures for holding funds in any filing fee account in which there has not been a deposit, withdrawal or other adjustment. The amendment extends the holding period from 180 days to three years, after which the Commission will initiate the return of funds to the account holder without any action by the account holder. As always, account holders may request a refund of such fees at any time.
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