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

Sunshine Act Meeting
Document Number: 2011-13530
Type: Notice
Date: 2011-05-31
Agency: Securities and Exchange Commission, Agencies and Commissions
Submission for OMB Review; Comment Request
Document Number: 2011-13118
Type: Notice
Date: 2011-05-27
Agency: Securities and Exchange Commission, Agencies and Commissions
Submission for OMB Review; Comment Request
Document Number: 2011-13117
Type: Notice
Date: 2011-05-27
Agency: Securities and Exchange Commission, Agencies and Commissions
Submission for OMB Review; Comment Request
Document Number: 2011-13113
Type: Notice
Date: 2011-05-27
Agency: Securities and Exchange Commission, Agencies and Commissions
Submission for OMB Review; Comment Request
Document Number: 2011-13112
Type: Notice
Date: 2011-05-27
Agency: Securities and Exchange Commission, Agencies and Commissions
Sunshine Act Meeting
Document Number: 2011-12878
Type: Notice
Date: 2011-05-24
Agency: Securities and Exchange Commission, Agencies and Commissions
Sunshine Act Meeting
Document Number: 2011-12862
Type: Notice
Date: 2011-05-24
Agency: Securities and Exchange Commission, Agencies and Commissions
Privacy Act of 1974: Systems of Records
Document Number: 2011-12699
Type: Notice
Date: 2011-05-24
Agency: Securities and Exchange Commission, Agencies and Commissions
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
Document Number: 2011-12694
Type: Proposed Rule
Date: 2011-05-24
Agency: Securities and Exchange Commission, Agencies and Commissions
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
Document Number: 2011-11008
Type: Proposed Rule
Date: 2011-05-23
Agency: Commodity Futures Trading Commission, Agencies and Commissions, Securities and Exchange Commission
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
Document Number: 2011-12280
Type: Rule
Date: 2011-05-19
Agency: Securities and Exchange Commission, Agencies and Commissions
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.
Submission for OMB Review; Comment Request
Document Number: 2011-12208
Type: Notice
Date: 2011-05-18
Agency: Securities and Exchange Commission, Agencies and Commissions
Submission for OMB Review; Comment Request
Document Number: 2011-12207
Type: Notice
Date: 2011-05-18
Agency: Securities and Exchange Commission, Agencies and Commissions
Submission for OMB Review; Comment Request
Document Number: 2011-12206
Type: Notice
Date: 2011-05-18
Agency: Securities and Exchange Commission, Agencies and Commissions
Submission for OMB Review; Comment Request
Document Number: 2011-12205
Type: Notice
Date: 2011-05-18
Agency: Securities and Exchange Commission, Agencies and Commissions
Submission for OMB Review; Comment Request
Document Number: 2011-12204
Type: Notice
Date: 2011-05-18
Agency: Securities and Exchange Commission, Agencies and Commissions
Submission for OMB Review; Comment Request
Document Number: 2011-12203
Type: Notice
Date: 2011-05-18
Agency: Securities and Exchange Commission, Agencies and Commissions
Submission for OMB Review; Comment Request
Document Number: 2011-12201
Type: Notice
Date: 2011-05-18
Agency: Securities and Exchange Commission, Agencies and Commissions
Submission for OMB Review; Comment Request
Document Number: 2011-12155
Type: Notice
Date: 2011-05-18
Agency: Securities and Exchange Commission, Agencies and Commissions
Sunshine Act Meeting
Document Number: 2011-12191
Type: Notice
Date: 2011-05-17
Agency: Securities and Exchange Commission, Agencies and Commissions
Notice of an Application of BF Enterprises, Inc. Under Section 12(h) of the Securities Exchange Act of 1934
Document Number: 2011-12064
Type: Notice
Date: 2011-05-17
Agency: Securities and Exchange Commission, Agencies and Commissions