Securities and Exchange Commission May 13, 2011 – Federal Register Recent Federal Regulation Documents

Order of Suspension of Trading; City Network, Inc.
Document Number: 2011-11904
Type: Notice
Date: 2011-05-13
Agency: Securities and Exchange Commission, Agencies and Commissions
Investment Adviser Performance Compensation
Document Number: 2011-11801
Type: Proposed Rule
Date: 2011-05-13
Agency: Securities and Exchange Commission, Agencies and Commissions
The Securities and Exchange Commission (``Commission'' or ``SEC'') intends to issue an order that would adjust two dollar amount tests in the rule under the Investment Advisers Act of 1940 that permits investment advisers to charge performance based compensation to ``qualified clients.'' The adjustments would revise the dollar amount tests to account for the effects of inflation. The Commission is also proposing to amend the rule to: provide that the Commission will issue an order every five years adjusting for inflation the dollar amount tests; exclude the value of a person's primary residence from the test of whether a person has sufficient net worth to be considered a ``qualified client;'' and add certain transition provisions to the rule.
UBS AG., et al.; Notice of Application and Temporary Order
Document Number: 2011-11750
Type: Notice
Date: 2011-05-13
Agency: Securities and Exchange Commission, Agencies and Commissions