Securities and Exchange Commission June 14, 2011 – Federal Register Recent Federal Regulation Documents

Sunshine Act Meeting
Document Number: 2011-14783
Type: Notice
Date: 2011-06-14
Agency: Securities and Exchange Commission, Agencies and Commissions
Joint Public Roundtable on Proposed Dealer and Major Participant Definitions of Title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act
Document Number: 2011-14729
Type: Notice
Date: 2011-06-14
Agency: Securities and Exchange Commission, Agencies and Commissions, Commodity Futures Trading Commission
On Thursday, June 16, 2011, commencing at 9 a.m. and ending at 3:45 p.m., staff of the Agencies will hold a public roundtable meeting at which invited participants will discuss various issues related to the proposed definitions of the terms ``swap dealer,'' ``security-based swap dealer,'' ``major swap participant,'' and ``major security-based swap participant'' under Title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act (the ``Act''). See 75 FR 80174 (Dec. 21, 2010). 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: 7731946. 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 in the Conference Center at the CFTC's headquarters, Three Lafayette Centre, 1155 21st Street, NW., Washington, DC.
Proposed Collection; Comment Request
Document Number: 2011-14669
Type: Notice
Date: 2011-06-14
Agency: Securities and Exchange Commission, Agencies and Commissions
Beneficial Ownership Reporting Requirements and Security-Based Swaps
Document Number: 2011-14572
Type: Rule
Date: 2011-06-14
Agency: Securities and Exchange Commission, Agencies and Commissions
We are readopting without change the relevant portions of Rules 13d-3 and 16a-1. Readoption of these provisions will preserve the application of our existing beneficial ownership rules to persons who purchase or sell security-based swaps after the effective date of new Section 13(o) of the Securities Exchange Act of 1934. Section 13(o) provides that a person shall be deemed a beneficial owner of an equity security based on the purchase or sale of a security-based swap only to the extent we adopt rules after making certain determinations with respect to the purchase or sale of security-based swaps. After making the necessary determinations, we are readopting the relevant portions of Rules 13d-3 and 16a-1 to confirm that, following the July 16, 2011 statutory effective date of Section 13(o), persons who purchase or sell security-based swaps will remain within the scope of these rules to the same extent as they are now.