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

Results 51 - 100 of 169
Highmark Funds and Highmark Capital Management, Inc.
Document Number: 2011-15552
Type: Notice
Date: 2011-06-22
Agency: Securities and Exchange Commission, Agencies and Commissions
Temporary Exemptions and Other Temporary Relief, Together With Information on Compliance Dates for New Provisions of the Securities Exchange Act of 1934 Applicable to Security-Based Swaps
Document Number: 2011-15432
Type: Rule
Date: 2011-06-22
Agency: Securities and Exchange Commission, Agencies and Commissions
The Securities and Exchange Commission (``Commission'') is issuing an exemptive order granting temporary exemptive relief and other temporary relief from compliance with certain provisions of the Securities Exchange Act of 1934 (``Exchange Act'') concerning security- based swaps. The Commission also is providing guidance regarding compliance with other provisions of the Exchange Act concerning security-based swaps that were amended or added by the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010 (``Dodd-Frank Act'') and requesting comments on such guidance and the temporary relief granted.
Sunshine Act Meeting
Document Number: 2011-15271
Type: Notice
Date: 2011-06-17
Agency: Securities and Exchange Commission, Agencies and Commissions
Voice One Corp.; Order of Suspension of Trading
Document Number: 2011-15196
Type: Notice
Date: 2011-06-17
Agency: Securities and Exchange Commission, Agencies and Commissions
Delegation of Authority to the Director of Its Division of Enforcement
Document Number: 2011-15030
Type: Rule
Date: 2011-06-17
Agency: Securities and Exchange Commission, Agencies and Commissions
The Securities and Exchange Commission (``Commission'') is amending its rules to delegate authority to the Director of the Division of Enforcement (``Division'') to issue witness immunity orders to compel individuals to give testimony or provide other information. This delegation is intended to conserve Commission resources, enhance the Division's ability to detect violations of the Federal securities laws, increase the effectiveness and efficiency of the Division's investigations, and improve the success of the Commission's enforcement actions.
Submission for OMB Review; Comment Request
Document Number: 2011-14988
Type: Notice
Date: 2011-06-16
Agency: Securities and Exchange Commission, Agencies and Commissions
Allianz Life Insurance Company of North America, et al; Notice of Application
Document Number: 2011-14895
Type: Notice
Date: 2011-06-16
Agency: Securities and Exchange Commission, Agencies and Commissions
Country Investors Life Assurance Company, et al.
Document Number: 2011-14859
Type: Notice
Date: 2011-06-16
Agency: Securities and Exchange Commission, Agencies and Commissions
Applicants seek an order pursuant to Section 26(c) of the 1940 Act approving the substitution of: (1) Shares of the Fidelity VIP Index 500 Portfolio (``Replacement Portfolio A'') of the Fidelity Variable Insurance Products Funds II (the ``Fidelity Fund II'') for shares of the COUNTRY VP Growth Fund (``Replaced Portfolio A'') of the COUNTRY Mutual Funds Trust (the ``COUNTRY Fund''); and (2) shares of the Fidelity VIP Investment Grade Bond Portfolio (``Replacement Portfolio B'') of the Fidelity Variable Insurance Products Fund V (the ``Fidelity Fund V'') for shares of the COUNTRY VP Bond Fund (``Replaced Portfolio B'') of the COUNTRY Fund. Shares of Replacement Portfolio A, Replacement Portfolio B, Replaced Portfolio A, and Replaced Portfolio B currently are held by the Life Account and the Annuity Account (each an ``Account,'' together, the ``Accounts'') to support variable life insurance or variable annuity contracts, respectively, issued by the Company (each a ``Contract,'' collectively, the ``Contracts'').
Precidian ETFs Trust, et al.; Notice of Application
Document Number: 2011-14843
Type: Notice
Date: 2011-06-15
Agency: Securities and Exchange Commission, Agencies and Commissions
Summary of Application: Applicants request an order that permits: (a) Certain open-end management investment companies or series thereof to issue shares (``Shares'') redeemable in large aggregations only (``Creation Units''); (b) secondary market transactions in Shares to occur at negotiated market prices; (c) certain series to pay redemption proceeds, under certain circumstances, more than seven days from the tender of Shares for redemption; (d) certain affiliated persons of the series to deposit securities into, and receive securities from, the series in connection with the purchase and redemption of Creation Units; and (e) certain registered management investment companies and unit investment trusts outside of the same group of investment companies as the series to acquire Shares.
Proposed Collection; Comment Request
Document Number: 2011-14782
Type: Notice
Date: 2011-06-15
Agency: Securities and Exchange Commission, Agencies and Commissions
Exemptions for Security-Based Swaps Issued by Certain Clearing Agencies
Document Number: 2011-14717
Type: Proposed Rule
Date: 2011-06-15
Agency: Securities and Exchange Commission, Agencies and Commissions
We are proposing exemptions under the Securities Act of 1933, the Securities Exchange Act of 1934, and the Trust Indenture Act of 1939 for security-based swaps issued by certain clearing agencies satisfying certain conditions. The proposed rules would exempt transactions by clearing agencies in these security-based swaps from all provisions of the Securities Act, other than the Section 17(a) anti-fraud provisions, as well as exempt these security-based swaps from Exchange Act registration requirements and from the provisions of the Trust Indenture Act, provided certain conditions are met.
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