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

Results 151 - 169 of 169
Submission for OMB Review; Comment Request
Document Number: 2011-13857
Type: Notice
Date: 2011-06-06
Agency: Securities and Exchange Commission, Agencies and Commissions
Submission for OMB Review; Comment Request
Document Number: 2011-13856
Type: Notice
Date: 2011-06-06
Agency: Securities and Exchange Commission, Agencies and Commissions
Uniontown Energy, Inc.; Order of Suspension of Trading
Document Number: 2011-13880
Type: Notice
Date: 2011-06-03
Agency: Securities and Exchange Commission, Agencies and Commissions
Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 1940
Document Number: 2011-13751
Type: Notice
Date: 2011-06-03
Agency: Securities and Exchange Commission, Agencies and Commissions
Applicant seeks an order declaring that it has ceased to be an investment company. On August 31, 2009, applicant made a final liquidating distribution to its shareholders, based on net asset value. Expenses of $2,700 incurred in connection with the liquidation were paid by The Dreyfus Corporation, applicant's investment adviser. Filing Dates: The application was filed on April 6, 2011, and amended on May 9, 2011. Applicant's Address: c/o The Dreyfus Corporation, 200 Park Ave., New York, NY 10166.
Disqualification of Felons and Other “Bad Actors” From Rule 506 Offerings
Document Number: 2011-13370
Type: Proposed Rule
Date: 2011-06-01
Agency: Securities and Exchange Commission, Agencies and Commissions
We are proposing amendments to our rules to implement Section 926 of the Dodd-Frank Wall Street Reform and Consumer Protection Act. Section 926 requires us to adopt rules that disqualify securities offerings involving certain ``felons and other `bad actors''' from reliance on the safe harbor from Securities Act registration provided by Rule 506 of Regulation D. The rules must be ``substantially similar'' to Rule 262, the disqualification provisions of Regulation A under the Securities Act, and must also cover matters enumerated in Section 926 (including certain state regulatory orders and bars).