Securities and Exchange Commission July 2011 – Federal Register Recent Federal Regulation Documents
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Joint Public Roundtable on International Issues Relating to the Implementation of Title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act
On Monday, August 1, 2011, commencing at 9 a.m. and ending at 4 p.m., staff of Commodity Futures Trading Commission (``CFTC'') and Securities and Exchange Commission (``SEC'') (each, an ``Agency,'' and collectively, the ``Agencies'') will hold a public roundtable meeting at which invited participants will discuss various international issues related to the implementation of Title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act.
Acceptance of Public Submissions for a Study on International Swap Regulation Mandated by Section 719(c) of the Dodd-Frank Wall Street Reform and Consumer Protection Act
Section 719(c) of the Dodd-Frank Wall Street Reform and Consumer Protection Act (Dodd-Frank Act) requires the Commodity Futures Trading Commission (CFTC) and the Securities and Exchange Commission (SEC and, together with the CFTC, the Commissions) jointly to study and then report to Congress on swap regulation and clearinghouse regulation in the United States, Asia, and Europe and to identify areas of regulation that are similar and other areas of regulation that could be harmonized. The report also must identify major dealers, exchanges, clearinghouses, clearing members, and regulators in each geographic area and describe the major contracts (including trading volumes, clearing volumes, and notional values), methods for clearing swaps, and the systems used for setting margin in each geographic area. In connection with the study and report, the CFTC and SEC are issuing this request for information through public comment.
Technical Amendment to Commission Procedures for Filing Applications for Orders for Exemptive Relief Under Section 36 of the Exchange Act
The Securities and Exchange Commission (``SEC'' or ``Commission'') is making technical amendments to the rule by which applications for exemptive relief under section 36 of the Securities and Exchange Act of 1934 (``Exchange Act'') may be submitted electronically. The amendments are intended only to clarify and update references to an SEC Web site address and to eliminate certain formatting requirements.
BAC Home Loans Servicing, LP, et al.; Notice of Application and Temporary Order
Summary of Application: Applicants have received a temporary order exempting them from section 9(a) of the Act, with respect to an injunction entered against BAC Home Loans Servicing, LP (``HLS'') on May 31, 2011 by the United States District Court for the Central District of California (the ``Injunction''), until the Commission takes final action on an application for a permanent order. Applicants have requested a permanent order.
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