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

Results 151 - 172 of 172
Delegation of Authority to the Director of Its Division of Enforcement
Document Number: 2011-16864
Type: Rule
Date: 2011-07-07
Agency: Securities and Exchange Commission, Agencies and Commissions
The Commission is amending its rules to delegate authority to
Regulatory Flexibility Agenda
Document Number: 2011-15505
Type: Proposed Rule
Date: 2011-07-07
Agency: Securities and Exchange Commission, Agencies and Commissions
The Securities and Exchange Commission is publishing an agenda
Sunshine Act Meeting
Document Number: 2011-16951
Type: Notice
Date: 2011-07-06
Agency: Securities and Exchange Commission, Agencies and Commissions
J.P. Morgan Securities LLC, et al.; Notice of Application and Temporary Order
Document Number: 2011-16818
Type: Notice
Date: 2011-07-06
Agency: Securities and Exchange Commission, Agencies and Commissions
Submission for OMB Review; Comment Request
Document Number: 2011-16765
Type: Notice
Date: 2011-07-06
Agency: Securities and Exchange Commission, Agencies and Commissions
Proposed Collection; Comment Request
Document Number: 2011-16764
Type: Notice
Date: 2011-07-06
Agency: Securities and Exchange Commission, Agencies and Commissions
Exemptions for Advisers to Venture Capital Funds, Private Fund Advisers With Less Than $150 Million in Assets Under Management, and Foreign Private Advisers
Document Number: 2011-16118
Type: Rule
Date: 2011-07-06
Agency: Securities and Exchange Commission, Agencies and Commissions
The Securities and Exchange Commission (the ``Commission'') is adopting rules to implement new exemptions from the registration requirements of the Investment Advisers Act of 1940 for advisers to certain privately offered investment funds; these exemptions were enacted as part of the Dodd-Frank Wall Street Reform and Consumer Protection Act (the ``Dodd-Frank Act''). As required by Title IV of the Dodd-Frank Actthe Private Fund Investment Advisers Registration Act of 2010the new rules define ``venture capital fund'' and provide an exemption from registration for advisers with less than $150 million in private fund assets under management in the United States. The new rules also clarify the meaning of certain terms included in a new exemption from registration for ``foreign private advisers.''
In the Matter of Basin Water, Inc.; Order of Suspension of Trading
Document Number: 2011-16841
Type: Notice
Date: 2011-07-05
Agency: Securities and Exchange Commission, Agencies and Commissions