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

Results 151 - 200 of 209
American Capital, Ltd.; Notice of Application
Document Number: 2011-20103
Type: Notice
Date: 2011-08-09
Agency: Securities and Exchange Commission, Agencies and Commissions
RidgeWorth Funds and RidgeWorth Capital Management, Inc.; Notice of Application
Document Number: 2011-20102
Type: Notice
Date: 2011-08-09
Agency: Securities and Exchange Commission, Agencies and Commissions
BofA Funds Series Trust, et al.;
Document Number: 2011-19852
Type: Notice
Date: 2011-08-05
Agency: Securities and Exchange Commission, Agencies and Commissions
Summary of Application: Applicants request an order to permit the Funds to engage in principal transactions in certain taxable money market instruments including repurchase agreements with MLPF&S.
Adoption of Updated EDGAR Filer Manual
Document Number: 2011-19824
Type: Rule
Date: 2011-08-05
Agency: Securities and Exchange Commission, Agencies and Commissions
The Securities and Exchange Commission (the Commission) is adopting revisions to the Electronic Data Gathering, Analysis, and Retrieval System (EDGAR) Filer Manual to reflect updates to the EDGAR system. The revisions are being made primarily to retire the offline EDGARLink tool and the associated templates; to support the electronic filing of submission form types 13H, 13H-A, 13H-Q, 13H-I, 13H-T, 13H-R, for large trader registration, and N-PX-CR, N-PX-FM, N-PX-NT, N-PX-VR and their amendments; to update submission form types N-PX and N-PX/A; to update the OMB information on Forms 3, 4, 5, and 25-NSE; to support minor validation updates for Form N-MFP submissions; and to add four new applicant types to the Form ID. The EDGAR system is scheduled to be upgraded to support this functionality on August 1, 2011. The filer manual is also being revised to address changes previously made in EDGAR.
Re-Proposal of Shelf Eligibility Conditions for Asset-Backed Securities
Document Number: 2011-19300
Type: Proposed Rule
Date: 2011-08-05
Agency: Securities and Exchange Commission, Agencies and Commissions
We are revising and re-proposing certain rules that were initially proposed in April 2010 related to asset-backed securities in light of the provisions added by the Dodd-Frank Wall Street Reform and Consumer Protection Act and comments received on our April 2010 proposals. Specifically, we are re-proposing registrant and transaction requirements related to shelf registration of asset-backed securities and changes to exhibit filing deadlines. In addition, we are requesting additional comment on our proposal to require asset-level information about the pool assets. We continue to consider the other matters in our April 2010 proposing release.
Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 1940
Document Number: 2011-19810
Type: Notice
Date: 2011-08-04
Agency: Securities and Exchange Commission, Agencies and Commissions
Applicant seeks an order declaring that it has ceased to be an investment company. Applicant has never made a public offering of its securities and does not propose to make a public offering or engage in business of any kind. Filing Date: The application was filed on July 20, 2011. Applicant's Address: 2943 Olney-Sandy Spring Rd., Suite A, Olney, MD 20832.
Business Conduct Standards for Security-Based Swap Dealers and Major Security-Based Swap Participants
Document Number: C1-2011-16758
Type: Proposed Rule
Date: 2011-08-03
Agency: Securities and Exchange Commission, Agencies and Commissions
Security Ratings
Document Number: 2011-19421
Type: Rule
Date: 2011-08-03
Agency: Securities and Exchange Commission, Agencies and Commissions
In light of the provisions of Section 939A of the Dodd-Frank Wall Street Reform and Consumer Protection Act, we are adopting amendments to replace rule and form requirements under the Securities Act of 1933 and the Securities Exchange Act of 1934 for securities offering or issuer disclosure rules that rely on, or make special accommodations for, security ratings (for example, Forms S-3 and F-3 eligibility criteria) with alternative requirements.
Large Trader Reporting
Document Number: 2011-19419
Type: Rule
Date: 2011-08-03
Agency: Securities and Exchange Commission, Agencies and Commissions
The Securities and Exchange Commission (``Commission'') is adopting new Rule 13h-1 and Form 13H under Section 13(h) of the Securities Exchange Act of 1934 (``Exchange Act'') to assist the Commission in both identifying, and obtaining trading information on, market participants that conduct a substantial amount of trading activity, as measured by volume or market value, in the U.S. securities markets. Rule 13h-1 will require a ``large trader,'' defined as a person whose transactions in NMS securities equal or exceed 2 million shares or $20 million during any calendar day, or 20 million shares or $200 million during any calendar month, to identify itself to the Commission and make certain disclosures to the Commission on Form 13H. Upon receipt of Form 13H, the Commission will assign to each large trader an identification number that will uniquely and uniformly identify the trader, which the large trader must then provide to its registered broker-dealers. Such registered broker-dealers will then be required to maintain records of two additional data elements in connection with transactions effected through accounts of such large traders (the large trader identification number, and the time transactions in the account are executed). In addition, the Commission is requiring that such broker-dealers report large trader transaction information to the Commission upon request through the Electronic Blue Sheets systems currently used by broker-dealers for reporting trade information. Finally, certain registered broker-dealers subject to the Rule will be required to perform limited monitoring of their customers' accounts for activity that may trigger the large trader identification requirements of Rule 13h-1. The large trader reporting requirements are designed to provide the Commission with a valuable source of useful data to support its investigative and enforcement activities, as well as facilitate the Commission's ability to assess the impact of large trader activity on the securities markets, to reconstruct trading activity following periods of unusual market volatility, and to analyze significant market events for regulatory purposes.
Sunshine Act Meeting
Document Number: 2011-19648
Type: Notice
Date: 2011-08-02
Agency: Securities and Exchange Commission, Agencies and Commissions
Proposed Collection; Comment Request
Document Number: 2011-19531
Type: Notice
Date: 2011-08-02
Agency: Securities and Exchange Commission, Agencies and Commissions
Proposed Collection; Comment Request
Document Number: 2011-19458
Type: Notice
Date: 2011-08-02
Agency: Securities and Exchange Commission, Agencies and Commissions
Proposed Collection; Comment Request
Document Number: 2011-19457
Type: Notice
Date: 2011-08-02
Agency: Securities and Exchange Commission, Agencies and Commissions