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

Results 51 - 100 of 193
Sunshine Act Meeting
Document Number: 2011-30190
Type: Notice
Date: 2011-11-22
Agency: Securities and Exchange Commission, Agencies and Commissions
Proposed Collection; Comment Request
Document Number: 2011-30072
Type: Notice
Date: 2011-11-22
Agency: Securities and Exchange Commission, Agencies and Commissions
Submission for OMB Review; Comment Request
Document Number: 2011-30071
Type: Notice
Date: 2011-11-22
Agency: Securities and Exchange Commission, Agencies and Commissions
Proposed Collection; Comment Request
Document Number: 2011-30070
Type: Notice
Date: 2011-11-22
Agency: Securities and Exchange Commission, Agencies and Commissions
Proposed Collection; Comment Request
Document Number: 2011-30069
Type: Notice
Date: 2011-11-22
Agency: Securities and Exchange Commission, Agencies and Commissions
Submission for OMB Review; Comment Request
Document Number: 2011-29873
Type: Notice
Date: 2011-11-21
Agency: Securities and Exchange Commission, Agencies and Commissions
Rescission of Outdated Rules and Forms, and Amendments To Correct References
Document Number: 2011-29096
Type: Rule
Date: 2011-11-21
Agency: Securities and Exchange Commission, Agencies and Commissions
The Securities and Exchange Commission (``Commission'') is adopting amendments to Commission rules and forms to correct references and remove certain rules, forms, and interpretive releases, to conform to changes in federal securities laws.
Sunshine Act Meeting
Document Number: 2011-29969
Type: Notice
Date: 2011-11-18
Agency: Securities and Exchange Commission, Agencies and Commissions
Reporting Line for the Commission's Ethics Counsel
Document Number: 2011-29802
Type: Rule
Date: 2011-11-18
Agency: Securities and Exchange Commission, Agencies and Commissions
The Securities and Exchange Commission (``Commission'') is amending its rules to reflect that the Commission's Office of the Ethics Counsel is now a stand-alone Office of the Commission and that the head of the Office, the Ethics Counsel, reports directly to the Chairman of the Commission.
Sunshine Act Meeting
Document Number: 2011-29853
Type: Notice
Date: 2011-11-17
Agency: Securities and Exchange Commission, Agencies and Commissions
Reporting by Investment Advisers to Private Funds and Certain Commodity Pool Operators and Commodity Trading Advisors on Form PF
Document Number: 2011-28549
Type: Rule
Date: 2011-11-16
Agency: Commodity Futures Trading Commission, Agencies and Commissions, Securities and Exchange Commission
The Commodity Futures Trading Commission (``CFTC'') and the Securities and Exchange Commission (``SEC'') (collectively, ``we'' or the ``Commissions'') are adopting new rules under the Commodity Exchange Act and the Investment Advisers Act of 1940 to implement provisions of Title IV of the Dodd-Frank Wall Street Reform and Consumer Protection Act. The new SEC rule requires investment advisers registered with the SEC that advise one or more private funds and have at least $150 million in private fund assets under management to file Form PF with the SEC. The new CFTC rule requires commodity pool operators (``CPOs'') and commodity trading advisors (``CTAs'') registered with the CFTC to satisfy certain CFTC filing requirements with respect to private funds, should the CFTC adopt such requirements, by filing Form PF with the SEC, but only if those CPOs and CTAs are also registered with the SEC as investment advisers and are required to file Form PF under the Advisers Act. The new CFTC rule also allows such CPOs and CTAs to satisfy certain CFTC filing requirements with respect to commodity pools that are not private funds, should the CFTC adopt such requirements, by filing Form PF with the SEC. Advisers must file Form PF electronically, on a confidential basis. The information contained in Form PF is designed, among other things, to assist the Financial Stability Oversight Council in its assessment of systemic risk in the U.S. financial system.