Securities and Exchange Commission 2011 – Federal Register Recent Federal Regulation Documents
Results 1,251 - 1,300 of 2,021
Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 1940
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
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).
Privacy Act of 1974: Systems of Records
In accordance with the requirements of the Privacy Act of 1974, as amended, 5 U.S.C. 552a, the Securities and Exchange Commission (``Commission'' or ``SEC'') proposes to establish three new systems of records and revise two existing systems of records. The three new systems of records are ``Tips, Complaints, and Referrals (TCR) Records (SEC-63)'', ``SEC Security in the Workplace Incident Records (SEC- 64)'', and ``Investor Response Information System (IRIS) (SEC-65).'' In a companion release published elsewhere in this issue of the Federal Register the Commission is issuing a Proposed Rule concurrent with this notice. Additionally, two existing systems of records are being revised: ``Personnel Management Code of Conduct and Employee Performance Files (SEC-38)'', last published in the Federal Register Volume 62, Number 176 on Thursday, September 11, 1997; and ``Enforcement Files (SEC-42)'', last published in the Federal Register Volume 67, Number 142 on Wednesday, July 24, 2002.
Privacy Act of 1974: Implementation and Amendment of Exemptions
Pursuant to the Privacy Act of 1974, as amended, the Securities and Exchange Commission (``Commission'' or ``SEC'') proposes to exempt portions of three new systems of records from provisions of the Privacy Act to the extent that the records contain investigatory materials compiled for law enforcement purposes. Additionally, the Commission proposes to make technical amendments to its Privacy Act regulation exempting specific systems of records from certain provisions of the Privacy Act. In a companion release published elsewhere in this issue, the Commission is giving concurrent notice of three new systems of records pursuant to the Privacy Act of 1974.
Further Definition of “Swap,” “Security-Based Swap,” and “Security-Based Swap Agreement”; Mixed Swaps; Security-Based Swap Agreement Recordkeeping
In accordance with section 712(a)(8), section 712(d)(1), sections 712(d)(2)(B) and (C), sections 721(b) and (c), and section 761(b) of the Dodd-Frank Wall Street Reform and Consumer Protection Act (``Dodd-Frank Act''), the Commodity Futures Trading Commission (``CFTC'') and the Securities and Exchange Commission (``SEC'') (collectively, ``Commissions''), in consultation with the Board of Governors of the Federal Reserve System (``Board''), are jointly issuing proposed rules and proposed interpretive guidance under the Commodity Exchange Act (``CEA'') and the Securities Exchange Act of 1934 (``Exchange Act'') to further define the terms ``swap,'' ``security-based swap,'' and ``security-based swap agreement'' (collectively, ``Product Definitions''), regarding ``mixed swaps,'' and governing books and records with respect to ``security-based swap agreements.''
Amendment to Procedures for Holding Funds in Dormant Filing Fee Accounts
The Securities and Exchange Commission is amending its procedures for holding funds in any filing fee account in which there has not been a deposit, withdrawal or other adjustment. The amendment extends the holding period from 180 days to three years, after which the Commission will initiate the return of funds to the account holder without any action by the account holder. As always, account holders may request a refund of such fees at any time.
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