Securities and Exchange Commission 2011 – Federal Register Recent Federal Regulation Documents
Results 1,351 - 1,400 of 2,021
Short Sale Reporting Study Required by Dodd-Frank Act Section 417(a)(2)
The Securities and Exchange Commission (``Commission''), on behalf of its Division of Risk, Strategy, and Financial Innovation (``Division''), is requesting public comment with regard to studies required by the Dodd-Frank Wall Street Reform and Consumer Protection Act of the feasibility, benefits, and costs of requiring reporting in real time, either publicly or, in the alternative, only to the Commission and the Financial Industry Regulatory Authority (``FINRA''), of short sale positions of publicly listed securities, and of conducting a voluntary pilot program in which public companies would agree to have all trades of their shares marked ``long,'' ``short,'' ``market maker short,'' ``buy,'' or ``buy-to-cover,'' and reported as such in real time through the Consolidated Tape.
Removal of Certain References to Credit Ratings Under the Securities Exchange Act of 1934
This is one of several proposed rules that the Securities and Exchange Commission (the ``Commission'') will be considering relating to the use of credit ratings in Commission rules and forms. Section 939A of the Dodd-Frank Act Wall Street Reform and Consumer Protection Act (the ``Dodd-Frank Act'') requires the Commission to remove any references to credit ratings from its regulations and to substitute such standard of creditworthiness as the Commission determines to be appropriate. In this release, the Commission is proposing to amend certain rules and one form under the Securities Exchange Act of 1934 (the ``Exchange Act'') applicable to broker-dealer financial responsibility, distributions of securities, and confirmations of transactions. The Commission also is requesting comment on potential standards of creditworthiness for purposes of Exchange Act Sections 3(a)(41) and 3(a)(53), which define the terms ``mortgage related security'' and ``small business related security,'' respectively, as the Commission considers how to implement Section 939(e) of the Dodd- Frank Act.
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 September 18, 2009, applicant transferred its assets to Federated Clover Value Fund, a series of Federated Equity Funds, based on net asset value. Expenses of approximately $577,896 incurred in connection with the reorganization were paid by applicant, Federated Equity Management Company of Pennsylvania, applicant's investment adviser, or its affiliates. Filing Dates: The application was filed on April 12, 2011 and amended on April 26, 2011. Applicant's Address: Federated Investors Funds, 4000 Ericsson Dr., Warrendale, PA 15086-7561.
Listing Standards for Compensation Committees
The Securities and Exchange Commission is extending the comment period for a release proposing a new rule and rule amendments to implement the provisions of Section 952 of the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010, which added Section 10C to the Securities Exchange Act of 1934 (the ``Exchange Act''). [Release No. 33-9199; 76 FR 18966 (April 6, 2011)]. The original comment period for Release 33-9199 is scheduled to end on April 29, 2011. The Commission is extending the time period in which to provide the Commission with comments on that release to May 19, 2011. This action will allow interested persons additional time to analyze the issues and prepare their comments.
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