Securities and Exchange Commission 2012 – Federal Register Recent Federal Regulation Documents

Results 1 - 50 of 2,063
Pyxis Capital, L.P., et al.;
Document Number: 2012-31235
Type: Notice
Date: 2012-12-31
Agency: Securities and Exchange Commission, Agencies and Commissions
Temporary Rule Regarding Principal Trades With Certain Advisory Clients
Document Number: 2012-31221
Type: Rule
Date: 2012-12-31
Agency: Securities and Exchange Commission, Agencies and Commissions
The Securities and Exchange Commission is amending rule 206(3)-3T under the Investment Advisers Act of 1940, a temporary rule that establishes an alternative means for investment advisers who are registered with the Commission as broker-dealers to meet the requirements of section 206(3) of the Investment Advisers Act when they act in a principal capacity in transactions with certain of their advisory clients. The amendment extends the date on which rule 206(3)- 3T will sunset from December 31, 2012 to December 31, 2014.
Decimalization Roundtable
Document Number: 2012-31162
Type: Notice
Date: 2012-12-28
Agency: Securities and Exchange Commission, Agencies and Commissions
The staff of the Securities and Exchange Commission will host a one day roundtable to discuss the impact of tick sizes on small and mid-sized companies, market professionals, investors, and U.S. securities markets. The roundtable discussion will be held in Room L-006 (the multi- purpose room) of the Securities and Exchange Commission headquarters at 100 F Street NE., in Washington, DC. The public is invited to observe the roundtable discussion. Seating will be available on a first-come, first-served basis. The roundtable discussion also will be available via webcast on the Commission's Web site at www.sec.gov.
Franklin Advisers, Inc., et al.;
Document Number: 2012-31131
Type: Notice
Date: 2012-12-27
Agency: Securities and Exchange Commission, Agencies and Commissions
Summary of Application: Applicants request an order that permits: (a) Actively-managed series of certain open-end management investment companies to issue shares (``Shares'') redeemable in large aggregations only (``Creation Units''); (b) secondary market transactions in Shares to occur at negotiated market prices; (c) certain series to pay redemption proceeds, under certain circumstances, more than seven days from the tender of Shares for redemption; (d) certain affiliated persons of the series to deposit securities into, and receive securities from, the series in connection with the purchase and redemption of Creation Units; and (e) certain registered management investment companies and unit investment trusts outside of the same group of investment companies as the series to acquire Shares.
New Generation Biofuels Holdings, Inc.; Order of Suspension of Trading
Document Number: 2012-31151
Type: Notice
Date: 2012-12-26
Agency: Securities and Exchange Commission, Agencies and Commissions
Sunshine Act Meeting
Document Number: 2012-31030
Type: Notice
Date: 2012-12-26
Agency: Securities and Exchange Commission, Agencies and Commissions
Submission for OMB Review; Comment Request
Document Number: 2012-31022
Type: Notice
Date: 2012-12-26
Agency: Securities and Exchange Commission, Agencies and Commissions