Securities and Exchange Commission January 2012 – Federal Register Recent Federal Regulation Documents
Results 151 - 168 of 168
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 April 30, 2008, applicant transferred its assets to Tax-Free Cash Reserve Portfolio, a series of Short-Term Investments Trust, based on net asset value. Expenses of $29,100 incurred in connection with the reorganization were paid by Invesco Advisers, Inc., applicant's investment adviser. Filing Dates: The application was filed on April 23, 2010 and amended on December 2, 2011. Applicant's Address: 11 Greenway Plaza, Suite 100, Houston, TX 77046-1173.
Prohibitions and Restrictions on Proprietary Trading and Certain Interests in, and Relationships With, Hedge Funds and Private Equity Funds
On November 7, 2011, the OCC, Board, FDIC, and SEC (collectively, the ``Agencies'') published in the Federal Register a joint notice of proposed rulemaking for public comment to implement section 619 of the Dodd-Frank Wall Street Reform and Consumer Protection Act (``Dodd-Frank Act'') which contains certain prohibitions and restrictions on the ability of a banking entity and nonbank financial company supervised by the Board to engage in proprietary trading and have certain interests in, or relationships with, a hedge fund or private equity fund (``proposed rule''). Due to the complexity of the issues involved and to facilitate coordination of the rulemaking among the responsible agencies as provided in section 619 of the Dodd-Frank Act, the Agencies have determined that an extension of the comment period until February 13, 2012 is appropriate. This action will allow interested persons additional time to analyze the proposed rules and prepare their comments.
Prohibition Against Conflicts of Interest in Certain Securitizations
The Securities and Exchange Commission is extending the comment period for a release proposing a new rule to implement Section 621 of the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010 (the ``Dodd-Frank Act'') on material conflicts of interest in connection with certain securitizations (the ``ABS Conflicts Proposal''). The original comment period for the ABS Conflicts Proposal was scheduled to end on December 19, 2011. On December 13, 2011, the comment period was extended until January 13, 2012. Today, the Commission is again extending the time period in which to provide the Commission with comments on the ABS Conflicts Proposal until February 13, 2012. This action will allow interested persons additional time to analyze the issues and prepare their comments.
This site is protected by reCAPTCHA and the Google
Privacy Policy and
Terms of Service apply.
