Securities and Exchange Commission July 2013 – Federal Register Recent Federal Regulation Documents

Adoption of Updated EDGAR Filer Manual
Document Number: 2013-18395
Type: Rule
Date: 2013-07-31
Agency: Securities and Exchange Commission, Agencies and Commissions
The Securities and Exchange Commission (the Commission) is adopting revisions to the Electronic Data Gathering, Analysis, and Retrieval System (EDGAR) Filer Manual and related rules to reflect updates to the EDGAR system. The revisions are being made primarily to introduce the new EDGARLink Online submission form type SD (Specialized Disclosure Report) and SD/A; support minor updates to Form 13H. The EDGAR system is scheduled to be upgraded to support this functionality on July 22, 2013.
NGAM Advisors, L.P., et al.; Notice of Application
Document Number: 2013-18349
Type: Notice
Date: 2013-07-31
Agency: Securities and Exchange Commission, Agencies and Commissions
Calamos Advisors LLC and Calamos ETF Trust; Notice of Application
Document Number: 2013-18348
Type: Notice
Date: 2013-07-31
Agency: Securities and Exchange Commission, Agencies and Commissions
Duoyuan Printing, Inc.; Order of Suspension: of Trading
Document Number: 2013-18362
Type: Notice
Date: 2013-07-30
Agency: Securities and Exchange Commission, Agencies and Commissions
Sunshine Act Meeting
Document Number: 2013-18350
Type: Notice
Date: 2013-07-30
Agency: Securities and Exchange Commission, Agencies and Commissions
Submission for OMB Review; Comment Request
Document Number: 2013-17840
Type: Notice
Date: 2013-07-25
Agency: Securities and Exchange Commission, Agencies and Commissions
Submission for OMB Review; Comment Request
Document Number: 2013-17723
Type: Notice
Date: 2013-07-24
Agency: Securities and Exchange Commission, Agencies and Commissions
Disqualification of Felons and Other “Bad Actors” From Rule 506 Offerings
Document Number: 2013-16983
Type: Rule
Date: 2013-07-24
Agency: Securities and Exchange Commission, Agencies and Commissions
We are adopting 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 Rule 506 of Regulation D. The rules must be ``substantially similar'' to Rule 262 under the Securities Act, which contains the disqualification provisions of Regulation A under the Securities Act, and must also cover matters enumerated in Section 926 of the Dodd-Frank Act (including certain state regulatory orders and bars).
Amendments to Regulation D, Form D and Rule 156
Document Number: 2013-16884
Type: Proposed Rule
Date: 2013-07-24
Agency: Securities and Exchange Commission, Agencies and Commissions
The Securities and Exchange Commission, which today in separate releases amended Rule 506 of Regulation D, Form D and Rule 144A under the Securities Act of 1933 to implement Section 201(a) of the Jumpstart Our Business Startups Act and Section 926 of the Dodd- Frank Wall Street Reform and Consumer Protection Act, is publishing for comment a number of proposed amendments to Regulation D, Form D and Rule 156 under the Securities Act. These proposed amendments are intended to enhance the Commission's ability to evaluate the development of market practices in Rule 506 offerings and to address concerns that may arise in connection with permitting issuers to engage in general solicitation and general advertising under new paragraph (c) of Rule 506. Specifically, the proposed amendments to Regulation D would require the filing of a Form D in Rule 506(c) offerings before the issuer engages in general solicitation; require the filing of a closing amendment to Form D after the termination of any Rule 506 offering; require written general solicitation materials used in Rule 506(c) offerings to include certain legends and other disclosures; require the submission, on a temporary basis, of written general solicitation materials used in Rule 506(c) offerings to the Commission; and disqualify an issuer from relying on Rule 506 for one year for future offerings if the issuer, or any predecessor or affiliate of the issuer, did not comply, within the last five years, with Form D filing requirements in a Rule 506 offering. The proposed amendments to Form D would require an issuer to include additional information about offerings conducted in reliance on Regulation D. Finally, the proposed amendments to Rule 156 would extend the antifraud guidance contained in the rule to the sales literature of private funds.
Eliminating the Prohibition Against General Solicitation and General Advertising in Rule 506 and Rule 144A Offerings
Document Number: 2013-16883
Type: Rule
Date: 2013-07-24
Agency: Securities and Exchange Commission, Agencies and Commissions
We are adopting amendments to Rule 506 of Regulation D and Rule 144A under the Securities Act of 1933 to implement Section 201(a) of the Jumpstart Our Business Startups Act. The amendment to Rule 506 permits an issuer to engage in general solicitation or general advertising in offering and selling securities pursuant to Rule 506, provided that all purchasers of the securities are accredited investors and the issuer takes reasonable steps to verify that such purchasers are accredited investors. The amendment to Rule 506 also includes a non-exclusive list of methods that issuers may use to satisfy the verification requirement for purchasers who are natural persons. The amendment to Rule 144A provides that securities may be offered pursuant to Rule 144A to persons other than qualified institutional buyers, provided that the securities are sold only to persons that the seller and any person acting on behalf of the seller reasonably believe are qualified institutional buyers. We are also revising Form D to require issuers to indicate whether they are relying on the provision that permits general solicitation or general advertising in a Rule 506 offering. Also today, in a separate release, to implement Section 926 of the Dodd-Frank Wall Street Reform and Consumer Protection Act, we are adopting amendments to Rule 506 to disqualify issuers and other market participants from relying on Rule 506 if ``felons and other `bad actors' '' are participating in the Rule 506 offering. We are also today, in a separate release, publishing for comment a number of proposed amendments to Regulation D, Form D and Rule 156 under the Securities Act that are intended to enhance the Commission's ability to evaluate the development of market practices in Rule 506 offerings and address certain comments made in connection with implementing Section 201(a)(1) of the Jumpstart Our Business Startups Act.
RVPlus, Inc.; Order of Suspension of Trading
Document Number: 2013-17755
Type: Notice
Date: 2013-07-23
Agency: Securities and Exchange Commission, Agencies and Commissions
Sunshine Act Meeting
Document Number: 2013-17715
Type: Notice
Date: 2013-07-23
Agency: Securities and Exchange Commission, Agencies and Commissions
Submission for OMB Review; Comment Request
Document Number: 2013-17597
Type: Notice
Date: 2013-07-23
Agency: Securities and Exchange Commission, Agencies and Commissions
Submission for OMB Review; Comment Request
Document Number: 2013-17596
Type: Notice
Date: 2013-07-23
Agency: Securities and Exchange Commission, Agencies and Commissions
Regulatory Flexibility Agenda
Document Number: 2013-17092
Type: Unknown
Date: 2013-07-23
Agency: Securities and Exchange Commission, Agencies and Commissions
The Securities and Exchange Commission is publishing an agenda of its rulemaking actions pursuant to the Regulatory Flexibility Act (RFA) (Pub. L. No. 96-354, 94 Stat. 1164) (Sep. 19, 1980). Information in the agenda was accurate on June 19, 2013, the day on which the Commission's staff completed compilation of the data. To the extent possible, rulemaking actions by the Commission since that date have been reflected in the agenda. The Commission invites questions and public comment on the agenda and on the individual agenda entries. The Commission is now printing in the Federal Register, along with our preamble, only those agenda entries for which we have indicated that preparation of a Regulatory Flexibility Act analysis is required. The Commission's complete RFA agenda will be available online at www.reginfo.gov.
Unified Agenda of Federal Regulatory and Deregulatory Actions
Document Number: 2013-17091
Type: Unknown
Date: 2013-07-23
Agency: Nuclear Regulatory Commission, Agencies and Commissions, Securities and Exchange Commission
The U.S. Nuclear Regulatory Commission (NRC) is publishing its semiannual regulatory agenda (the Agenda) in accordance with Public Law 96-354, ``The Regulatory Flexibility Act,'' and Executive Order 12866, ``Regulatory Planning and Review.'' The Agenda is a compilation of all rules on which the NRC has recently completed action or has proposed or is considering action. This issuance of the NRC's Agenda contains 56 rulemaking activities: Four are Economically Significant; 12 represent Other Significant agency priorities; 38 are Substantive, Nonsignificant rulemaking activities; and two are Administrative rulemaking activities. This issuance updates any action occurring on rules since publication of the last semiannual regulatory agenda on January 8, 2013 (78 FR 1704). The NRC is requesting comment on its rulemaking activities as identified in this agenda.
Sunshine Act Meeting
Document Number: 2013-17698
Type: Notice
Date: 2013-07-22
Agency: Securities and Exchange Commission, Agencies and Commissions
Sunshine Act Meeting
Document Number: 2013-17598
Type: Notice
Date: 2013-07-22
Agency: Securities and Exchange Commission, Agencies and Commissions
Submission for OMB Review; Comment Request
Document Number: 2013-17474
Type: Notice
Date: 2013-07-22
Agency: Securities and Exchange Commission, Agencies and Commissions
Submission for OMB Review; Comment Request
Document Number: 2013-17473
Type: Notice
Date: 2013-07-22
Agency: Securities and Exchange Commission, Agencies and Commissions
Submission for OMB Review; Comment Request
Document Number: 2013-17472
Type: Notice
Date: 2013-07-22
Agency: Securities and Exchange Commission, Agencies and Commissions