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

Results 151 - 186 of 186
Adoption of Updated EDGAR Filer Manual
Document Number: 2013-23914
Type: Rule
Date: 2013-10-02
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 support updates to Form D and to submission form types 13F-HR and 13F- HR/A. The EDGAR system is scheduled to be upgraded to support this functionality on September 23, 2013.
Proposed Collection; Comment Request
Document Number: 2013-23872
Type: Notice
Date: 2013-10-01
Agency: Securities and Exchange Commission, Agencies and Commissions
U.S. Global Investors, Inc., et al.; Notice of Application
Document Number: 2013-23832
Type: Notice
Date: 2013-10-01
Agency: Securities and Exchange Commission, Agencies and Commissions
Forethought Variable Insurance Trust, et al.; Notice of Application
Document Number: 2013-23831
Type: Notice
Date: 2013-10-01
Agency: Securities and Exchange Commission, Agencies and Commissions
Summary of Application: Applicants request an order that would permit them to enter into and materially amend sub-advisory agreements with Wholly-Owned Sub-Advisers (as defined below) and non-affiliated sub-advisers without shareholder approval and would grant relief from certain disclosure requirements.
Pay Ratio Disclosure
Document Number: 2013-23073
Type: Proposed Rule
Date: 2013-10-01
Agency: Securities and Exchange Commission, Agencies and Commissions
We are proposing amendments to Item 402 of Regulation S-K to implement Section 953(b) of the Dodd-Frank Wall Street Reform and Consumer Protection Act. Section 953(b) directs the Commission to amend Item 402 of Regulation S-K to require disclosure of the median of the annual total compensation of all employees of an issuer (excluding the chief executive officer), the annual total compensation of that issuer's chief executive officer and the ratio of the median of the annual total compensation of all employees to the annual total compensation of the chief executive officer. The proposed disclosure would be required in any annual report, proxy or information statement or registration statement that requires executive compensation disclosure pursuant to Item 402 of Regulation S-K. The proposed disclosure requirements would not apply to emerging growth companies, smaller reporting companies or foreign private issuers.