Securities and Exchange Commission November 5, 2013 – Federal Register Recent Federal Regulation Documents

Sunshine Act Meeting
Document Number: 2013-26559
Type: Notice
Date: 2013-11-05
Agency: Securities and Exchange Commission, Agencies and Commissions
OFS Capital Corporation, et al.; Notice of Application
Document Number: 2013-26412
Type: Notice
Date: 2013-11-05
Agency: Securities and Exchange Commission, Agencies and Commissions
Securities Investor Protection Corporation
Document Number: 2013-26165
Type: Proposed Rule
Date: 2013-11-05
Agency: Securities and Exchange Commission, Agencies and Commissions
The Securities Investor Protection Corporation (``SIPC'') filed a proposed rule change with the Securities and Exchange Commission (``Commission''). The proposed rule change amends SIPC Rule 400, entitled ``Rules Relating to Satisfaction of Customer Claims for Standardized Options,'' which relates to the satisfaction of customer claims for standardized options under the Securities Investor Protection Act of 1970 (``SIPA''). The Commission is publishing the proposed rule change for public comment. Because SIPC rules have the force and effect as if promulgated by the Commission, those rules are published in Title 17 of the Code of Federal Regulations.
Crowdfunding
Document Number: 2013-25355
Type: Proposed Rule
Date: 2013-11-05
Agency: Securities and Exchange Commission, Agencies and Commissions
The Securities and Exchange Commission is proposing for comment new Regulation Crowdfunding under the Securities Act of 1933 and the Securities Exchange Act of 1934 to implement the requirements of Title III of the Jumpstart Our Business Startups Act. Regulation Crowdfunding would prescribe rules governing the offer and sale of securities under new Section 4(a)(6) of the Securities Act of 1933. The proposal also would provide a framework for the regulation of registered funding portals and brokers that issuers are required to use as intermediaries in the offer and sale of securities in reliance on Section 4(a)(6). In addition, the proposal would exempt securities sold pursuant to Section 4(a)(6) from the registration requirements of Section 12(g) of the Securities Exchange Act of 1934.