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

Results 101 - 150 of 172
Proposed Collection; Comment Request
Document Number: 2013-27326
Type: Notice
Date: 2013-11-15
Agency: Securities and Exchange Commission, Agencies and Commissions
Proposed Collection; Comment Request
Document Number: 2013-27325
Type: Notice
Date: 2013-11-15
Agency: Securities and Exchange Commission, Agencies and Commissions
Proposed Collection; Comment Request
Document Number: 2013-27324
Type: Notice
Date: 2013-11-15
Agency: Securities and Exchange Commission, Agencies and Commissions
In the Matter of Far Vista Petroleum Corp.; Order of Suspension of Trading
Document Number: 2013-27238
Type: Notice
Date: 2013-11-13
Agency: Securities and Exchange Commission, Agencies and Commissions
Transamerica Life Insurance Company, et al; Notice of Application
Document Number: 2013-27039
Type: Notice
Date: 2013-11-13
Agency: Securities and Exchange Commission, Agencies and Commissions
Notice of Sunshine Act Meeting
Document Number: 2013-27182
Type: Notice
Date: 2013-11-12
Agency: Securities and Exchange Commission, Agencies and Commissions
Registration of Municipal Advisors
Document Number: 2013-23524
Type: Rule
Date: 2013-11-12
Agency: Securities and Exchange Commission, Agencies and Commissions
Section 975 of Title IX of the Dodd-Frank Wall Street Reform and Consumer Protection Act (``Dodd-Frank Act'') amended Section 15B of the Securities Exchange Act of 1934 (``Exchange Act'') to require municipal advisors, as defined below, to register with the Securities and Exchange Commission (``Commission'' or ``SEC''), effective October 1, 2010. To enable municipal advisors to temporarily satisfy this requirement, the Commission adopted an interim final temporary rule, Exchange Act Rule 15Ba2-6T, and form, Form MA-T, effective October 1, 2010. To enable municipal advisors to continue to register under the temporary registration regime until the applicable compliance date for permanent registration, the Commission is extending Rule 15Ba2-6T, in a separate release, to December 31, 2014. The Commission is today adopting new Rules 15Ba1-1 through 15Ba1-8, new Rule 15Bc4-1, and new Forms MA, MA-I, MA-W, and MA-NR under the Exchange Act. These rules and forms are designed to give effect to provisions of Title IX of the Dodd-Frank Act that, among other things, require the Commission to establish a registration regime for municipal advisors and impose certain record-keeping requirements on such advisors.
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