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

Results 551 - 600 of 2,207
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.
Sunshine Act Meeting
Document Number: 2013-23954
Type: Notice
Date: 2013-09-30
Agency: Securities and Exchange Commission, Agencies and Commissions
Advisory Committee on Small and Emerging Companies
Document Number: 2013-23696
Type: Notice
Date: 2013-09-30
Agency: Securities and Exchange Commission, Agencies and Commissions
The Securities and Exchange Commission is publishing this notice to announce the renewal of the Securities and Exchange Commission Advisory Committee on Small and Emerging Companies.
Variable Insurance Trust, et al.;
Document Number: 2013-23687
Type: Notice
Date: 2013-09-30
Agency: Securities and Exchange Commission, Agencies and Commissions
Summary of Application: Applicants request an order pursuant to Section 6(c) of the Act granting exemptions from the provisions of Sections 9(a), 13(a), 15(a), and 15(b) of the Act and Rules 6e-2(b)(15) and 6e-3(T)(b)(15) thereunder in cases where a life insurance company separate account supporting variable life insurance contracts (``VLI Accounts'') holds shares of an existing portfolio of the Fund or any other ``Insurance Fund,'' as defined below (collectively, the ``Insurance Funds''), and one or more of the following other types of investors also hold shares of the Insurance Funds: (i) Separate accounts registered as investment companies or separate accounts that are not registered as investment companies under the Act pursuant to exemptions from registration under Section 3(c) of the Act that fund variable annuity contracts (``VA Accounts'') and VLI Accounts (VA Accounts and VLI Accounts together ``Separate Accounts'') issued by both affiliated life insurance companies and unaffiliated life insurance companies (``Participating Insurance Companies''); (ii) trustees of qualified group pension or group retirement plans (``Qualified Plans'') outside the Separate Account context; (iii) investment adviser(s) or affiliated person(s) of the investment adviser(s) to a series of an Insurance Fund (the ``Adviser''), for the purpose of providing seed capital to a series of an Insurance Fund; and (iv) any general account of an insurance company depositor of VA Accounts and/or VLI Accounts (``General Accounts''). An Insurance Fund is any investment company (or investment portfolio or series thereof), including an existing portfolio of the Fund, designed to be sold to VA Accounts and/or VLI Accounts and to which an Applicant or its affiliates serve or may serve in the future as investment advisers, investment subadvisers, investment managers, administrators, principal underwriters or sponsors.
Extension of Temporary Registration of Municipal Advisors
Document Number: 2013-23519
Type: Rule
Date: 2013-09-30
Agency: Securities and Exchange Commission, Agencies and Commissions
The Securities and Exchange Commission (``Commission'') is amending interim final temporary Rule 15Ba2-6T, which provides for the temporary registration of municipal advisors under the Securities Exchange Act of 1934 (``Exchange Act''), as amended by the Dodd-Frank Wall Street Reform and Consumer Protection Act (``Dodd-Frank Act''), to extend the date on which Rule 15Ba2-6T (and consequently Form MA-T) will sunset from September 30, 2013, to December 31, 2014. Under the amendment, all temporary registrations submitted pursuant to Rule 15Ba2-6T also will expire no later than December 31, 2014.
Left Behind Games, Inc., File No. 500-1; Order of Suspension of Trading
Document Number: 2013-23728
Type: Notice
Date: 2013-09-27
Agency: Securities and Exchange Commission, Agencies and Commissions
The KP Funds and Callan Associates Inc., et al.;
Document Number: 2013-23541
Type: Notice
Date: 2013-09-27
Agency: Securities and Exchange Commission, Agencies and Commissions
Principal Management Corporation, et al.; Notice of Application
Document Number: 2013-23426
Type: Notice
Date: 2013-09-26
Agency: Securities and Exchange Commission, Agencies and Commissions