Securities and Exchange Commission 2014 – Federal Register Recent Federal Regulation Documents
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Privacy Act of 1974: Systems of Records.
In accordance with the requirements of the Privacy Act of 1974, as amended, 5 U.S.C. 552a, the Securities and Exchange Commission (``Commission'' or ``SEC'') proposes to establish a new system of records, ``General Information Technology Records (SEC-67).'' Additionally, two existing systems of records are being revised: ``Office of the Chief Accountant Working File (SEC-28)'' last published in the Federal Register Volume 62, Number 176 on September 11, 1997; and ``Office of Inspector General Investigative Files (SEC-43)'', last published in the Federal Register Volume 71, Number 105 on Thursday, June 1, 2006.
Capitala Finance Corp., et al.;
Summary of Application: Applicants request an order permitting the Company, a business development company (``BDC'') and its Subsidiaries (defined below) to operate effectively as one company, specifically allowing them to: (1) Engage in certain transactions with each other; (2) invest in securities in which the other is or proposes to be an investor that would otherwise be permitted if the Company and the Subsidiaries were one company; (3) be subject to modified consolidated asset coverage requirements for senior securities issued by a BDC and its small business investment company (``SBIC'') subsidiaries; and (4) file consolidated reports with the Commission.
Credit Suisse Asset Management, LLC, et al.; Notice of Application and Temporary Order
Applicants have received a temporary order exempting them from section 9(a) of the Act, with respect to a guilty plea entered on May 19, 2014, by Credit Suisse AG (``CSAG'') in the U.S. District Court for the Eastern District of Virginia (``District Court'') in connection with a plea agreement between CSAG and the U.S. Department of Justice (``DOJ''), until the Commission takes final action on an application for a permanent order. Applicants have also applied for a permanent order.
Standards for Covered Clearing Agencies
The Securities and Exchange Commission (``SEC'' or ``Commission'') proposes to amend Rule 17Ad-22 and add Rule 17Ab2-2 pursuant to Section 17A of the Securities Exchange Act of 1934 (``Exchange Act'') and the Payment, Clearing, and Settlement Supervision Act of 2010 (``Clearing Supervision Act''), adopted in Title VIII of the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010 (``Dodd-Frank Act''). Among other things, the proposed rules would establish standards for the operation and governance of certain types of registered clearing agencies that meet the definition of a ``covered clearing agency.''
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