Agency: Securities and Exchange Commission
Years: 20002001200220032004200520062007200820092010201120122013[FR Doc E9-30877] 1. Temporary Rule Regarding Principal Trades With Certain Advisory Clients
The Securities and Exchange Commission is adopting as final Rule 206(3)3T under the Investment Advisers Act of 1940, the interim final temporary rule that establishes an alternative means for investment advisers who are registered with the Commission as broker dealers to meet the requirements of Section 206(3) of the Investment Advisers Act when
Published: 2009-12-30 SECURITIES AND EXCHANGE COMMISSION : Securities and Exchange Commission
[FR Doc E9-31076] 2. Sunshine Act Meeting Notice
Notice is hereby given, pursuant to the provisions of the Government in the Sunshine Act, Public Law 94409, that the Securities and Exchange Commission will hold a Closed Meeting on Tuesday, December 29, 2009 at 10 a.m.
Commissioners, Counsel to the Commissioners, the Deputy Secretary to the Commission, and recording secretaries will attend
Published: 2009-12-30 SECURITIES AND EXCHANGE COMMISSION : Securities and Exchange Commission
[FR Doc E9-30726] 3.
Securities Act of 1933, Release No. 9099/December 22, 2009.
Securities Exchange Act of 1934, Release No. 61212/December 22, 2009.
The SarbanesOxley Act of 2002 (the ``Act'') established the Public Company Accounting Oversight Board (``PCAOB'') to oversee the audits of public companies and related matters, to protect investors, and to
Published: 2009-12-29 SECURITIES AND EXCHANGE COMMISSION : Securities and Exchange Commission
[FR Doc E9-30589] 4.Revisions To Rule 163
We are proposing amendments to Rule 163(c) under the
Securities Act of 1933 that would allow a wellknown seasoned issuer to authorize an underwriter or dealer to act as its agent or
representative in communicating about offerings of the issuer's
securities prior to the filing of a registration statement. We believe
that the proposed amendments
Published: 2009-12-28 SECURITIES AND EXCHANGE COMMISSION : Securities and Exchange Commission
[FR Doc E9-30546] 5.
December 18, 2009.
The following is a notice of applications for deregistration under
section 8(f) of the Investment Company Act of 1940 for the month of
December, 2009. A copy of each application may be obtained via the
Commission's Web site by searching for the file number, or an applicant
using the Company name box, at Published: 2009-12-24
SECURITIES AND EXCHANGE COMMISSION :
Securities and Exchange Commission
Federal Register Citation of Previous Announcement: 74 FR 66178, December 14, 2009. The following item was added to the Thursday, December 17, 2009
Closed Published: 2009-12-24
SECURITIES AND EXCHANGE COMMISSION :
Securities and Exchange Commission
Upon Written Request, Copy Available From: Securities and Exchange
Commission, Office of Investor Education and Advocacy, Washington, DC 205490213. Form N5; SEC File No. 270172; OMB Control No. 32350169.
Notice is hereby given that, pursuant to the Paperwork Reduction
Act of 1995 (44 U.S.C. 3501 et seq.), the Securities and Published: 2009-12-23
SECURITIES AND EXCHANGE COMMISSION :
Securities and Exchange Commission
Upon Written Request, Copies Available From: Securities and Exchange
Commission, Office of Investor Education and Advocacy, Washington, DC 205490213. Regulation R, Rule 701; SEC File No. 270562; OMB Control No. 32350624. Notice is hereby given that, pursuant to the Paperwork Reduction
Act of 1995 (44 U.S.C. 3501 et seq.), the Published: 2009-12-23
SECURITIES AND EXCHANGE COMMISSION :
Securities and Exchange Commission
Upon Written Request, Copies Available From: Securities and Exchange
Commission, Office of Investor Education and Advocacy, Washington, DC 205490213. Rule 30e1; SEC File No. 27021; OMB Control No. 32350025.
Notice is hereby given that, pursuant to the Paperwork Reduction
Act of 1995 (44 U.S.C. 3501 et seq.), the Securities and Published: 2009-12-23
SECURITIES AND EXCHANGE COMMISSION :
Securities and Exchange Commission
Upon Written Request, Copy Available From: Securities and Exchange
Commission, Office of Investor Education and Advocacy, Washington, DC 205490213. Form N8A; File No. 270135; OMB Control No. 32350175.
Notice is hereby given that, pursuant to the Paperwork Reduction
Act of 1995 (44 U.S.C. 3501 et seq.), the Securities and Exchange Published: 2009-12-22
SECURITIES AND EXCHANGE COMMISSION :
Securities and Exchange Commission The Commission is adopting an amendment to Rule 312 of
Regulation ST to extend its application for one year. Rule 312
provides a temporary filing accommodation for filings with respect to
assetbacked securities that allows static pool information required to
be disclosed in a prospectus to be provided on an Internet Web site
under certain Published: 2009-12-21
SECURITIES AND EXCHANGE COMMISSION :
Securities and Exchange Commission
Notice is hereby given, pursuant to the provisions of the
Government in the Sunshine Act, Public Law 94409, that the Securities
and Exchange Commission will hold a Closed Meeting on Tuesday, December 22, 2009 at 2 p.m. Commissioners, Counsel to the Commissioners, the Secretary to the
Commission, and recording secretaries will attend the Published: 2009-12-21
SECURITIES AND EXCHANGE COMMISSION :
Securities and Exchange Commission In June 2009, the Securities and Exchange Commission proposed
changes to the federal proxy rules in ``Facilitating Shareholder
Director Nominations,'' Release Nos. 339046; 3460089; IC28765; File
No. S71009 (June 10, 2009), 74 FR 29024 (June 18, 2009) (the
``Proposal''). The Commission is reopening the comment period to
permit interested persons to Published: 2009-12-18
SECURITIES AND EXCHANGE COMMISSION :
Securities and Exchange Commission
Upon Written Request, Copies Available From: Securities and Exchange
Commission, Office of Investor Education and Advocacy, Washington, DC 205490213. Rule 30b16T; SEC File No. 270599; OMB Control No. 32350652.
Notice is hereby given that pursuant to the Paperwork Reduction Act
of 1995 (44 U.S.C. 3501 et seq.), the Securities and Published: 2009-12-17
SECURITIES AND EXCHANGE COMMISSION :
Securities and Exchange Commission The Securities and Exchange Commission (``Commission'' or
``SEC'') is, for one year, reducing Investment Adviser Registration
Depository annual and initial filing fees that will be charged
beginning January 1, 2010 through December 31, 2010.
Published: 2009-12-16
SECURITIES AND EXCHANGE COMMISSION :
Securities and Exchange Commission
Upon Written Request, Copies Available From: Securities and Exchange
Commission, Office of Investor Education and Advocacy, Washington, DC 205490213. Form NQ; SEC File No. 270519; OMB Control No. 32350578.
Notice is hereby given that, pursuant to the Paperwork Reduction
Act of 1995 (44 U.S.C. 3501 et seq.), the Securities and Published: 2009-12-14
SECURITIES AND EXCHANGE COMMISSION :
Securities and Exchange Commission
Notice is hereby given, pursuant to the provisions of the
Government in the Sunshine Act, Public Law 94409, that the Securities
and Exchange Commission will hold an Open Meeting on December 16, 2009 at 10 a.m., in the Auditorium, Room L002. The subject matter of the Open Meeting will be: Published: 2009-12-14
SECURITIES AND EXCHANGE COMMISSION :
Securities and Exchange Commission
Notice is hereby given, pursuant to the provisions of the
Government in the Sunshine Act, Public Law 94409, that the Securities
and Exchange Commission will hold a Closed Meeting on Thursday, December 17, 2009 at 2 p.m. Commissioners, Counsel to the Commissioners, the Secretary to the
Commission, and recording secretaries will attend the Published: 2009-12-14
SECURITIES AND EXCHANGE COMMISSION :
Securities and Exchange Commission
Upon Written Request, Copies Available From: Securities and Exchange
Commission, Office of Investor Education and Advocacy, Washington, DC 205490213. Rule 3a4; SEC File No. 270401; OMB Control No. 32350459.
Notice is hereby given that, pursuant to the Paperwork Reduction
Act of 1995 (44 U.S.C. 35013520), the Securities and Published: 2009-12-10
SECURITIES AND EXCHANGE COMMISSION :
Securities and Exchange Commission December 4, 2009. Over the past year, the Securities and Exchange Commission
(``Commission'') has taken multiple actions to protect investors and
ensure the integrity of the nation's securities markets, including
actions \1\ designed to address concerns related to the market in
credit default swaps (``CDS'').\2\ The Published: 2009-12-10
SECURITIES AND EXCHANGE COMMISSION :
Securities and Exchange Commission
Upon Written Request, Copies Available From: Securities and Exchange
Commission, Office of Investor Education and Advocacy, Washington, DC 205490213. Schedule 14D9F, OMB Control No. 32350382, SEC File No. 270 339. Notice is hereby given that, pursuant to the Paperwork Reduction
Act of 1995 (44 U.S.C. 3501 et seq.), the Securities Published: 2009-12-07
SECURITIES AND EXCHANGE COMMISSION :
Securities and Exchange Commission
Notice is hereby given, pursuant to the provisions of the
Government in the Sunshine Act, Public Law 94409, that the Securities
and Exchange Commission will hold a Closed Meeting on Wednesday, December 9, 2009 at 2 p.m. Commissioners, Counsel to the Commissioners, the Secretary to the
Commission, and recording secretaries will attend the Published: 2009-12-07
SECURITIES AND EXCHANGE COMMISSION :
Securities and Exchange Commission
Upon Written Request, Copies Available From: Securities and Exchange
Commission, Office of Investor Education and Advocacy, Washington, DC 205490213. Rule 17a25; OMB Control No. 32350540; SEC File No. 270482.
Notice is hereby given that pursuant to the Paperwork Reduction Act
of 1995 (44 U.S.C. 3501 et seq.), the Securities and Published: 2009-12-07
SECURITIES AND EXCHANGE COMMISSION :
Securities and Exchange Commission
Upon Written Request, Copies Available From: U.S. Securities and
Exchange Commission, Office of Investor Education and Advocacy, Washington, DC 205490213. Notice is hereby given that pursuant to the Paperwork Reduction Act
of 1995 (44 U.S.C. 3501 et seq.), the Securities and Exchange
Commission (``Commission'') is publishing the following Published: 2009-12-07
SECURITIES AND EXCHANGE COMMISSION :
Securities and Exchange Commission
Upon Written Request; Copies Available From: Securities and Exchange
Commission, Office of Investor Education and Advocacy, Washington, DC 205490213. Schedule 13E4F, OMB Control No. 32350375, SEC File No. 270 340. Notice is hereby given that, pursuant to the Paperwork Reduction
Act of 1995 (44 U.S.C. 3501 et seq.), the Securities Published: 2009-12-01
SECURITIES AND EXCHANGE COMMISSION :
Securities and Exchange Commission [FR Doc
E9-30601] 6.
Sunshine Act Meeting Notice
Status: Closed Meeting.
Place: 100 F Street, NE., Washington, DC.
Date and Time of Previously Announced Meeting: Thursday, December 17, 2009 at 2 p.m.Change in the Meeting: Additional Item.
[FR Doc
E9-30430] 7.
Submission for OMB Review; Comment Request
Extension:
[FR Doc
E9-30431] 8.
Proposed Collection; Comment Request
Extension:
[FR Doc
E9-30432] 9.
Submission for OMB Review; Comment Request
Extension:
[FR Doc
E9-30338] 10.
Submission for OMB Review; Comment Request
Extension:
[FR Doc
E9-30185] 11.
[FR Doc
E9-30427] 12.
Sunshine Act Meeting Notice
[FR Doc
E9-30076] 13.
Facilitating Shareholder Director Nominations
[FR Doc
E9-29968] 14.
Submission for OMB Review; Comment Request
Extension:
[FR Doc
E9-29840] 15.
Approval of Investment Adviser Registration Depository Filing Fees
[FR Doc
E9-29633] 16.
Proposed Collection; Comment Request
Extension:
[FR Doc
E9-29718] 17.Sunshine Act Meeting
Item 1: The Commission will consider whether to adopt[FR Doc
E9-29796] 18.
Sunshine Act Meeting
[FR Doc
E9-29393] 19.
Proposed Collection; Comment Request
Extension:
[FR Doc
E9-29423] 20.
I. Introduction
[FR Doc
E9-29046] 21.
Proposed Collection; Comment Request
Extension:
[FR Doc
E9-29135] 22.
Sunshine Act Meeting
[FR Doc
E9-29044] 23.
Submission for OMB Review; Comment Request
Extension:
[FR Doc
E9-29045] 24.
Proposed Extension of Collection; Comment Request
[FR Doc
E9-28682] 25.
Proposed Collection; Comment Request
Extension: