Agency: Securities and Exchange Commission
Years: 20002001200220032004200520062007200820092010201120122013[FR Doc 2010-33077] 1. Principal Trades with Certain Advisory Clients
The Securities and Exchange Commission is amending rule 206(3)3T under the Investment Advisers Act of 1940, a temporary rule that establishes an alternative means for investment advisers who are registered with the Commission as brokerdealers to meet the requirements of section 206(3) of the Investment Advisers Act when they act in a principal
Published: 2010-12-30 SECURITIES AND EXCHANGE COMMISSION : Securities and Exchange Commission
[FR Doc 2010-32941] 2. Proposed Collection; Comment Request
Upon Written Request, Copies Available From: Securities and Exchange Commission, Office of Investor Education and Advocacy, Washington, DC 205490213.
Extension:
Rule 206(3)3T, SEC File No. 270571, OMB Control No. 32350630.
Notice is hereby given that, pursuant to the Paperwork Reduction Act of 1995 (44 U.S.C. 350l et seq.), the Securities
Published: 2010-12-30 SECURITIES AND EXCHANGE COMMISSION : Securities and Exchange Commission
[FR Doc 2010-32520] 3. Proposed Collection; Comment Request
Upon Written Request, Copies Available From: Securities and Exchange
Commission, Office of Investor Education and Advocacy, Washington, DC 205490213.
Extension: Rule 27d2; SEC File No. 270500; OMB Control No. 3235 0566.
Notice is hereby given that, pursuant to the Paperwork Reduction Act of 1995 (44 U.S.C. 350l et seq.), the Securities and
Published: 2010-12-28 SECURITIES AND EXCHANGE COMMISSION : Securities and Exchange Commission
[FR Doc 2010-32521] 4. Proposed Collection; Comment Request
Upon Written Request, Copies Available From: Securities and Exchange
Commission, Office of Investor Education and Advocacy, Washington, DC 205490213.
Extension: Rule 17a10; SEC File No. 270507; OMB Control No. 3235 0563.
Notice is hereby given that pursuant to the Paperwork Reduction Act of 1995 (44 U.S.C. 3501 et seq.) the Securities and
Published: 2010-12-28 SECURITIES AND EXCHANGE COMMISSION : Securities and Exchange Commission
[FR Doc 2010-32522] 5. Submission for OMB Review; Comment Request
Upon Written Request, Copies Available From: Securities and Exchange
Commission, Office of Investor Education and Advocacy, Washington, DC 205490213.
Extension: Regulation SAM; SEC File No. 270548; OMB Control No. 32350609.
Notice is hereby given that pursuant to the Paperwork Reduction Act of 1995 (44 U.S.C. 3501 et seq.) the Securities and
Published: 2010-12-28 SECURITIES AND EXCHANGE COMMISSION : Securities and Exchange Commission
[FR Doc 2010-32553] 6. Submission for OMB Review; Comment Request
Upon Written Request, Copies Available From: Securities and Exchange
Commission, Office of Investor Education and Advocacy, Washington, DC 205490213.
Extension: Rule 425, OMB Control No. 32350521, SEC File No. 270 462.
Notice is hereby given that, pursuant to the Paperwork Reduction Act of 1995 (44 U.S.C. 3501 et seq.), the Securities and
Published: 2010-12-28 SECURITIES AND EXCHANGE COMMISSION : Securities and Exchange Commission
[FR Doc 2010-32650] 7. Order Approving Public Company Accounting Oversight Board Budget and Annual
The SarbanesOxley Act of 2002, as amended (the ``SarbanesOxley Act''), established the Public Company Accounting Oversight Board (``PCAOB'') to oversee the audits of companies that are subject to the securities laws, and related matters, in order to protect the interests of investors and further the public interest in the preparation of
Published: 2010-12-28 SECURITIES AND EXCHANGE COMMISSION : Securities and Exchange Commission
[FR Doc 2010-32727] 8. Sunshine Act Meeting
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 29, 2010 at 2 p.m.
Commissioners, Counsel to the Commissioners, the Secretary to the Commission, and recording secretaries will attend the
Published: 2010-12-28 SECURITIES AND EXCHANGE COMMISSION : Securities and Exchange Commission
[FR Doc 2010-32517] 9. Proposed Collection; Comment Request
Upon Written Request, Copies Available From: Securities and Exchange
Commission, Office of Investor Education and Advocacy, Washington, DC 205490213.
Extension: Rule 27d1 and Form N27D1; SEC File No. 270499; OMB Control No. 32350560.
Notice is hereby given that, pursuant to the Paperwork Reduction Act of 1995 (44 U.S.C. 3501 et seq.), the
Published: 2010-12-28 SECURITIES AND EXCHANGE COMMISSION : Securities and Exchange Commission
[FR Doc 2010-32518] 10. Proposed Collection; Comment Request
Upon Written Request, Copies Available From: Securities and Exchange
Commission, Office of Investor Education and Advocacy, Washington, DC 205490213.
Extension: Rule 17a6, SEC File No. 270506, OMB Control No. 3235 0564.
Notice is hereby given that, pursuant to the Paperwork Reduction Act of 1995 (44 U.S.C. 3501), the Securities and Exchange
Published: 2010-12-28 SECURITIES AND EXCHANGE COMMISSION : Securities and Exchange Commission
[FR Doc 2010-32519] 11. Proposed Collection; Comment Request
Upon Written Request, Copies Available From: Securities and Exchange
Commission, Office of Investor Education and Advocacy, Washington, DC 205490213.
Extension: Rule 12d31, SEC File No. 270504, OMB Control No. 3235 0561.
Notice is hereby given that, pursuant to the Paperwork Reduction Act of 1995 (44 U.S.C. 3501 et seq.), the Securities and
Published: 2010-12-28 SECURITIES AND EXCHANGE COMMISSION : Securities and Exchange Commission
[FR Doc 2010-32372] 12. Proposed Collection; Comment Request
Upon Written Request, Copies Available From: Securities and Exchange Commission, Office of Investor Education and Advocacy, Washington, DC 205490213.
Extension:
Form S3; OMB Control No. 32350073; SEC File No. 27061.
Notice is hereby given that, pursuant to the Paperwork Reduction Act of 1995 (44 U.S.C. 3501 et seq.), the Securities and
Published: 2010-12-27 SECURITIES AND EXCHANGE COMMISSION : Securities and Exchange Commission
[FR Doc 2010-32287] 13.
December 16, 2010.
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 2010. 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: 2010-12-23
SECURITIES AND EXCHANGE COMMISSION :
Securities and Exchange Commission The Securities and Exchange Commission is requesting public
comment to help inform its study pursuant to Section 939(h) of the
DoddFrank Wall Street Reform and Consumer Protection Act of 2010 on
the feasibility and desirability of: Standardizing credit ratings
terminology, so that all credit rating agencies issue credit ratings
using identical Published: 2010-12-23
SECURITIES AND EXCHANGE COMMISSION :
Securities and Exchange Commission The Commission is adopting an amendment to Rule 312 of
Regulation ST to further extend its application for eighteen months.
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 of an assetbacked issuer to
be provided on an Published: 2010-12-22
SECURITIES AND EXCHANGE COMMISSION :
Securities and Exchange Commission We are proposing amendments to our rules to implement Section
1503 of the DoddFrank Wall Street Reform and Consumer Protection Act.
Section 1503(a) of the Act requires issuers that are operators, or that
have a subsidiary that is an operator, of a coal or other mine to
disclose in their periodic reports filed with the Commission
information Published: 2010-12-22
SECURITIES AND EXCHANGE COMMISSION :
Securities and Exchange Commission In accordance with the Dodd-Frank Wall Street Reform and
Consumer Protection Act of 2010 (``DoddFrank Act''), the Securities
and Exchange Commission (``Commission'') is proposing new Rule 3Cg1
under the Securities Exchange Act of 1934 (``Exchange Act'') governing
the exception to mandatory clearing of securitybased swaps available
for Published: 2010-12-21
SECURITIES AND EXCHANGE COMMISSION :
Securities and Exchange Commission Correction In proposed rule document 201029719 beginning on page 77306 in the
issue of December 10, 2010, make the following corrections:
1. On page 77320, in the third column, footnote 74, in the fourth line, ``recordkeeping'' should read ``record keeping''. 2. On page 77321, in the second column, below the heading Request
for Comment, Published: 2010-12-20
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. Form BDN/Rule 15b111; SEC File No. 270498; OMB Control No. 32350556. Notice is hereby given that, pursuant to the Paperwork Reduction
Act of 1995 (44 U.S.C. 3501 et seq.), the Published: 2010-12-20
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. Extension: Form 6K; OMB Control No. 32350116; SEC File No. 270107.
Notice is hereby given that, pursuant to the Paperwork Reduction
Act of 1995 (44 U.S.C. 3501 et seq.), the Securities and Published: 2010-12-20
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. Extension: Form 144; OMB Control No. 32350101; SEC File No. 270112.
Notice is hereby given that, pursuant to the Paperwork Reduction
Act of 1995 (44 U.S.C. 3501 et seq.), the Securities and Published: 2010-12-20
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 15, 2010 at 10 a.m., in the Auditorium, Room L002. The subject matters of the Open Meeting will be:
Item 1: The Commission will consider whether to Published: 2010-12-13
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 16, 2010 at 2 p.m. Commissioners, Counsel to the Commissioners, the Secretary to the
Commission, and recording secretaries will attend the Published: 2010-12-13
SECURITIES AND EXCHANGE COMMISSION :
Securities and Exchange Commission The Dodd-Frank Wall Street Reform and Consumer Protection Act
(``DoddFrank Act'') was enacted on July 21, 2010. The DoddFrank Act,
among other things, mandates that the Commodity Futures Trading
Commission (``CFTC'') and the Securities and Exchange Commission
(``SEC'') conduct a study on ``the feasibility of requiring the
derivatives industry to Published: 2010-12-09
COMMODITY FUTURES TRADING COMMISSION :
Securities and Exchange Commission The Securities and Exchange Commission (``Commission'' or
``SEC'') is revising Investment Adviser Registration Depository annual
and initial filing fees that will be charged beginning January 1, 2011.
Hearing or Notification of Hearing: An order approving the IARD
filing fees will be issued unless the Commission orders a hearing.
Interested Published: 2010-12-08
SECURITIES AND EXCHANGE COMMISSION :
Securities and Exchange Commission [FR Doc
2010-32280] 14.
Credit Rating Standardization Study
[FR Doc
2010-32098] 15.
[FR Doc
2010-31941] 16.
Mine Safety Disclosure
[FR Doc
2010-31973] 17.
End-User Exception to Mandatory Clearing of Security-Based Swaps
[FR Doc
C1-2010-29719] 18.
Security-Based Swap Data Repository Registration, Duties, and Core Principles
[FR Doc
2010-31819] 19.
Submission for OMB Review; Comment Request
Extension:
[FR Doc
2010-31820] 20.
Submission for OMB Review; Comment Request
[FR Doc
2010-31821] 21.
Submission for OMB Review; Comment Request
[FR Doc
2010-31291] 22.
Sunshine Act Meeting
[FR Doc
2010-31393] 23.
Sunshine Act Meeting
[FR Doc
2010-30905] 24. Acceptance of Public Submissions on a Study Mandated by the Dodd- Frank Wall
[FR Doc
2010-30701] 25.
Approval of Investment Adviser Registration Depository Filing Fees