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[FR Doc E9-19989] 101.AGENCY: Securities and Exchange Commission.
The Securities and Exchange Commission is re-opening the comment period to the ``Amendments to Regulation SHO'' it proposed in Securities Exchange Act Release No. 59748 (Apr. 10, 2009), 74 FR 18042 (Apr. 20, 2009) (the ``Proposal''). As a supplement to our request for comment on the Proposal, we are soliciting additional feedback regarding an
Published: 2009-08-20 SECURITIES AND EXCHANGE COMMISSION : Securities and Exchange Commission
[FR Doc E9-20099] 102. Federal Register Citation of Previous Announcement: [74 FR 41466, August 17,
Status: Closed Meeting.
Place: 100 F Street, NE., Washington, DC.
Date and Time of Previously Announced Meeting: Thursday, August 20, 2009 at 2 p.m.
Change in the Meeting: Cancellation of Meeting.
The Closed Meeting scheduled for Thursday, August 20, 2009 at 2 p.m. has been cancelled.
For further information please contact the Office of the
Published: 2009-08-20 SECURITIES AND EXCHANGE COMMISSION : Securities and Exchange Commission
[FR Doc E9-19891] 103. Proposed Extension of Existing Collection; Comment Request
Upon Written Request, Copies Available From: Securities and Exchange
Commission, Office Investor Education and Advocacy, Washington, DC 205490213.
Extension: Rule 17f2(a), OMB Control No. 32350034, SEC File No. 27034.
Notice is hereby given that pursuant to the Paperwork Reduction Act of 1995 (44 U.S.C. 3501 et seq.), the Securities and
Published: 2009-08-19 SECURITIES AND EXCHANGE COMMISSION : Securities and Exchange Commission
[FR Doc E9-19896] 104. Submission for OMB Review; Comment Request
Upon Written Request, Copies Available From: U.S. Securities and
Exchange Commission, Office of Investor Education and Advocacy, Washington, DC 205490213.
Extension: Rule 17a11, OMB Control No. 32350085, SEC File No. 270 94.
Notice is hereby given that pursuant to the Paperwork Reduction Act of 1995 (44 U.S.C. 3501 et seq.) the Securities and
Published: 2009-08-19 SECURITIES AND EXCHANGE COMMISSION : Securities and Exchange Commission
[FR Doc E9-19798] 105. 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 Thursday, August 20, 2009 at 2 p.m.
Commissioners, Counsel to the Commissioners, the Secretary to the Commission, and recording secretaries will attend the
Published: 2009-08-17 SECURITIES AND EXCHANGE COMMISSION : Securities and Exchange Commission
[FR Doc E9-19478] 106.
I. Background
The Credit Rating Agency Reform Act of 2006 (``Rating Agency Act'')
\1\ defined the term ``nationally recognized statistical rating organization''
[[Page 41177]]
(``NRSRO'') and provided authority for the Securities and Exchange
Commission (``Commission'') to implement registration, recordkeeping,
financial reporting, and
Published: 2009-08-14 SECURITIES AND EXCHANGE COMMISSION : Securities and Exchange Commission
[FR Doc E9-19116] 107. Delegation of Authority to Director of Division of Enforcement
The Commission is amending its rules to delegate authority to the Director of the Division of Enforcement to issue formal orders of investigation. These orders designate the enforcement staff authorized to issue subpoenas in connection with investigations under the federal securities laws. This action is intended to expedite the investigative
Published: 2009-08-11 SECURITIES AND EXCHANGE COMMISSION : Securities and Exchange Commission
[FR Doc E9-19121] 108. 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 SP; OMB Control No. 32350537; SEC File No. 270480.
Notice is hereby given that pursuant to the Paperwork Reduction Act of 1995 (44 U.S.C. 3501 et seq.), the Securities and
Published: 2009-08-11 SECURITIES AND EXCHANGE COMMISSION : Securities and Exchange Commission
[FR Doc E9-19020] 109. Regulation S-AM: Limitations on Affiliate Marketing
The Securities and Exchange Commission (``Commission'') is adopting Regulation SAM to implement Section 624 of the Fair Credit Reporting Act as amended by Section 214 of the Fair and Accurate Credit Transactions Act of 2003, which required the Commission and other Federal agencies to adopt rules implementing limitations on a person's use of
Published: 2009-08-11 SECURITIES AND EXCHANGE COMMISSION : Western Area Power Administration
[FR Doc E9-19125] 110.
The Commission today is providing notice that an NRSRO subject to the disclosure provisions of paragraph (d) of Rule 17g2 can satisfy the requirement to make publicly available ratings history information in an XBRL format by using an XBRL format or any other machinereadable format, until such time as the Commission provides further notice.
Published: 2009-08-11 SECURITIES AND EXCHANGE COMMISSION : Securities and Exchange Commission
[FR Doc E9-19234] 111. 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 Thursday, August 13, 2009 at 1 p.m.
Commissioners, Counsel to the Commissioners, the Secretary to the Commission, and recording secretaries will attend the
Published: 2009-08-10 SECURITIES AND EXCHANGE COMMISSION : Securities and Exchange Commission
[FR Doc E9-18807] 112. Political Contributions by Certain Investment Advisers
The Securities and Exchange Commission is proposing for comment a new rule under the Investment Advisers Act of 1940 that would prohibit an investment adviser from providing advisory services for compensation to a government client for two years after the adviser or certain of its executives or employees make a contribution to certain elected
Published: 2009-08-07 SECURITIES AND EXCHANGE COMMISSION : Veterans Affairs Department
[FR Doc E9-18981] 113. 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 T3, OMB Control No. 32350105, SEC File No. 270123.
Notice is hereby given that, pursuant to the Paperwork Reduction Act of 1995 (44 U.S.C. 3501 et seq.), the Securities and
Published: 2009-08-07 SECURITIES AND EXCHANGE COMMISSION : Securities and Exchange Commission
[FR Doc E9-18974] 114. Proposed Collection; Comment Request
Upon Written Request; Copies Available From: Securities and Exchange Commission, Office of Investor and Advocacy, Washington, DC 205490213.
Extension:
Form T4, OMB Control No. 32350107, SEC File No. 270124.
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: 2009-08-07 SECURITIES AND EXCHANGE COMMISSION : Securities and Exchange Commission
[FR Doc E9-18983] 115. 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 N6, SEC File No. 270446, OMB Control No. 32350503.
Notice is hereby given that, pursuant to the Paperwork Reduction Act of 1995 (44 U.S.C. 3501 et seq.), the Securities and
Published: 2009-08-07 SECURITIES AND EXCHANGE COMMISSION : Securities and Exchange Commission
[FR Doc E9-18979] 116. 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 T1, OMB Control No. 32350110, SEC File No. 270121.
Notice is hereby given that, pursuant to the Paperwork Reduction Act of 1995 (44 U.S.C. 3501 et seq.), the Securities and
Published: 2009-08-07 SECURITIES AND EXCHANGE COMMISSION : Securities and Exchange Commission
[FR Doc E9-19042] 117. 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 Thursday, August 6, 2009 at 2 p.m.
Commissioners, Counsel to the Commissioners, the Secretary to the Commission, and recording secretaries will attend the
Published: 2009-08-07 SECURITIES AND EXCHANGE COMMISSION : Securities and Exchange Commission
[FR Doc E9-18980] 118. 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 T2, OMB Control No. 32350111, SEC File No. 270122.
Notice is hereby given that, pursuant to the Paperwork Reduction Act of 1995 (44 U.S.C. 3501 et seq.), the Securities and
Published: 2009-08-07 SECURITIES AND EXCHANGE COMMISSION : Securities and Exchange Commission
[FR Doc E9-18761] 119. Approval of Investment Adviser Registration Depository Filing Fees
The Securities and Exchange Commission (``Commission'' or ``SEC'') is, for five months, waiving Investment Adviser Registration Depository annual and initial filing fees for investment advisers.
Published: 2009-08-06 SECURITIES AND EXCHANGE COMMISSION : Securities and Exchange Commission
[FR Doc E9-18765] 120.
July 31, 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
July, 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: 2009-08-06
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 204, OMB Control No. 32350647, SEC File No. 270586.
Notice is hereby given that pursuant to the Paperwork Reduction Act
of 1995 (44 U.S.C. 3501 et seq.), the Securities and Published: 2009-08-04
SECURITIES AND EXCHANGE COMMISSION :
Securities and Exchange Commission The Securities and Exchange Commission (the Commission) is
adopting revisions to the Electronic Data Gathering, Analysis, and
Retrieval System (EDGAR) Filer Manual to reflect updates to the EDGAR
system. The revisions were made primarily to support the 2009 US GAAP
Taxonomy, the Schedule of Investments (SOI) Taxonomy and to communicate
a change in Published: 2009-08-04
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 11K; OMB Control No. 32350082; SEC File No. 270101.
Notice is hereby given that, pursuant to the Paperwork Reduction
Act of 1995 (44 U.S.C. 3501 et seq.), the Securities and Published: 2009-08-04
SECURITIES AND EXCHANGE COMMISSION :
Securities and Exchange Commission The Securities and Exchange Commission (``Commission'') is
finalizing amendments to Regulation SHO under the Securities Exchange
Act of 1934 (``Exchange Act'') by making permanent amendments contained
in Interim Final Temporary Rule 204T (``temporary Rule 204T'') of
Regulation SHO, with some modifications to address commenters'
concerns. These Published: 2009-07-31
SECURITIES AND EXCHANGE COMMISSION :
Veterans Affairs Department
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: 2009-07-30
SECURITIES AND EXCHANGE COMMISSION :
Securities and Exchange Commission [FR Doc
E9-18560] 121.
Proposed Extension of Existing Collection; Comment Request
Extension:
[FR Doc
E9-18434] 122.
Adoption of Updated EDGAR Filer Manual
[FR Doc
E9-18559] 123.
Submission for OMB Review; Comment Request
Extension:
[FR Doc
E9-18185] 124.
Amendments to Regulation SHO
[FR Doc
E9-18172] 125.
Proposed Collection; Comment Request
Extension: