17 CFR - Title 17—Commodity and Securities Exchanges
Title 17 published on 2011-04-01
The following are only the Rules published in the Federal Register after the published date of Title 17.
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GPO FDSys XML | Text type regulations.gov FR Doc. 2012-8141 RIN 3235-AL16 File No. S7-22-11 Release Nos. 33-9308 34-66703 39-2484 SECURITIES AND EXCHANGE COMMISSION Final rule. Effective Date: The final rules are effective April 16, 2012. 17 CFR Parts 230, 240 and 260 We are adopting exemptions under the Securities Act of 1933, the Securities Exchange Act of 1934, and the Trust Indenture Act of 1939 for security-based swaps issued by certain clearing agencies satisfying certain conditions. The final rules exempt transactions by clearing agencies in these security-based swaps from all provisions of the Securities Act, other than the Section 17(a) anti-fraud provisions, as well as exempt these security-based swaps from Exchange Act registration requirements and from the provisions of the Trust Indenture Act, provided certain conditions are met.
GPO FDSys XML | Text type regulations.gov FR Doc. 2012-8141 RIN 3235-AL16 File No. S7-22-11 Release Nos. 33-9308 34-66703 39-2484 SECURITIES AND EXCHANGE COMMISSION Final rule. Effective Date: The final rules are effective April 16, 2012. 17 CFR Parts 230, 240 and 260 We are adopting exemptions under the Securities Act of 1933, the Securities Exchange Act of 1934, and the Trust Indenture Act of 1939 for security-based swaps issued by certain clearing agencies satisfying certain conditions. The final rules exempt transactions by clearing agencies in these security-based swaps from all provisions of the Securities Act, other than the Section 17(a) anti-fraud provisions, as well as exempt these security-based swaps from Exchange Act registration requirements and from the provisions of the Trust Indenture Act, provided certain conditions are met.
GPO FDSys XML | Text type regulations.gov FR Doc. 2012-8141 RIN 3235-AL16 File No. S7-22-11 Release Nos. 33-9308 34-66703 39-2484 SECURITIES AND EXCHANGE COMMISSION Final rule. Effective Date: The final rules are effective April 16, 2012. 17 CFR Parts 230, 240 and 260 We are adopting exemptions under the Securities Act of 1933, the Securities Exchange Act of 1934, and the Trust Indenture Act of 1939 for security-based swaps issued by certain clearing agencies satisfying certain conditions. The final rules exempt transactions by clearing agencies in these security-based swaps from all provisions of the Securities Act, other than the Section 17(a) anti-fraud provisions, as well as exempt these security-based swaps from Exchange Act registration requirements and from the provisions of the Trust Indenture Act, provided certain conditions are met.
GPO FDSys XML | Text type regulations.gov FR Doc. 2012-5317 RIN 3038-AC96 COMMODITY FUTURES TRADING COMMISSION Final rule. The rules are effective June 4, 2012. Specific compliance dates are discussed in the supplementary information. 17 CFR Parts 1, 3, and 23 The Commodity Futures Trading Commission (Commission or CFTC) is adopting regulations to implement certain provisions of Title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act (Dodd-Frank Act). These regulations set forth reporting and recordkeeping requirements and daily trading records requirements for swap dealers (SDs) and major swap participants (MSPs). These regulations also set forth certain duties imposed upon SDs and MSPs registered with the Commission with regard to: Risk management procedures; monitoring of trading to prevent violations of applicable position limits; diligent supervision; business continuity and disaster recovery; disclosure and the ability of regulators to obtain general information; and antitrust considerations. In addition, these regulations establish conflicts-of-interest requirements for SDs, MSPs, futures commission merchants (FCMs), and introducing brokers (IBs) with regard to firewalls between research and trading and between clearing and trading. Finally, these regulations also require each FCM, SD, and MSP to designate a chief compliance officer, prescribe qualifications and duties of the chief compliance officer, and require that the chief compliance officer prepare, certify, and furnish to the Commission an annual report containing an assessment of the registrant's compliance activities.
GPO FDSys XML | Text type regulations.gov FR Doc. 2012-5317 RIN 3038-AC96 COMMODITY FUTURES TRADING COMMISSION Final rule. The rules are effective June 4, 2012. Specific compliance dates are discussed in the supplementary information. 17 CFR Parts 1, 3, and 23 The Commodity Futures Trading Commission (Commission or CFTC) is adopting regulations to implement certain provisions of Title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act (Dodd-Frank Act). These regulations set forth reporting and recordkeeping requirements and daily trading records requirements for swap dealers (SDs) and major swap participants (MSPs). These regulations also set forth certain duties imposed upon SDs and MSPs registered with the Commission with regard to: Risk management procedures; monitoring of trading to prevent violations of applicable position limits; diligent supervision; business continuity and disaster recovery; disclosure and the ability of regulators to obtain general information; and antitrust considerations. In addition, these regulations establish conflicts-of-interest requirements for SDs, MSPs, futures commission merchants (FCMs), and introducing brokers (IBs) with regard to firewalls between research and trading and between clearing and trading. Finally, these regulations also require each FCM, SD, and MSP to designate a chief compliance officer, prescribe qualifications and duties of the chief compliance officer, and require that the chief compliance officer prepare, certify, and furnish to the Commission an annual report containing an assessment of the registrant's compliance activities.
GPO FDSys XML | Text type regulations.gov FR Doc. 2012-5317 RIN 3038-AC96 COMMODITY FUTURES TRADING COMMISSION Final rule. The rules are effective June 4, 2012. Specific compliance dates are discussed in the supplementary information. 17 CFR Parts 1, 3, and 23 The Commodity Futures Trading Commission (Commission or CFTC) is adopting regulations to implement certain provisions of Title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act (Dodd-Frank Act). These regulations set forth reporting and recordkeeping requirements and daily trading records requirements for swap dealers (SDs) and major swap participants (MSPs). These regulations also set forth certain duties imposed upon SDs and MSPs registered with the Commission with regard to: Risk management procedures; monitoring of trading to prevent violations of applicable position limits; diligent supervision; business continuity and disaster recovery; disclosure and the ability of regulators to obtain general information; and antitrust considerations. In addition, these regulations establish conflicts-of-interest requirements for SDs, MSPs, futures commission merchants (FCMs), and introducing brokers (IBs) with regard to firewalls between research and trading and between clearing and trading. Finally, these regulations also require each FCM, SD, and MSP to designate a chief compliance officer, prescribe qualifications and duties of the chief compliance officer, and require that the chief compliance officer prepare, certify, and furnish to the Commission an annual report containing an assessment of the registrant's compliance activities.
GPO FDSys XML | Text type regulations.gov FR Doc. 2012-7608 RIN Release Nos. 33-9303 34-66654 39-2483 IC-30008 SECURITIES AND EXCHANGE COMMISSION Final rule. Effective Date: March 30, 2012. The incorporation by reference of the EDGAR Filer Manual is approved by the Director of the Federal Register as of March 30, 2012. 17 CFR Part 232 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 are being made primarily to support the upgrade to the 2012 US GAAP and 2012 Mutual Fund Risk/Return Summary Taxonomies; to support period field validation updates for the submission of Form N-PX; to remove the OMB expiration date from Form D, 3, 4, and 5; and to include additional filer support fax numbers on various EDGAR Filer Management Web site screens. The EDGAR system is scheduled to be upgraded to support this functionality on March 26, 2012. The filer manual is also being revised to support the retirement of the DOS based Form N-SAR application and the introduction of the new online Form N-SAR application. The EDGAR system is scheduled to be upgraded to support this functionality on July 9, 2012.
GPO FDSys XML | Text type regulations.gov FR Doc. 2012-7446 RIN 3235-AK90 File No. S7-04-11 Release Nos. 33-9287A IA-3341A IC-29891A SECURITIES AND EXCHANGE COMMISSION Final rule; technical amendment. Effective: March 28, 2012. 17 CFR Parts 200, 230, 240, and 242 We are making a technical amendment to Regulation D and conforming changes to certain other rules. Regulation D was last amended in Release No. 33-9287 (December 21, 2011), which was published in the Federal Register on December 29, 2011. Those amendments became effective on February 27, 2012. Due to a typographical error in that release, the Preliminary Notes to Regulation D were inadvertently deleted from Regulation D. We are restoring the deleted text as new Rule 500. The deleted text is not being restored as Preliminary Notes in order to comply with current Federal Register codification standards.
GPO FDSys XML | Text type regulations.gov FR Doc. 2012-7446 RIN 3235-AK90 File No. S7-04-11 Release Nos. 33-9287A IA-3341A IC-29891A SECURITIES AND EXCHANGE COMMISSION Final rule; technical amendment. Effective: March 28, 2012. 17 CFR Parts 200, 230, 240, and 242 We are making a technical amendment to Regulation D and conforming changes to certain other rules. Regulation D was last amended in Release No. 33-9287 (December 21, 2011), which was published in the Federal Register on December 29, 2011. Those amendments became effective on February 27, 2012. Due to a typographical error in that release, the Preliminary Notes to Regulation D were inadvertently deleted from Regulation D. We are restoring the deleted text as new Rule 500. The deleted text is not being restored as Preliminary Notes in order to comply with current Federal Register codification standards.
GPO FDSys XML | Text type regulations.gov FR Doc. 2012-7446 RIN 3235-AK90 File No. S7-04-11 Release Nos. 33-9287A IA-3341A IC-29891A SECURITIES AND EXCHANGE COMMISSION Final rule; technical amendment. Effective: March 28, 2012. 17 CFR Parts 200, 230, 240, and 242 We are making a technical amendment to Regulation D and conforming changes to certain other rules. Regulation D was last amended in Release No. 33-9287 (December 21, 2011), which was published in the Federal Register on December 29, 2011. Those amendments became effective on February 27, 2012. Due to a typographical error in that release, the Preliminary Notes to Regulation D were inadvertently deleted from Regulation D. We are restoring the deleted text as new Rule 500. The deleted text is not being restored as Preliminary Notes in order to comply with current Federal Register codification standards.
GPO FDSys XML | Text type regulations.gov FR Doc. 2012-7446 RIN 3235-AK90 File No. S7-04-11 Release Nos. 33-9287A IA-3341A IC-29891A SECURITIES AND EXCHANGE COMMISSION Final rule; technical amendment. Effective: March 28, 2012. 17 CFR Parts 200, 230, 240, and 242 We are making a technical amendment to Regulation D and conforming changes to certain other rules. Regulation D was last amended in Release No. 33-9287 (December 21, 2011), which was published in the Federal Register on December 29, 2011. Those amendments became effective on February 27, 2012. Due to a typographical error in that release, the Preliminary Notes to Regulation D were inadvertently deleted from Regulation D. We are restoring the deleted text as new Rule 500. The deleted text is not being restored as Preliminary Notes in order to comply with current Federal Register codification standards.
GPO FDSys XML | Text type regulations.gov FR Doc. C1-2012-3390 RIN 3038-AD30 COMMODITY FUTURES TRADING COMMISSION 17 CFR Parts 4, 145, and 147 The Commodity Futures Trading Commission is adopting amendments to its existing part 4 regulations and promulgating one new regulation regarding Commodity Pool Operators and Commodity Trading Advisors. The Commission is also adopting new data collections for CPOs and CTAs that are consistent with a data collection required under the Dodd-Frank Act for entities registered with both the Commission and the Securities and Exchange Commission. The adopted amendments rescind an exemption from registration as a CPO; rescind relief from the certification requirement for annual reports provided to operators of certain pools offered only to qualified eligible persons (“QEPs”); modify the criteria for claiming exclusion from the definition of CPO; and require the annual filing of notices claiming exemptive relief under several sections of the Commision's regulations. Finally, the adopted amendments include new risk disclosure requirements for CPOs and CTAs regarding swap transactions. 2. In 17 CFR Part 4, beginning on page 11283, in the second column, in 31st line of text, amendatory instructions 1-8 and their corresponding amendments to the Code of Federal Regulations are being republished as follows:
GPO FDSys XML | Text type regulations.gov FR Doc. 2012-5454 RIN Release No. 34-66502 SECURITIES AND EXCHANGE COMMISSION Effective: March 7, 2012. 17 CFR Part 200 The Securities and Exchange Commission (“SEC” or “Commission”) is making technical amendments to the rule under which former members and employees of the Commission are required to file with the Commission a statement concerning their practice outside the government. The amendments change the office responsible for processing these statements and provide a means of filing a statement electronically.
GPO FDSys XML | Text type regulations.gov FR Doc. 2012-3390 RIN 3038-AD30 COMMODITY FUTURES TRADING COMMISSION Final rule. Effective dates: This final rule is effective on April 24, 2012, except for the amendments to § 4.27, which shall become effective on July 2, 2012. Compliance dates: Compliance with § 4.27 shall be required by not later than September 15, 2012, for a CPO having at least $5 billion in assets under management, and by not later than December 14, 2012, for all other registered CPOs and all CTAs. Compliance with § 4.5 for registration purposes only shall be required not later than the later of December 31, 2012, or 60 days after the effective date of the final rulemaking further defining the term “swap,” which the Commission will publish in the Federal Register at a future date. Entities required to register due to the amendments to § 4.5 shall be subject to the Commission's recordkeeping, reporting, and disclosure requirements pursuant to part 4 of the Commission's regulations within 60 days following the effectiveness of a final rule implementing the Commission's proposed harmonization effort pursuant to the concurrent proposed rulemaking. CPOs claiming exemption under § 4.13(a)(4) shall be required to comply with the rescission of § 4.13(a)(4) by December 31, 2012; however, compliance shall be required for all other CPOs on April 24, 2012. Compliance with all other amendments, not otherwise specified above, shall be required by December 31, 2012. 17 CFR Parts 4, 145, and 147 The Commodity Futures Trading Commission is adopting amendments to its existing part 4 regulations and promulgating one new regulation regarding Commodity Pool Operators and Commodity Trading Advisors. The Commission is also adopting new data collections for CPOs and CTAs that are consistent with a data collection required under the Dodd-Frank Act for entities registered with both the Commission and the Securities and Exchange Commission. The adopted amendments rescind the exemption from registration; rescind relief from the certification requirement for annual reports provided to operators of certain pools offered only to qualified eligible persons (QEPs; modify the criteria for claiming relief); and require the annual filing of notices claiming exemptive relief under several sections of the Commission's regulations. Finally, the adopted amendments include new risk disclosure requirements for CPOs and CTAs regarding swap transactions.
GPO FDSys XML | Text type regulations.gov FR Doc. 2012-3390 RIN 3038-AD30 COMMODITY FUTURES TRADING COMMISSION Final rule. Effective dates: This final rule is effective on April 24, 2012, except for the amendments to § 4.27, which shall become effective on July 2, 2012. Compliance dates: Compliance with § 4.27 shall be required by not later than September 15, 2012, for a CPO having at least $5 billion in assets under management, and by not later than December 14, 2012, for all other registered CPOs and all CTAs. Compliance with § 4.5 for registration purposes only shall be required not later than the later of December 31, 2012, or 60 days after the effective date of the final rulemaking further defining the term “swap,” which the Commission will publish in the Federal Register at a future date. Entities required to register due to the amendments to § 4.5 shall be subject to the Commission's recordkeeping, reporting, and disclosure requirements pursuant to part 4 of the Commission's regulations within 60 days following the effectiveness of a final rule implementing the Commission's proposed harmonization effort pursuant to the concurrent proposed rulemaking. CPOs claiming exemption under § 4.13(a)(4) shall be required to comply with the rescission of § 4.13(a)(4) by December 31, 2012; however, compliance shall be required for all other CPOs on April 24, 2012. Compliance with all other amendments, not otherwise specified above, shall be required by December 31, 2012. 17 CFR Parts 4, 145, and 147 The Commodity Futures Trading Commission is adopting amendments to its existing part 4 regulations and promulgating one new regulation regarding Commodity Pool Operators and Commodity Trading Advisors. The Commission is also adopting new data collections for CPOs and CTAs that are consistent with a data collection required under the Dodd-Frank Act for entities registered with both the Commission and the Securities and Exchange Commission. The adopted amendments rescind the exemption from registration; rescind relief from the certification requirement for annual reports provided to operators of certain pools offered only to qualified eligible persons (QEPs; modify the criteria for claiming relief); and require the annual filing of notices claiming exemptive relief under several sections of the Commission's regulations. Finally, the adopted amendments include new risk disclosure requirements for CPOs and CTAs regarding swap transactions.
GPO FDSys XML | Text type regulations.gov FR Doc. 2012-3390 RIN 3038-AD30 COMMODITY FUTURES TRADING COMMISSION Final rule. Effective dates: This final rule is effective on April 24, 2012, except for the amendments to § 4.27, which shall become effective on July 2, 2012. Compliance dates: Compliance with § 4.27 shall be required by not later than September 15, 2012, for a CPO having at least $5 billion in assets under management, and by not later than December 14, 2012, for all other registered CPOs and all CTAs. Compliance with § 4.5 for registration purposes only shall be required not later than the later of December 31, 2012, or 60 days after the effective date of the final rulemaking further defining the term “swap,” which the Commission will publish in the Federal Register at a future date. Entities required to register due to the amendments to § 4.5 shall be subject to the Commission's recordkeeping, reporting, and disclosure requirements pursuant to part 4 of the Commission's regulations within 60 days following the effectiveness of a final rule implementing the Commission's proposed harmonization effort pursuant to the concurrent proposed rulemaking. CPOs claiming exemption under § 4.13(a)(4) shall be required to comply with the rescission of § 4.13(a)(4) by December 31, 2012; however, compliance shall be required for all other CPOs on April 24, 2012. Compliance with all other amendments, not otherwise specified above, shall be required by December 31, 2012. 17 CFR Parts 4, 145, and 147 The Commodity Futures Trading Commission is adopting amendments to its existing part 4 regulations and promulgating one new regulation regarding Commodity Pool Operators and Commodity Trading Advisors. The Commission is also adopting new data collections for CPOs and CTAs that are consistent with a data collection required under the Dodd-Frank Act for entities registered with both the Commission and the Securities and Exchange Commission. The adopted amendments rescind the exemption from registration; rescind relief from the certification requirement for annual reports provided to operators of certain pools offered only to qualified eligible persons (QEPs; modify the criteria for claiming relief); and require the annual filing of notices claiming exemptive relief under several sections of the Commission's regulations. Finally, the adopted amendments include new risk disclosure requirements for CPOs and CTAs regarding swap transactions.
GPO FDSys XML | Text type regulations.gov FR Doc. 2012-4046 RIN 3235-AK71 File No. S7-17-11 Release No. IA-3372 SECURITIES AND EXCHANGE COMMISSION Final rule. Effective Date: The amendments are effective on May 22, 2012. 17 CFR Part 275 The Securities and Exchange Commission (“Commission” or “SEC”) is adopting amendments to the rule under the Investment Advisers Act of 1940 that permits investment advisers to charge performance based compensation to “qualified clients.” The amendments revise the dollar amount thresholds of the rule's tests that are used to determine whether an individual or company is a qualified client. These rule amendments codify revisions that the Commission recently issued by order that adjust the dollar amount thresholds to account for the effects of inflation. In addition, the rule amendments: provide that the Commission will issue an order every five years in the future adjusting the dollar amount thresholds for inflation; exclude the value of a person's primary residence and certain associated debt from the test of whether a person has sufficient net worth to be considered a qualified client; and add certain transition provisions to the rule.
GPO FDSys XML | Text type regulations.gov FR Doc. 2012-1244 RIN 3038-AD25 COMMODITY FUTURES TRADING COMMISSION Effective Date: These final rules will become effective on April 17, 2012. Compliance Date: Swap dealers and major swap participants must comply with the rules in subpart H of part 23 on the later of 180 days after the effective date of these rules or the date on which swap dealers or major swap participants are required to apply for registration pursuant to Commission rule 3.10. 17 CFR Parts 4 and 23 The Commodity Futures Trading Commission (“Commission” or “CFTC”) is adopting final rules to implement Section 4s(h) of the Commodity Exchange Act (“CEA”) pursuant to Section 731 of Title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010 (the “Dodd-Frank Act”). These rules prescribe external business conduct standards for swap dealers and major swap participants.
GPO FDSys XML | Text type regulations.gov FR Doc. 2012-1244 RIN 3038-AD25 COMMODITY FUTURES TRADING COMMISSION Effective Date: These final rules will become effective on April 17, 2012. Compliance Date: Swap dealers and major swap participants must comply with the rules in subpart H of part 23 on the later of 180 days after the effective date of these rules or the date on which swap dealers or major swap participants are required to apply for registration pursuant to Commission rule 3.10. 17 CFR Parts 4 and 23 The Commodity Futures Trading Commission (“Commission” or “CFTC”) is adopting final rules to implement Section 4s(h) of the Commodity Exchange Act (“CEA”) pursuant to Section 731 of Title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010 (the “Dodd-Frank Act”). These rules prescribe external business conduct standards for swap dealers and major swap participants.
GPO FDSys XML | Text type regulations.gov FR Doc. 2012-3312 RIN Release No. 34-66355 SECURITIES AND EXCHANGE COMMISSION Final rule. Effective Date: February 14, 2012. 17 CFR Part 200 The Securities and Exchange Commission (“Commission”) is amending its rules to conform them to amendments made to the Inspector General Act of 1978 that require the Commission's Inspector General to report to and be under the general supervision of the full Commission.
GPO FDSys XML | Text type regulations.gov FR Doc. 2012-1033 RIN 3038-AC99 COMMODITY FUTURES TRADING COMMISSION Final rule. The rules will become effective April 9, 2012. All parties must comply with the Part 22 rules by November 8, 2012. All parties must comply with the Part 190 rules by April 9, 2012. Prior to the compliance date for the Part 22 rules, the definition of 190.01(pp) (“Cleared Swap”) shall be limited to transactions where the rules or bylaws of a derivatives clearing organization require that such transactions, along with the money, securities, and other property margining, guaranteeing or securing such transactions, be held in a separate account for Cleared Swaps only. 17 CFR Parts 22 and 190 The Commodity Futures Trading Commission (the “Commission”) is adopting final regulations to implement new statutory provisions enacted by Title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act (the “Dodd-Frank Act”). Specifically, these regulations impose requirements on futures commission merchants (“FCMs”) and derivatives clearing organizations (“DCOs”) regarding the treatment of cleared swaps customer contracts (and related collateral), and make conforming amendments to bankruptcy provisions applicable to commodity brokers under the Commodity Exchange Act (the “CEA”).
GPO FDSys XML | Text type regulations.gov FR Doc. 2012-1033 RIN 3038-AC99 COMMODITY FUTURES TRADING COMMISSION Final rule. The rules will become effective April 9, 2012. All parties must comply with the Part 22 rules by November 8, 2012. All parties must comply with the Part 190 rules by April 9, 2012. Prior to the compliance date for the Part 22 rules, the definition of 190.01(pp) (“Cleared Swap”) shall be limited to transactions where the rules or bylaws of a derivatives clearing organization require that such transactions, along with the money, securities, and other property margining, guaranteeing or securing such transactions, be held in a separate account for Cleared Swaps only. 17 CFR Parts 22 and 190 The Commodity Futures Trading Commission (the “Commission”) is adopting final regulations to implement new statutory provisions enacted by Title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act (the “Dodd-Frank Act”). Specifically, these regulations impose requirements on futures commission merchants (“FCMs”) and derivatives clearing organizations (“DCOs”) regarding the treatment of cleared swaps customer contracts (and related collateral), and make conforming amendments to bankruptcy provisions applicable to commodity brokers under the Commodity Exchange Act (the “CEA”).
GPO FDSys XML | Text type regulations.gov FR Doc. 2012-1507 RIN 3038-AC95 COMMODITY FUTURES TRADING COMMISSION Final rules; correction. Effective March 19, 2012. 17 CFR Parts 3 and 23 This document corrects language in the final rules published in the Federal Register of Thursday, January 19, 2012, regarding the Registration of Swap Dealers and Major Swap Participants. The Commission adopted regulations under the Commodity Exchange Act (Act or CEA) that establish the process for the registration of swap dealers (SDs) and major swap participants (MSPs, and collectively with SDs, Swaps Entities) in accordance with section 4s of the CEA, which was added recently to the CEA by the Dodd-Frank Wall Street Reform and Consumer Protection Act.
GPO FDSys XML | Text type regulations.gov FR Doc. 2012-1507 RIN 3038-AC95 COMMODITY FUTURES TRADING COMMISSION Final rules; correction. Effective March 19, 2012. 17 CFR Parts 3 and 23 This document corrects language in the final rules published in the Federal Register of Thursday, January 19, 2012, regarding the Registration of Swap Dealers and Major Swap Participants. The Commission adopted regulations under the Commodity Exchange Act (Act or CEA) that establish the process for the registration of swap dealers (SDs) and major swap participants (MSPs, and collectively with SDs, Swaps Entities) in accordance with section 4s of the CEA, which was added recently to the CEA by the Dodd-Frank Wall Street Reform and Consumer Protection Act.
GPO FDSys XML | Text type regulations.gov FR Doc. 2012-1521 RIN 3235-AL20 File No. S7-31-11 Release No. 33-9295 SECURITIES AND EXCHANGE COMMISSION Final rule. Effective Date: February 24, 2012. 17 CFR Part 230 The Securities and Exchange Commission (“SEC” or “Commission”) is adopting an amendment to Rule 146 under Section 18 of the Securities Act of 1933, as amended, (“Securities Act”) to designate certain securities listed, or authorized for listing, on BATS Exchange, Inc. (“BATS” or “Exchange”) as covered securities for purposes of Section 18 of the Securities Act. Covered securities under Section 18 of the Securities Act are exempt from state law registration requirements. The Commission also is making corrections to the rule text to reflect name changes.
GPO FDSys XML | Text type regulations.gov FR Doc. 2012-1031 RIN 3038-AD08 COMMODITY FUTURES TRADING COMMISSION Final rule; correction. Effective March 9, 2012. 17 CFR Part 43 This document corrects language in the final rule published in the Federal Register of Monday, January 9, 2012, regarding the Real-Time Public Reporting of Swap Transaction Data. The Commission adopted rules to implement a framework for the real-time public reporting of swap transaction and pricing data for all swap transactions.
GPO FDSys XML | Text type regulations.gov FR Doc. 2012-792 RIN 3038-AC95 COMMODITY FUTURES TRADING COMMISSION Final rules. Effective March 19, 2012. 17 CFR Parts 1, 3, 23, and 170 The Commodity Futures Trading Commission (Commission or CFTC) is adopting regulations under the Commodity Exchange Act (Act or CEA) that establish the process for the registration of swap dealers (SDs) and major swap participants (MSPs, and collectively with SDs, Swaps Entities) and that require Swaps Entities to become and remain members of a registered futures association (RFA). The Commission is also adopting regulations that define an “associated person” of an SD or MSP as a natural person and that implement the prohibition on a Swaps Entity permitting an associated person who is statutorily disqualified from registration from effecting or being involved in effecting swaps on behalf of the Swaps Entity. The Commission is adopting these regulations in accordance with section 4s of the CEA, which was recently added to the CEA by the Dodd-Frank Wall Street Reform and Consumer Protection Act (Dodd-Frank Act).
GPO FDSys XML | Text type regulations.gov FR Doc. 2012-792 RIN 3038-AC95 COMMODITY FUTURES TRADING COMMISSION Final rules. Effective March 19, 2012. 17 CFR Parts 1, 3, 23, and 170 The Commodity Futures Trading Commission (Commission or CFTC) is adopting regulations under the Commodity Exchange Act (Act or CEA) that establish the process for the registration of swap dealers (SDs) and major swap participants (MSPs, and collectively with SDs, Swaps Entities) and that require Swaps Entities to become and remain members of a registered futures association (RFA). The Commission is also adopting regulations that define an “associated person” of an SD or MSP as a natural person and that implement the prohibition on a Swaps Entity permitting an associated person who is statutorily disqualified from registration from effecting or being involved in effecting swaps on behalf of the Swaps Entity. The Commission is adopting these regulations in accordance with section 4s of the CEA, which was recently added to the CEA by the Dodd-Frank Wall Street Reform and Consumer Protection Act (Dodd-Frank Act).
GPO FDSys XML | Text type regulations.gov FR Doc. 2012-792 RIN 3038-AC95 COMMODITY FUTURES TRADING COMMISSION Final rules. Effective March 19, 2012. 17 CFR Parts 1, 3, 23, and 170 The Commodity Futures Trading Commission (Commission or CFTC) is adopting regulations under the Commodity Exchange Act (Act or CEA) that establish the process for the registration of swap dealers (SDs) and major swap participants (MSPs, and collectively with SDs, Swaps Entities) and that require Swaps Entities to become and remain members of a registered futures association (RFA). The Commission is also adopting regulations that define an “associated person” of an SD or MSP as a natural person and that implement the prohibition on a Swaps Entity permitting an associated person who is statutorily disqualified from registration from effecting or being involved in effecting swaps on behalf of the Swaps Entity. The Commission is adopting these regulations in accordance with section 4s of the CEA, which was recently added to the CEA by the Dodd-Frank Wall Street Reform and Consumer Protection Act (Dodd-Frank Act).
GPO FDSys XML | Text type regulations.gov FR Doc. 2012-792 RIN 3038-AC95 COMMODITY FUTURES TRADING COMMISSION Final rules. Effective March 19, 2012. 17 CFR Parts 1, 3, 23, and 170 The Commodity Futures Trading Commission (Commission or CFTC) is adopting regulations under the Commodity Exchange Act (Act or CEA) that establish the process for the registration of swap dealers (SDs) and major swap participants (MSPs, and collectively with SDs, Swaps Entities) and that require Swaps Entities to become and remain members of a registered futures association (RFA). The Commission is also adopting regulations that define an “associated person” of an SD or MSP as a natural person and that implement the prohibition on a Swaps Entity permitting an associated person who is statutorily disqualified from registration from effecting or being involved in effecting swaps on behalf of the Swaps Entity. The Commission is adopting these regulations in accordance with section 4s of the CEA, which was recently added to the CEA by the Dodd-Frank Wall Street Reform and Consumer Protection Act (Dodd-Frank Act).
GPO FDSys XML | Text type regulations.gov FR Doc. 2011-33199 RIN 3038-AD19 COMMODITY FUTURES TRADING COMMISSION Final rule. The effective date of this rule is March 13, 2012. Compliance dates: (1) Swap execution facilities, designated contract markets, derivatives clearing organizations, swap data repositories, swap dealers, and major swap participants shall commence full compliance with this part with respect to credit swaps and interest rate swaps on the later of: July 16, 2012; or 60 calendar days after the publication in the Federal Register of the later of the Commission's final rule defining the term “swap” or the Commission's final rule defining the terms “swap dealer” and “major swap participant. ” (2) Swap execution facilities, designated contract markets, derivatives clearing organizations, swap data repositories, swap dealers, and major swap participants shall commence full compliance with this part with respect to equity swaps, foreign exchange swaps, and other commodity swaps on or before 90 days after the compliance date for credit swaps and interest rate swaps. (3) Non-SD/MSP counterparties shall commence full compliance with this part with respect to all swaps on or before 90 days after the compliance date applicable to swap execution facilities, designated contract markets, derivatives clearing organizations, swap data repositories, swap dealers, and major swap participants with respect to equity swaps, foreign exchange swaps, and other commodity swaps. 17 CFR Part 45 The Commodity Futures Trading Commission (“Commission” or “CFTC”) is adopting rules to implement the Commodity Exchange Act (“CEA” or “Act”) relating to swap data recordkeeping and reporting requirements. These sections of the CEA were added by the Dodd-Frank Wall Street Reform and Consumer Protection Act (“Dodd-Frank Act”). The rules being adopted apply to swap data recordkeeping and reporting requirements for swap data repositories, derivatives clearing organizations, designated contract markets, swap execution facilities, swap dealers, major swap participants, and swap counterparties who are neither swap dealers nor major swap participants. The recordkeeping and reporting requirements of this rule further the goals of the Dodd-Frank Act to reduce systemic risk, increase transparency and promote market integrity within the financial system.
GPO FDSys XML | Text type regulations.gov FR Doc. 2011-33173 RIN 3038-AD08 COMMODITY FUTURES TRADING COMMISSION Final rule. Effective date: March 9, 2012. 17 CFR Part 43 The Commodity Futures Trading Commission (“CFTC” or “Commission”) is adopting regulations to implement certain statutory provisions enacted by the Dodd-Frank Wall Street Reform and Consumer Protection Act (“Dodd-Frank Act”). Specifically, in accordance with the Dodd-Frank Act, the Commission is adopting rules to implement a framework for the real-time public reporting of swap transaction and pricing data for all swap transactions.
GPO FDSys XML | Text type regulations.gov FR Doc. 2011-33333 RIN 3235-AK90 File No. S7-04-11 Release Nos. 33-9287 IA-3341 IC-29891 SECURITIES AND EXCHANGE COMMISSION Final rule. Effective date: February 27, 2012. 17 CFR Parts 230, 239, 270, and 275 We are adopting amendments to the accredited investor standards in our rules under the Securities Act of 1933 to implement the requirements of the Dodd-Frank Wall Street Reform and Consumer Protection Act. The Act requires the definitions of “accredited investor” in our Securities Act rules to exclude the value of a person's primary residence for purposes of determining whether the person qualifies as an “accredited investor” on the basis of having a net worth in excess of $1 million. This change to the net worth standard was effective upon enactment by operation of the Dodd-Frank Act, but it also requires us to revise our current Securities Act rules to conform to the new standard. We also are adopting technical amendments to Form D and a number of our rules to conform them to the requirements of the Act and to correct cross-references to former Section 4(6) of the Securities Act, which was renumbered Section 4(5) by Section 944 of the Dodd-Frank Act.
GPO FDSys XML | Text type regulations.gov FR Doc. 2011-33333 RIN 3235-AK90 File No. S7-04-11 Release Nos. 33-9287 IA-3341 IC-29891 SECURITIES AND EXCHANGE COMMISSION Final rule. Effective date: February 27, 2012. 17 CFR Parts 230, 239, 270, and 275 We are adopting amendments to the accredited investor standards in our rules under the Securities Act of 1933 to implement the requirements of the Dodd-Frank Wall Street Reform and Consumer Protection Act. The Act requires the definitions of “accredited investor” in our Securities Act rules to exclude the value of a person's primary residence for purposes of determining whether the person qualifies as an “accredited investor” on the basis of having a net worth in excess of $1 million. This change to the net worth standard was effective upon enactment by operation of the Dodd-Frank Act, but it also requires us to revise our current Securities Act rules to conform to the new standard. We also are adopting technical amendments to Form D and a number of our rules to conform them to the requirements of the Act and to correct cross-references to former Section 4(6) of the Securities Act, which was renumbered Section 4(5) by Section 944 of the Dodd-Frank Act.
GPO FDSys XML | Text type regulations.gov FR Doc. 2011-33333 RIN 3235-AK90 File No. S7-04-11 Release Nos. 33-9287 IA-3341 IC-29891 SECURITIES AND EXCHANGE COMMISSION Final rule. Effective date: February 27, 2012. 17 CFR Parts 230, 239, 270, and 275 We are adopting amendments to the accredited investor standards in our rules under the Securities Act of 1933 to implement the requirements of the Dodd-Frank Wall Street Reform and Consumer Protection Act. The Act requires the definitions of “accredited investor” in our Securities Act rules to exclude the value of a person's primary residence for purposes of determining whether the person qualifies as an “accredited investor” on the basis of having a net worth in excess of $1 million. This change to the net worth standard was effective upon enactment by operation of the Dodd-Frank Act, but it also requires us to revise our current Securities Act rules to conform to the new standard. We also are adopting technical amendments to Form D and a number of our rules to conform them to the requirements of the Act and to correct cross-references to former Section 4(6) of the Securities Act, which was renumbered Section 4(5) by Section 944 of the Dodd-Frank Act.
GPO FDSys XML | Text type regulations.gov FR Doc. 2011-33333 RIN 3235-AK90 File No. S7-04-11 Release Nos. 33-9287 IA-3341 IC-29891 SECURITIES AND EXCHANGE COMMISSION Final rule. Effective date: February 27, 2012. 17 CFR Parts 230, 239, 270, and 275 We are adopting amendments to the accredited investor standards in our rules under the Securities Act of 1933 to implement the requirements of the Dodd-Frank Wall Street Reform and Consumer Protection Act. The Act requires the definitions of “accredited investor” in our Securities Act rules to exclude the value of a person's primary residence for purposes of determining whether the person qualifies as an “accredited investor” on the basis of having a net worth in excess of $1 million. This change to the net worth standard was effective upon enactment by operation of the Dodd-Frank Act, but it also requires us to revise our current Securities Act rules to conform to the new standard. We also are adopting technical amendments to Form D and a number of our rules to conform them to the requirements of the Act and to correct cross-references to former Section 4(6) of the Securities Act, which was renumbered Section 4(5) by Section 944 of the Dodd-Frank Act.
GPO FDSys XML | Text type regulations.gov FR Doc. 2011-33148 RIN 3235-AK83 File No. S7-41-10 Release Nos. 33-9286 34-66019 SECURITIES AND EXCHANGE COMMISSION Final rule. Effective Date: January 27, 2012. 17 CFR Parts 229, 239 and 249 We are adopting amendments to our rules to implement Section 1503 of the Dodd-Frank 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 regarding specified health and safety violations, orders and citations, related assessments and legal actions, and mining-related fatalities. Section 1503(b) of the Act mandates the filing of a Form 8-K disclosing the receipt of certain orders and notices from the Mine Safety and Health Administration.
GPO FDSys XML | Text type regulations.gov FR Doc. 2011-33148 RIN 3235-AK83 File No. S7-41-10 Release Nos. 33-9286 34-66019 SECURITIES AND EXCHANGE COMMISSION Final rule. Effective Date: January 27, 2012. 17 CFR Parts 229, 239 and 249 We are adopting amendments to our rules to implement Section 1503 of the Dodd-Frank 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 regarding specified health and safety violations, orders and citations, related assessments and legal actions, and mining-related fatalities. Section 1503(b) of the Act mandates the filing of a Form 8-K disclosing the receipt of certain orders and notices from the Mine Safety and Health Administration.
GPO FDSys XML | Text type regulations.gov FR Doc. 2011-33148 RIN 3235-AK83 File No. S7-41-10 Release Nos. 33-9286 34-66019 SECURITIES AND EXCHANGE COMMISSION Final rule. Effective Date: January 27, 2012. 17 CFR Parts 229, 239 and 249 We are adopting amendments to our rules to implement Section 1503 of the Dodd-Frank 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 regarding specified health and safety violations, orders and citations, related assessments and legal actions, and mining-related fatalities. Section 1503(b) of the Act mandates the filing of a Form 8-K disclosing the receipt of certain orders and notices from the Mine Safety and Health Administration.
GPO FDSys XML | Text type regulations.gov FR Doc. 2011-33146 RIN 3235-AK69 Release No. 34-66020 File No. S7-19-10 SECURITIES AND EXCHANGE COMMISSION Interim final temporary rule; extension. Effective Date: December 31, 2011. The expiration of the effective period of interim final temporary Rule 15Ba2-6T (17 CFR 240.15Ba2-6T) is delayed from December 31, 2011, to September 30, 2012. 17 CFR Part 240 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 will sunset from December 31, 2011 to September 30, 2012. Under the amendment, all temporary registrations submitted pursuant to Rule 15Ba2-6T will expire no later than September 30, 2012.
GPO FDSys XML | Text type regulations.gov FR Doc. 2011-31637 RIN 3038-AD19 COMMODITY FUTURES TRADING COMMISSION Final rule. Effective Date —February 21, 2012. 17 CFR Part 48 The Commodity Futures Trading Commission (Commission or CFTC) is issuing final rules to implement new statutory provisions enacted by Title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act (Dodd-Frank Act). On November 19, 2010, the Commission requested comment on proposed rules that would establish a registration requirement that applies to foreign boards of trade (FBOT) that wish to provide their identified members or other participants located in the United States with direct access to their electronic trading and order matching systems. After reviewing the comments submitted in response to the proposed rules, the Commission has determined to issue these final FBOT registration rules substantially as originally proposed, with certain modifications.
GPO FDSys XML | Text type regulations.gov FR Doc. 2011-31689 RIN 3038-AC79 COMMODITY FUTURES TRADING COMMISSION Final rule. This rule is effective February 17, 2012. All persons shall be in compliance with this rule not later than June 18, 2012. 17 CFR Parts 1 and 30 The Commodity Futures Trading Commission (Commission or CFTC) is amending its regulations regarding the investment of customer segregated funds subject to Commission Regulation 1.25 (Regulation 1.25) and funds held in an account subject to Commission Regulation 30.7 (Regulation 30.7, and funds subject thereto, 30.7 funds). Certain amendments reflect the implementation of new statutory provisions enacted under Title IX of the Dodd-Frank Wall Street Reform and Consumer Protection Act. The amendments address: certain changes to the list of permitted investments (including the elimination of in-house transactions), a clarification of the liquidity requirement, the removal of rating requirements, and an expansion of concentration limits including asset-based, issuer-based, and counterparty concentration restrictions. They also address revisions to the acknowledgment letter requirement for investment in a money market mutual fund (MMMF), revisions to the list of exceptions to the next-day redemption requirement for MMMFs, the elimination of repurchase and reverse repurchase agreements with affiliates, the application of customer segregated funds investment limitations to 30.7 funds, the removal of ratings requirements for depositories of 30.7 funds, the elimination of the option to designate a depository for 30.7 funds, and certain technical changes.
GPO FDSys XML | Text type regulations.gov FR Doc. 2011-31689 RIN 3038-AC79 COMMODITY FUTURES TRADING COMMISSION Final rule. This rule is effective February 17, 2012. All persons shall be in compliance with this rule not later than June 18, 2012. 17 CFR Parts 1 and 30 The Commodity Futures Trading Commission (Commission or CFTC) is amending its regulations regarding the investment of customer segregated funds subject to Commission Regulation 1.25 (Regulation 1.25) and funds held in an account subject to Commission Regulation 30.7 (Regulation 30.7, and funds subject thereto, 30.7 funds). Certain amendments reflect the implementation of new statutory provisions enacted under Title IX of the Dodd-Frank Wall Street Reform and Consumer Protection Act. The amendments address: certain changes to the list of permitted investments (including the elimination of in-house transactions), a clarification of the liquidity requirement, the removal of rating requirements, and an expansion of concentration limits including asset-based, issuer-based, and counterparty concentration restrictions. They also address revisions to the acknowledgment letter requirement for investment in a money market mutual fund (MMMF), revisions to the list of exceptions to the next-day redemption requirement for MMMFs, the elimination of repurchase and reverse repurchase agreements with affiliates, the application of customer segregated funds investment limitations to 30.7 funds, the removal of ratings requirements for depositories of 30.7 funds, the elimination of the option to designate a depository for 30.7 funds, and certain technical changes.
GPO FDSys XML | Text type regulations.gov FR Doc. 2011-31355 RIN 3038-AD64 COMMODITY FUTURES TRADING COMMISSION Interpretation; Request for comments. Effective December 14, 2011. Comments must be received by February 13, 2012. 17 CFR Part 1 The Commodity Futures Trading Commission (“Commission” or “CFTC”) is issuing this interpretation of the term “actual delivery” as set forth in section 2(c)(2)(D)(ii)(III)(aa) of the Commodity Exchange Act (“CEA”) pursuant to section 742(a) of the Dodd-Frank Wall Street Reform and Consumer Protection Act. The Commission requests comment on whether this interpretation accurately construes the statutory language. In the event that comments demonstrate a need to modify this interpretation, the Commission will take appropriate action.
GPO FDSys XML | Text type regulations.gov FR Doc. 2011-30591 RIN Release Nos. 33-9281 34-65803 39-2481 IC-29868 SECURITIES AND EXCHANGE COMMISSION Final rule. Effective Date: November 29, 2011. The incorporation by reference of the EDGAR Filer Manual is approved by the Director of the Federal Register as of November 29, 2011. 17 CFR Part 232 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 are being made primarily to support the updates to submission form types ABS-15G and ABS-15G/A; to support changes in XBRL validations for filings containing Exhibit 101 documents; to update the OMB information on EDGARLite Form TA-W; and to add a new applicant type to the Form ID. The EDGAR system is scheduled to be upgraded to support this functionality on November 21, 2011. The filer manual is also being revised to address changes previously made in EDGAR.
GPO FDSys XML | Text type regulations.gov FR Doc. 2011-29096 RIN Release Nos. 33-9273, 34-65686, 39-2480, IA-3310 and IC-29855 SECURITIES AND EXCHANGE COMMISSION Final rule. Effective Date: November 21, 2011. 17 CFR Parts 200, 201, 202, 210, 229, 230, 232, 239, 240, 243, 249, 250, 251, 256, 257, 259, 260, 270, 274 and 275 The Securities and Exchange Commission (“Commission”) is adopting amendments to Commission rules and forms to correct references and remove certain rules, forms, and interpretive releases, to conform to changes in federal securities laws.
GPO FDSys XML | Text type regulations.gov FR Doc. 2011-29096 RIN Release Nos. 33-9273, 34-65686, 39-2480, IA-3310 and IC-29855 SECURITIES AND EXCHANGE COMMISSION Final rule. Effective Date: November 21, 2011. 17 CFR Parts 200, 201, 202, 210, 229, 230, 232, 239, 240, 243, 249, 250, 251, 256, 257, 259, 260, 270, 274 and 275 The Securities and Exchange Commission (“Commission”) is adopting amendments to Commission rules and forms to correct references and remove certain rules, forms, and interpretive releases, to conform to changes in federal securities laws.
GPO FDSys XML | Text type regulations.gov FR Doc. 2011-29096 RIN Release Nos. 33-9273, 34-65686, 39-2480, IA-3310 and IC-29855 SECURITIES AND EXCHANGE COMMISSION Final rule. Effective Date: November 21, 2011. 17 CFR Parts 200, 201, 202, 210, 229, 230, 232, 239, 240, 243, 249, 250, 251, 256, 257, 259, 260, 270, 274 and 275 The Securities and Exchange Commission (“Commission”) is adopting amendments to Commission rules and forms to correct references and remove certain rules, forms, and interpretive releases, to conform to changes in federal securities laws.
GPO FDSys XML | Text type regulations.gov FR Doc. 2011-29096 RIN Release Nos. 33-9273, 34-65686, 39-2480, IA-3310 and IC-29855 SECURITIES AND EXCHANGE COMMISSION Final rule. Effective Date: November 21, 2011. 17 CFR Parts 200, 201, 202, 210, 229, 230, 232, 239, 240, 243, 249, 250, 251, 256, 257, 259, 260, 270, 274 and 275 The Securities and Exchange Commission (“Commission”) is adopting amendments to Commission rules and forms to correct references and remove certain rules, forms, and interpretive releases, to conform to changes in federal securities laws.
GPO FDSys XML | Text type regulations.gov FR Doc. 2011-29096 RIN Release Nos. 33-9273, 34-65686, 39-2480, IA-3310 and IC-29855 SECURITIES AND EXCHANGE COMMISSION Final rule. Effective Date: November 21, 2011. 17 CFR Parts 200, 201, 202, 210, 229, 230, 232, 239, 240, 243, 249, 250, 251, 256, 257, 259, 260, 270, 274 and 275 The Securities and Exchange Commission (“Commission”) is adopting amendments to Commission rules and forms to correct references and remove certain rules, forms, and interpretive releases, to conform to changes in federal securities laws.
GPO FDSys XML | Text type regulations.gov FR Doc. 2011-29096 RIN Release Nos. 33-9273, 34-65686, 39-2480, IA-3310 and IC-29855 SECURITIES AND EXCHANGE COMMISSION Final rule. Effective Date: November 21, 2011. 17 CFR Parts 200, 201, 202, 210, 229, 230, 232, 239, 240, 243, 249, 250, 251, 256, 257, 259, 260, 270, 274 and 275 The Securities and Exchange Commission (“Commission”) is adopting amendments to Commission rules and forms to correct references and remove certain rules, forms, and interpretive releases, to conform to changes in federal securities laws.
GPO FDSys XML | Text type regulations.gov FR Doc. 2011-29096 RIN Release Nos. 33-9273, 34-65686, 39-2480, IA-3310 and IC-29855 SECURITIES AND EXCHANGE COMMISSION Final rule. Effective Date: November 21, 2011. 17 CFR Parts 200, 201, 202, 210, 229, 230, 232, 239, 240, 243, 249, 250, 251, 256, 257, 259, 260, 270, 274 and 275 The Securities and Exchange Commission (“Commission”) is adopting amendments to Commission rules and forms to correct references and remove certain rules, forms, and interpretive releases, to conform to changes in federal securities laws.
GPO FDSys XML | Text type regulations.gov FR Doc. 2011-29096 RIN Release Nos. 33-9273, 34-65686, 39-2480, IA-3310 and IC-29855 SECURITIES AND EXCHANGE COMMISSION Final rule. Effective Date: November 21, 2011. 17 CFR Parts 200, 201, 202, 210, 229, 230, 232, 239, 240, 243, 249, 250, 251, 256, 257, 259, 260, 270, 274 and 275 The Securities and Exchange Commission (“Commission”) is adopting amendments to Commission rules and forms to correct references and remove certain rules, forms, and interpretive releases, to conform to changes in federal securities laws.
GPO FDSys XML | Text type regulations.gov FR Doc. 2011-29096 RIN Release Nos. 33-9273, 34-65686, 39-2480, IA-3310 and IC-29855 SECURITIES AND EXCHANGE COMMISSION Final rule. Effective Date: November 21, 2011. 17 CFR Parts 200, 201, 202, 210, 229, 230, 232, 239, 240, 243, 249, 250, 251, 256, 257, 259, 260, 270, 274 and 275 The Securities and Exchange Commission (“Commission”) is adopting amendments to Commission rules and forms to correct references and remove certain rules, forms, and interpretive releases, to conform to changes in federal securities laws.
GPO FDSys XML | Text type regulations.gov FR Doc. 2011-29096 RIN Release Nos. 33-9273, 34-65686, 39-2480, IA-3310 and IC-29855 SECURITIES AND EXCHANGE COMMISSION Final rule. Effective Date: November 21, 2011. 17 CFR Parts 200, 201, 202, 210, 229, 230, 232, 239, 240, 243, 249, 250, 251, 256, 257, 259, 260, 270, 274 and 275 The Securities and Exchange Commission (“Commission”) is adopting amendments to Commission rules and forms to correct references and remove certain rules, forms, and interpretive releases, to conform to changes in federal securities laws.
GPO FDSys XML | Text type regulations.gov FR Doc. 2011-29096 RIN Release Nos. 33-9273, 34-65686, 39-2480, IA-3310 and IC-29855 SECURITIES AND EXCHANGE COMMISSION Final rule. Effective Date: November 21, 2011. 17 CFR Parts 200, 201, 202, 210, 229, 230, 232, 239, 240, 243, 249, 250, 251, 256, 257, 259, 260, 270, 274 and 275 The Securities and Exchange Commission (“Commission”) is adopting amendments to Commission rules and forms to correct references and remove certain rules, forms, and interpretive releases, to conform to changes in federal securities laws.
GPO FDSys XML | Text type regulations.gov FR Doc. 2011-29096 RIN Release Nos. 33-9273, 34-65686, 39-2480, IA-3310 and IC-29855 SECURITIES AND EXCHANGE COMMISSION Final rule. Effective Date: November 21, 2011. 17 CFR Parts 200, 201, 202, 210, 229, 230, 232, 239, 240, 243, 249, 250, 251, 256, 257, 259, 260, 270, 274 and 275 The Securities and Exchange Commission (“Commission”) is adopting amendments to Commission rules and forms to correct references and remove certain rules, forms, and interpretive releases, to conform to changes in federal securities laws.
GPO FDSys XML | Text type regulations.gov FR Doc. 2011-29096 RIN Release Nos. 33-9273, 34-65686, 39-2480, IA-3310 and IC-29855 SECURITIES AND EXCHANGE COMMISSION Final rule. Effective Date: November 21, 2011. 17 CFR Parts 200, 201, 202, 210, 229, 230, 232, 239, 240, 243, 249, 250, 251, 256, 257, 259, 260, 270, 274 and 275 The Securities and Exchange Commission (“Commission”) is adopting amendments to Commission rules and forms to correct references and remove certain rules, forms, and interpretive releases, to conform to changes in federal securities laws.
GPO FDSys XML | Text type regulations.gov FR Doc. 2011-29096 RIN Release Nos. 33-9273, 34-65686, 39-2480, IA-3310 and IC-29855 SECURITIES AND EXCHANGE COMMISSION Final rule. Effective Date: November 21, 2011. 17 CFR Parts 200, 201, 202, 210, 229, 230, 232, 239, 240, 243, 249, 250, 251, 256, 257, 259, 260, 270, 274 and 275 The Securities and Exchange Commission (“Commission”) is adopting amendments to Commission rules and forms to correct references and remove certain rules, forms, and interpretive releases, to conform to changes in federal securities laws.
GPO FDSys XML | Text type regulations.gov FR Doc. 2011-29096 RIN Release Nos. 33-9273, 34-65686, 39-2480, IA-3310 and IC-29855 SECURITIES AND EXCHANGE COMMISSION Final rule. Effective Date: November 21, 2011. 17 CFR Parts 200, 201, 202, 210, 229, 230, 232, 239, 240, 243, 249, 250, 251, 256, 257, 259, 260, 270, 274 and 275 The Securities and Exchange Commission (“Commission”) is adopting amendments to Commission rules and forms to correct references and remove certain rules, forms, and interpretive releases, to conform to changes in federal securities laws.
GPO FDSys XML | Text type regulations.gov FR Doc. 2011-29096 RIN Release Nos. 33-9273, 34-65686, 39-2480, IA-3310 and IC-29855 SECURITIES AND EXCHANGE COMMISSION Final rule. Effective Date: November 21, 2011. 17 CFR Parts 200, 201, 202, 210, 229, 230, 232, 239, 240, 243, 249, 250, 251, 256, 257, 259, 260, 270, 274 and 275 The Securities and Exchange Commission (“Commission”) is adopting amendments to Commission rules and forms to correct references and remove certain rules, forms, and interpretive releases, to conform to changes in federal securities laws.
GPO FDSys XML | Text type regulations.gov FR Doc. 2011-29096 RIN Release Nos. 33-9273, 34-65686, 39-2480, IA-3310 and IC-29855 SECURITIES AND EXCHANGE COMMISSION Final rule. Effective Date: November 21, 2011. 17 CFR Parts 200, 201, 202, 210, 229, 230, 232, 239, 240, 243, 249, 250, 251, 256, 257, 259, 260, 270, 274 and 275 The Securities and Exchange Commission (“Commission”) is adopting amendments to Commission rules and forms to correct references and remove certain rules, forms, and interpretive releases, to conform to changes in federal securities laws.
GPO FDSys XML | Text type regulations.gov FR Doc. 2011-29096 RIN Release Nos. 33-9273, 34-65686, 39-2480, IA-3310 and IC-29855 SECURITIES AND EXCHANGE COMMISSION Final rule. Effective Date: November 21, 2011. 17 CFR Parts 200, 201, 202, 210, 229, 230, 232, 239, 240, 243, 249, 250, 251, 256, 257, 259, 260, 270, 274 and 275 The Securities and Exchange Commission (“Commission”) is adopting amendments to Commission rules and forms to correct references and remove certain rules, forms, and interpretive releases, to conform to changes in federal securities laws.
GPO FDSys XML | Text type regulations.gov FR Doc. 2011-29096 RIN Release Nos. 33-9273, 34-65686, 39-2480, IA-3310 and IC-29855 SECURITIES AND EXCHANGE COMMISSION Final rule. Effective Date: November 21, 2011. 17 CFR Parts 200, 201, 202, 210, 229, 230, 232, 239, 240, 243, 249, 250, 251, 256, 257, 259, 260, 270, 274 and 275 The Securities and Exchange Commission (“Commission”) is adopting amendments to Commission rules and forms to correct references and remove certain rules, forms, and interpretive releases, to conform to changes in federal securities laws.
GPO FDSys XML | Text type regulations.gov FR Doc. 2011-29096 RIN Release Nos. 33-9273, 34-65686, 39-2480, IA-3310 and IC-29855 SECURITIES AND EXCHANGE COMMISSION Final rule. Effective Date: November 21, 2011. 17 CFR Parts 200, 201, 202, 210, 229, 230, 232, 239, 240, 243, 249, 250, 251, 256, 257, 259, 260, 270, 274 and 275 The Securities and Exchange Commission (“Commission”) is adopting amendments to Commission rules and forms to correct references and remove certain rules, forms, and interpretive releases, to conform to changes in federal securities laws.
GPO FDSys XML | Text type regulations.gov FR Doc. 2011-29802 RIN Release No. 34-65742 SECURITIES AND EXCHANGE COMMISSION Final rule. Effective Date: November 18, 2011. 17 CFR Part 200 The Securities and Exchange Commission (“Commission”) is amending its rules to reflect that the Commission's Office of the Ethics Counsel is now a stand-alone Office of the Commission and that the head of the Office, the Ethics Counsel, reports directly to the Chairman of the Commission.
GPO FDSys XML | Text type regulations.gov FR Doc. 2011-28809 RIN 3038-AD17 COMMODITY FUTURES TRADING COMMISSION Final rule and interim final rule. Effective date: The effective date for this final rule and the interim rule at § 151.4(a)(2) is January 17, 2012. Comment date: The comment period for the interim final rule will close January 17, 2012. Compliance dates: For compliance dates for these final rules, see SUPPLEMENTARY INFORMATION. 17 CFR Parts 1, 150 and 151 On January 26, 2011, the Commodity Futures Trading Commission (“Commission” or “CFTC”) published in the Federal Register a notice of proposed rulemaking (“proposal” or “Proposed Rules”), which establishes a position limits regime for 28 exempt and agricultural commodity futures and options contracts and the physical commodity swaps that are economically equivalent to such contracts. The Commission is adopting the Proposed Rules, with modifications.
GPO FDSys XML | Text type regulations.gov FR Doc. 2011-28809 RIN 3038-AD17 COMMODITY FUTURES TRADING COMMISSION Final rule and interim final rule. Effective date: The effective date for this final rule and the interim rule at § 151.4(a)(2) is January 17, 2012. Comment date: The comment period for the interim final rule will close January 17, 2012. Compliance dates: For compliance dates for these final rules, see SUPPLEMENTARY INFORMATION. 17 CFR Parts 1, 150 and 151 On January 26, 2011, the Commodity Futures Trading Commission (“Commission” or “CFTC”) published in the Federal Register a notice of proposed rulemaking (“proposal” or “Proposed Rules”), which establishes a position limits regime for 28 exempt and agricultural commodity futures and options contracts and the physical commodity swaps that are economically equivalent to such contracts. The Commission is adopting the Proposed Rules, with modifications.
GPO FDSys XML | Text type regulations.gov FR Doc. 2011-28809 RIN 3038-AD17 COMMODITY FUTURES TRADING COMMISSION Final rule and interim final rule. Effective date: The effective date for this final rule and the interim rule at § 151.4(a)(2) is January 17, 2012. Comment date: The comment period for the interim final rule will close January 17, 2012. Compliance dates: For compliance dates for these final rules, see SUPPLEMENTARY INFORMATION. 17 CFR Parts 1, 150 and 151 On January 26, 2011, the Commodity Futures Trading Commission (“Commission” or “CFTC”) published in the Federal Register a notice of proposed rulemaking (“proposal” or “Proposed Rules”), which establishes a position limits regime for 28 exempt and agricultural commodity futures and options contracts and the physical commodity swaps that are economically equivalent to such contracts. The Commission is adopting the Proposed Rules, with modifications.
GPO FDSys XML | Text type regulations.gov FR Doc. 2011-28549 RIN 3038-AD03 File No. S7-05-11 Release No. IA-3308 SECURITIES AND EXCHANGE COMMISSION, COMMODITY FUTURES TRADING COMMISSION Joint final rules. The effective date for the addition of 17 CFR 4.27 (rule 4.27 under the Commodity Exchange Act), 17 CFR 275.204(b)-1 (rule 204(b)-1 under the Investment Advisers Act of 1940) and 17 CFR 279.9 (Form PF), as well as the revision to the authority citation for 17 CFR part 4, is March 31, 2012. See section III of this Release for compliance dates. 17 CFR Part 4 The Commodity Futures Trading Commission (“CFTC”) and the Securities and Exchange Commission (“SEC”) (collectively, “we” or the “Commissions”) are adopting new rules under the Commodity Exchange Act and the Investment Advisers Act of 1940 to implement provisions of Title IV of the Dodd-Frank Wall Street Reform and Consumer Protection Act. The new SEC rule requires investment advisers registered with the SEC that advise one or more private funds and have at least $150 million in private fund assets under management to file Form PF with the SEC. The new CFTC rule requires commodity pool operators (“CPOs”) and commodity trading advisors (“CTAs”) registered with the CFTC to satisfy certain CFTC filing requirements with respect to private funds, should the CFTC adopt such requirements, by filing Form PF with the SEC, but only if those CPOs and CTAs are also registered with the SEC as investment advisers and are required to file Form PF under the Advisers Act. The new CFTC rule also allows such CPOs and CTAs to satisfy certain CFTC filing requirements with respect to commodity pools that are not private funds, should the CFTC adopt such requirements, by filing Form PF with the SEC. Advisers must file Form PF electronically, on a confidential basis. The information contained in Form PF is designed, among other things, to assist the Financial Stability Oversight Council in its assessment of systemic risk in the U.S. financial system.
GPO FDSys XML | Text type regulations.gov FR Doc. 2011-28549 RIN 3038-AD03 File No. S7-05-11 Release No. IA-3308 SECURITIES AND EXCHANGE COMMISSION, COMMODITY FUTURES TRADING COMMISSION Joint final rules. The effective date for the addition of 17 CFR 4.27 (rule 4.27 under the Commodity Exchange Act), 17 CFR 275.204(b)-1 (rule 204(b)-1 under the Investment Advisers Act of 1940) and 17 CFR 279.9 (Form PF), as well as the revision to the authority citation for 17 CFR part 4, is March 31, 2012. See section III of this Release for compliance dates. 17 CFR Part 4 The Commodity Futures Trading Commission (“CFTC”) and the Securities and Exchange Commission (“SEC”) (collectively, “we” or the “Commissions”) are adopting new rules under the Commodity Exchange Act and the Investment Advisers Act of 1940 to implement provisions of Title IV of the Dodd-Frank Wall Street Reform and Consumer Protection Act. The new SEC rule requires investment advisers registered with the SEC that advise one or more private funds and have at least $150 million in private fund assets under management to file Form PF with the SEC. The new CFTC rule requires commodity pool operators (“CPOs”) and commodity trading advisors (“CTAs”) registered with the CFTC to satisfy certain CFTC filing requirements with respect to private funds, should the CFTC adopt such requirements, by filing Form PF with the SEC, but only if those CPOs and CTAs are also registered with the SEC as investment advisers and are required to file Form PF under the Advisers Act. The new CFTC rule also allows such CPOs and CTAs to satisfy certain CFTC filing requirements with respect to commodity pools that are not private funds, should the CFTC adopt such requirements, by filing Form PF with the SEC. Advisers must file Form PF electronically, on a confidential basis. The information contained in Form PF is designed, among other things, to assist the Financial Stability Oversight Council in its assessment of systemic risk in the U.S. financial system.
GPO FDSys XML | Text type regulations.gov FR Doc. 2011-28549 RIN 3038-AD03 File No. S7-05-11 Release No. IA-3308 SECURITIES AND EXCHANGE COMMISSION, COMMODITY FUTURES TRADING COMMISSION Joint final rules. The effective date for the addition of 17 CFR 4.27 (rule 4.27 under the Commodity Exchange Act), 17 CFR 275.204(b)-1 (rule 204(b)-1 under the Investment Advisers Act of 1940) and 17 CFR 279.9 (Form PF), as well as the revision to the authority citation for 17 CFR part 4, is March 31, 2012. See section III of this Release for compliance dates. 17 CFR Part 4 The Commodity Futures Trading Commission (“CFTC”) and the Securities and Exchange Commission (“SEC”) (collectively, “we” or the “Commissions”) are adopting new rules under the Commodity Exchange Act and the Investment Advisers Act of 1940 to implement provisions of Title IV of the Dodd-Frank Wall Street Reform and Consumer Protection Act. The new SEC rule requires investment advisers registered with the SEC that advise one or more private funds and have at least $150 million in private fund assets under management to file Form PF with the SEC. The new CFTC rule requires commodity pool operators (“CPOs”) and commodity trading advisors (“CTAs”) registered with the CFTC to satisfy certain CFTC filing requirements with respect to private funds, should the CFTC adopt such requirements, by filing Form PF with the SEC, but only if those CPOs and CTAs are also registered with the SEC as investment advisers and are required to file Form PF under the Advisers Act. The new CFTC rule also allows such CPOs and CTAs to satisfy certain CFTC filing requirements with respect to commodity pools that are not private funds, should the CFTC adopt such requirements, by filing Form PF with the SEC. Advisers must file Form PF electronically, on a confidential basis. The information contained in Form PF is designed, among other things, to assist the Financial Stability Oversight Council in its assessment of systemic risk in the U.S. financial system.
GPO FDSys XML | Text type regulations.gov FR Doc. 2011-27536 RIN 3038-AC98 COMMODITY FUTURES TRADING COMMISSION Final rule. The rules will become effective January 9, 2012. DCOs must comply with §§ 39.11; 39.12; 39.13 (except for 39.13(g)(8)(i)); and 39.14 by May 7, 2012; with §§ 39.10(c); 39.13(g)(8)(i); 39.18; 39.19; and 39.20 by November 8, 2012; and all other provisions of these rules by January 9, 2012. 17 CFR Parts 1, 21, 39, and 140 The Commodity Futures Trading Commission (Commission) is adopting final regulations to implement certain provisions of Title VII and Title VIII of the Dodd-Frank Wall Street Reform and Consumer Protection Act (Dodd-Frank Act) governing derivatives clearing organization (DCO) activities. More specifically, the regulations establish the regulatory standards for compliance with DCO Core Principles A (Compliance), B (Financial Resources), C (Participant and Product Eligibility), D (Risk Management), E (Settlement Procedures), F (Treatment of Funds), G (Default Rules and Procedures), H (Rule Enforcement), I (System Safeguards), J (Reporting), K (Recordkeeping), L (Public Information), M (Information Sharing), N (Antitrust Considerations), and R (Legal Risk) set forth in Section 5b of the Commodity Exchange Act (CEA). The Commission also is updating and adding related definitions; adopting implementing rules for DCO chief compliance officers (CCOs); revising procedures for DCO applications including the required use of a new Form DCO; adopting procedural rules applicable to the transfer of a DCO registration; and adding requirements for approval of DCO rules establishing a portfolio margining program for customer accounts carried by a futures commission merchant (FCM) that is also registered as a securities broker-dealer (FCM/BD). In addition, the Commission is adopting certain technical amendments to parts 21 and 39, and is adopting certain delegation provisions under part 140.
GPO FDSys XML | Text type regulations.gov FR Doc. 2011-27536 RIN 3038-AC98 COMMODITY FUTURES TRADING COMMISSION Final rule. The rules will become effective January 9, 2012. DCOs must comply with §§ 39.11; 39.12; 39.13 (except for 39.13(g)(8)(i)); and 39.14 by May 7, 2012; with §§ 39.10(c); 39.13(g)(8)(i); 39.18; 39.19; and 39.20 by November 8, 2012; and all other provisions of these rules by January 9, 2012. 17 CFR Parts 1, 21, 39, and 140 The Commodity Futures Trading Commission (Commission) is adopting final regulations to implement certain provisions of Title VII and Title VIII of the Dodd-Frank Wall Street Reform and Consumer Protection Act (Dodd-Frank Act) governing derivatives clearing organization (DCO) activities. More specifically, the regulations establish the regulatory standards for compliance with DCO Core Principles A (Compliance), B (Financial Resources), C (Participant and Product Eligibility), D (Risk Management), E (Settlement Procedures), F (Treatment of Funds), G (Default Rules and Procedures), H (Rule Enforcement), I (System Safeguards), J (Reporting), K (Recordkeeping), L (Public Information), M (Information Sharing), N (Antitrust Considerations), and R (Legal Risk) set forth in Section 5b of the Commodity Exchange Act (CEA). The Commission also is updating and adding related definitions; adopting implementing rules for DCO chief compliance officers (CCOs); revising procedures for DCO applications including the required use of a new Form DCO; adopting procedural rules applicable to the transfer of a DCO registration; and adding requirements for approval of DCO rules establishing a portfolio margining program for customer accounts carried by a futures commission merchant (FCM) that is also registered as a securities broker-dealer (FCM/BD). In addition, the Commission is adopting certain technical amendments to parts 21 and 39, and is adopting certain delegation provisions under part 140.
GPO FDSys XML | Text type regulations.gov FR Doc. 2011-27536 RIN 3038-AC98 COMMODITY FUTURES TRADING COMMISSION Final rule. The rules will become effective January 9, 2012. DCOs must comply with §§ 39.11; 39.12; 39.13 (except for 39.13(g)(8)(i)); and 39.14 by May 7, 2012; with §§ 39.10(c); 39.13(g)(8)(i); 39.18; 39.19; and 39.20 by November 8, 2012; and all other provisions of these rules by January 9, 2012. 17 CFR Parts 1, 21, 39, and 140 The Commodity Futures Trading Commission (Commission) is adopting final regulations to implement certain provisions of Title VII and Title VIII of the Dodd-Frank Wall Street Reform and Consumer Protection Act (Dodd-Frank Act) governing derivatives clearing organization (DCO) activities. More specifically, the regulations establish the regulatory standards for compliance with DCO Core Principles A (Compliance), B (Financial Resources), C (Participant and Product Eligibility), D (Risk Management), E (Settlement Procedures), F (Treatment of Funds), G (Default Rules and Procedures), H (Rule Enforcement), I (System Safeguards), J (Reporting), K (Recordkeeping), L (Public Information), M (Information Sharing), N (Antitrust Considerations), and R (Legal Risk) set forth in Section 5b of the Commodity Exchange Act (CEA). The Commission also is updating and adding related definitions; adopting implementing rules for DCO chief compliance officers (CCOs); revising procedures for DCO applications including the required use of a new Form DCO; adopting procedural rules applicable to the transfer of a DCO registration; and adding requirements for approval of DCO rules establishing a portfolio margining program for customer accounts carried by a futures commission merchant (FCM) that is also registered as a securities broker-dealer (FCM/BD). In addition, the Commission is adopting certain technical amendments to parts 21 and 39, and is adopting certain delegation provisions under part 140.
GPO FDSys XML | Text type regulations.gov FR Doc. 2011-27536 RIN 3038-AC98 COMMODITY FUTURES TRADING COMMISSION Final rule. The rules will become effective January 9, 2012. DCOs must comply with §§ 39.11; 39.12; 39.13 (except for 39.13(g)(8)(i)); and 39.14 by May 7, 2012; with §§ 39.10(c); 39.13(g)(8)(i); 39.18; 39.19; and 39.20 by November 8, 2012; and all other provisions of these rules by January 9, 2012. 17 CFR Parts 1, 21, 39, and 140 The Commodity Futures Trading Commission (Commission) is adopting final regulations to implement certain provisions of Title VII and Title VIII of the Dodd-Frank Wall Street Reform and Consumer Protection Act (Dodd-Frank Act) governing derivatives clearing organization (DCO) activities. More specifically, the regulations establish the regulatory standards for compliance with DCO Core Principles A (Compliance), B (Financial Resources), C (Participant and Product Eligibility), D (Risk Management), E (Settlement Procedures), F (Treatment of Funds), G (Default Rules and Procedures), H (Rule Enforcement), I (System Safeguards), J (Reporting), K (Recordkeeping), L (Public Information), M (Information Sharing), N (Antitrust Considerations), and R (Legal Risk) set forth in Section 5b of the Commodity Exchange Act (CEA). The Commission also is updating and adding related definitions; adopting implementing rules for DCO chief compliance officers (CCOs); revising procedures for DCO applications including the required use of a new Form DCO; adopting procedural rules applicable to the transfer of a DCO registration; and adding requirements for approval of DCO rules establishing a portfolio margining program for customer accounts carried by a futures commission merchant (FCM) that is also registered as a securities broker-dealer (FCM/BD). In addition, the Commission is adopting certain technical amendments to parts 21 and 39, and is adopting certain delegation provisions under part 140.
GPO FDSys XML | Text type regulations.gov FR Doc. 2011-28313 RIN Release No. 34-65628 SECURITIES AND EXCHANGE COMMISSION Final rule; technical amendment. Effective Date: November 2, 2011. 17 CFR Part 200 The Securities and Exchange Commission (“Commission”) is making a technical amendment to the rule that delegates authority to the Director of the Division of Trading and Markets to grant exemptions upon specified terms, conditions, and periods to persons subject to Rule 17f-2 under the Securities Exchange Act of 1934 (“Exchange Act”).
GPO FDSys XML | Text type regulations.gov FR Doc. 2011-25898 RIN COMMODITY FUTURES TRADING COMMISSION Final rule. Effective Date: October 12, 2011. 17 CFR Part 12 The Commodity Futures Trading Commission (“Commission”) is amending its regulations to authorize any Commission Judgment Officer to conduct formal decisional proceedings. This action will promote the efficient use of the Commission's budget and personnel resources.
GPO FDSys XML | Text type regulations.gov FR Doc. 2011-24964 RIN Release No. 34-65385 SECURITIES AND EXCHANGE COMMISSION Final rule. Effective Date: September 29, 2011. 17 CFR Parts 200, 201, and 204 The Securities and Exchange Commission (“Commission”) is amending its rules to reflect the consolidation of the Office of the Executive Director with the Office of the Chief Operating Officer, including amendments to replace references to the Executive Director with references to the Chief Operating Officer.
GPO FDSys XML | Text type regulations.gov FR Doc. 2011-24964 RIN Release No. 34-65385 SECURITIES AND EXCHANGE COMMISSION Final rule. Effective Date: September 29, 2011. 17 CFR Parts 200, 201, and 204 The Securities and Exchange Commission (“Commission”) is amending its rules to reflect the consolidation of the Office of the Executive Director with the Office of the Chief Operating Officer, including amendments to replace references to the Executive Director with references to the Chief Operating Officer.
GPO FDSys XML | Text type regulations.gov FR Doc. 2011-24964 RIN Release No. 34-65385 SECURITIES AND EXCHANGE COMMISSION Final rule. Effective Date: September 29, 2011. 17 CFR Parts 200, 201, and 204 The Securities and Exchange Commission (“Commission”) is amending its rules to reflect the consolidation of the Office of the Executive Director with the Office of the Chief Operating Officer, including amendments to replace references to the Executive Director with references to the Chief Operating Officer.
GPO FDSys XML | Text type regulations.gov FR Doc. 2011-24609 RIN 3038-AC54 COMMODITY FUTURES TRADING COMMISSION Final rule. Effective Date: October 26, 2011. 17 CFR Part 30 The Commodity Futures Trading Commission (“Commission”) is adopting a new rule, which establishes a Commission certification procedure applicable to the offer or sale, to persons in the U.S., of a non-narrow-based security index futures contract traded on a foreign board of trade; the new certification procedure will replace the existing staff no-action process. Additionally, the new rule establishes a procedure for a foreign board of trade to request and receive a Commission certification on an expedited basis. Under this expedited procedure, a non-narrow-based security index futures contract of qualifying foreign boards of trade could be offered or sold in the U.S. forty-five (45) days after submission of such request, absent a notification by the Commission.
GPO FDSys XML | Text type regulations.gov FR Doc. 2011-24118 RIN 3235-AK27 Release Nos. 33-9259 34-65343 IC-29788 File No. S7-10-09 SECURITIES AND EXCHANGE COMMISSION Final rule; notice of effective date. The effective date of the additions of § 200.82a, § 240.14a-18, § 240.14n-1 through § 240.14n-3, and § 240.14n-101, and the amendments to § 232.13, § 240.13a-11, § 240.13d-1, § 240.14a-2, § 240.14a-4, § 240.14a-5, § 240.14a-6, § 240.14a-8, § 240.14a-9, § 240.14a-12, § 240.15d-11, § 240.13d-102, § 240.14a-101, and § 249.308, published on September 16, 2010 (75 FR 56668), is September 20, 2011. Section 240.14a-11 was vacated by the United States Court of Appeals for the District of Columbia Circuit (No. 10-1305, July 22, 2011) and therefore is not effective. 17 CFR parts 200, 232, 240 and 249 This release provides notice of the effective date of the amendment to Exchange Act Rule 14a-8, the shareholder proposal rule, which will require companies to include in their proxy materials, under certain circumstances, shareholder proposals that seek to establish a procedure in the company's governing documents for the inclusion of one or more shareholder director nominees in the company's proxy materials. This release also provides notice of the effective date of related rule changes adopted concurrently with the amendment to Rule 14a-8.
GPO FDSys XML | Text type regulations.gov FR Doc. 2011-24118 RIN 3235-AK27 Release Nos. 33-9259 34-65343 IC-29788 File No. S7-10-09 SECURITIES AND EXCHANGE COMMISSION Final rule; notice of effective date. The effective date of the additions of § 200.82a, § 240.14a-18, § 240.14n-1 through § 240.14n-3, and § 240.14n-101, and the amendments to § 232.13, § 240.13a-11, § 240.13d-1, § 240.14a-2, § 240.14a-4, § 240.14a-5, § 240.14a-6, § 240.14a-8, § 240.14a-9, § 240.14a-12, § 240.15d-11, § 240.13d-102, § 240.14a-101, and § 249.308, published on September 16, 2010 (75 FR 56668), is September 20, 2011. Section 240.14a-11 was vacated by the United States Court of Appeals for the District of Columbia Circuit (No. 10-1305, July 22, 2011) and therefore is not effective. 17 CFR parts 200, 232, 240 and 249 This release provides notice of the effective date of the amendment to Exchange Act Rule 14a-8, the shareholder proposal rule, which will require companies to include in their proxy materials, under certain circumstances, shareholder proposals that seek to establish a procedure in the company's governing documents for the inclusion of one or more shareholder director nominees in the company's proxy materials. This release also provides notice of the effective date of related rule changes adopted concurrently with the amendment to Rule 14a-8.
GPO FDSys XML | Text type regulations.gov FR Doc. 2011-24118 RIN 3235-AK27 Release Nos. 33-9259 34-65343 IC-29788 File No. S7-10-09 SECURITIES AND EXCHANGE COMMISSION Final rule; notice of effective date. The effective date of the additions of § 200.82a, § 240.14a-18, § 240.14n-1 through § 240.14n-3, and § 240.14n-101, and the amendments to § 232.13, § 240.13a-11, § 240.13d-1, § 240.14a-2, § 240.14a-4, § 240.14a-5, § 240.14a-6, § 240.14a-8, § 240.14a-9, § 240.14a-12, § 240.15d-11, § 240.13d-102, § 240.14a-101, and § 249.308, published on September 16, 2010 (75 FR 56668), is September 20, 2011. Section 240.14a-11 was vacated by the United States Court of Appeals for the District of Columbia Circuit (No. 10-1305, July 22, 2011) and therefore is not effective. 17 CFR parts 200, 232, 240 and 249 This release provides notice of the effective date of the amendment to Exchange Act Rule 14a-8, the shareholder proposal rule, which will require companies to include in their proxy materials, under certain circumstances, shareholder proposals that seek to establish a procedure in the company's governing documents for the inclusion of one or more shareholder director nominees in the company's proxy materials. This release also provides notice of the effective date of related rule changes adopted concurrently with the amendment to Rule 14a-8.
GPO FDSys XML | Text type regulations.gov FR Doc. 2011-24118 RIN 3235-AK27 Release Nos. 33-9259 34-65343 IC-29788 File No. S7-10-09 SECURITIES AND EXCHANGE COMMISSION Final rule; notice of effective date. The effective date of the additions of § 200.82a, § 240.14a-18, § 240.14n-1 through § 240.14n-3, and § 240.14n-101, and the amendments to § 232.13, § 240.13a-11, § 240.13d-1, § 240.14a-2, § 240.14a-4, § 240.14a-5, § 240.14a-6, § 240.14a-8, § 240.14a-9, § 240.14a-12, § 240.15d-11, § 240.13d-102, § 240.14a-101, and § 249.308, published on September 16, 2010 (75 FR 56668), is September 20, 2011. Section 240.14a-11 was vacated by the United States Court of Appeals for the District of Columbia Circuit (No. 10-1305, July 22, 2011) and therefore is not effective. 17 CFR parts 200, 232, 240 and 249 This release provides notice of the effective date of the amendment to Exchange Act Rule 14a-8, the shareholder proposal rule, which will require companies to include in their proxy materials, under certain circumstances, shareholder proposals that seek to establish a procedure in the company's governing documents for the inclusion of one or more shareholder director nominees in the company's proxy materials. This release also provides notice of the effective date of related rule changes adopted concurrently with the amendment to Rule 14a-8.
GPO FDSys XML | Text type regulations.gov FR Doc. 2011-23732 RIN File No. S7-19-11 Release No. PA-47 SECURITIES AND EXCHANGE COMMISSION Final rule. Effective Date: October 17, 2011. 17 CFR Part 200 The Securities and Exchange Commission (“SEC” or “Commission”) is adopting a rule to amend its Privacy Act regulations to exempt portions of three new systems of records and to make technical amendments to its current inventory of exempted systems of records. Specifically, application of the exemptions to the three new systems of records is necessary to protect information compiled for law enforcement purposes.
GPO FDSys XML | Text type regulations.gov FR Doc. 2011-23155 RIN COMMODITY FUTURES TRADING COMMISSION Final rules; interpretation. Effective September 12, 2011. 17 CFR Part 5 The Commodity Futures Trading Commission (Commission or CFTC) is amending its regulations governing off-exchange foreign currency transactions with members of the retail public ( i.e., retail forex transactions). These amendments (Amendments) are necessary to incorporate into Part 5 of the Commission's regulations changes made to the Commodity Exchange Act (CEA) by the Dodd-Frank Wall Street Reform and Consumer Protection Act (Dodd-Frank Act). The Commission is also issuing certain related technical interpretations of various provisions of the CEA as amended by the Dodd-Frank Act with respect to retail forex transactions.
GPO FDSys XML | Text type regulations.gov FR Doc. 2011-22895 RIN Release Nos. 33-9256 34-65244 39-2478 IC-29780 SECURITIES AND EXCHANGE COMMISSION Final rule amendments. Effective Date: September 9, 2011. 17 CFR Parts 239, 249, 269 and 274 The Securities and Exchange Commission (“Commission”) is amending Form ID to include additional applicant types in order to facilitate processing of the form. Form ID is the application for access codes to file on the Commission's Electronic Data Gathering, Analysis, and Retrieval (“EDGAR”) system. The purpose of introducing these new applicant types is to improve the Commission's internal procedures for processing filings, including by routing Form ID filings to the appropriate internal office or division.
GPO FDSys XML | Text type regulations.gov FR Doc. 2011-22895 RIN Release Nos. 33-9256 34-65244 39-2478 IC-29780 SECURITIES AND EXCHANGE COMMISSION Final rule amendments. Effective Date: September 9, 2011. 17 CFR Parts 239, 249, 269 and 274 The Securities and Exchange Commission (“Commission”) is amending Form ID to include additional applicant types in order to facilitate processing of the form. Form ID is the application for access codes to file on the Commission's Electronic Data Gathering, Analysis, and Retrieval (“EDGAR”) system. The purpose of introducing these new applicant types is to improve the Commission's internal procedures for processing filings, including by routing Form ID filings to the appropriate internal office or division.
GPO FDSys XML | Text type regulations.gov FR Doc. 2011-22895 RIN Release Nos. 33-9256 34-65244 39-2478 IC-29780 SECURITIES AND EXCHANGE COMMISSION Final rule amendments. Effective Date: September 9, 2011. 17 CFR Parts 239, 249, 269 and 274 The Securities and Exchange Commission (“Commission”) is amending Form ID to include additional applicant types in order to facilitate processing of the form. Form ID is the application for access codes to file on the Commission's Electronic Data Gathering, Analysis, and Retrieval (“EDGAR”) system. The purpose of introducing these new applicant types is to improve the Commission's internal procedures for processing filings, including by routing Form ID filings to the appropriate internal office or division.
GPO FDSys XML | Text type regulations.gov FR Doc. 2011-22895 RIN Release Nos. 33-9256 34-65244 39-2478 IC-29780 SECURITIES AND EXCHANGE COMMISSION Final rule amendments. Effective Date: September 9, 2011. 17 CFR Parts 239, 249, 269 and 274 The Securities and Exchange Commission (“Commission”) is amending Form ID to include additional applicant types in order to facilitate processing of the form. Form ID is the application for access codes to file on the Commission's Electronic Data Gathering, Analysis, and Retrieval (“EDGAR”) system. The purpose of introducing these new applicant types is to improve the Commission's internal procedures for processing filings, including by routing Form ID filings to the appropriate internal office or division.
GPO FDSys XML | Text type regulations.gov FR Doc. 2011-22724 RIN 3235-AL22 Release No. IC-29776 File No. S7-33-11 SECURITIES AND EXCHANGE COMMISSION Concept release; request for comments. Comments should be received on or before November 7, 2011. 17 CFR Part 271 The Securities and Exchange Commission (the “Commission”) and its staff are reviewing the use of derivatives by management investment companies registered under the Investment Company Act of 1940 (the “Investment Company Act” or “Act”) and companies that have elected to be treated as business development companies (“BDCs”) under the Act (collectively, “funds”). To assist in this review, the Commission is issuing this concept release and request for comments on a wide range of issues relevant to the use of derivatives by funds, including the potential implications for fund leverage, diversification, exposure to certain securities-related issuers, portfolio concentration, valuation, and related matters. In addition to the specific issues highlighted for comment, the Commission invites members of the public to address any other matters that they believe are relevant to the use of derivatives by funds. The Commission intends to consider the comments to help determine whether regulatory initiatives or guidance are needed to improve the current regulatory regime for funds and, if so, the nature of any such initiatives or guidance.
GPO FDSys XML | Text type regulations.gov FR Doc. 2011-22257 RIN 3235-AK75 File No. S7-24-10 Release Nos. 33-9175A 34-63741A SECURITIES AND EXCHANGE COMMISSION Final rule; correcting amendment. Effective Date: September 1, 2011. 17 CFR PART 240 We are making a technical correction to Rule 15Ga-1 adopted in Release No. 33-9175 (January 20, 2011), which was published in the Federal Register on January 26, 2011. The document contained an incorrect paragraph reference in an instruction to Rule 15Ga-1. This correction is being published to correct the paragraph reference.
GPO FDSys XML | Text type regulations.gov FR Doc. 2011-20817 RIN 3038-AD20 COMMODITY FUTURES TRADING COMMISSION Final rule. Effective date is October 31, 2011. Applicants at that time may apply for registration as SDRs but are not required to do so. Mandatory registration and compliance with the registration rules will occur upon the effective date of the swap definition rulemaking, which the Commission will publish at a later date. 17 CFR Part 49 The Commodity Futures Trading Commission (“CFTC” or “Commission”) is adopting its regulations to implement section 21 of the Commodity Exchange Act (“CEA” or “Act”), which establishes registration requirements, statutory duties, core principles and certain compliance obligations for registered swap data repositories (“SDRs”). Section 21 of the CEA was added by section 728 of the Dodd-Frank Wall Street Reform and Consumer Protection Act (“Dodd-Frank Act”).
GPO FDSys XML | Text type regulations.gov FR Doc. 2011-20423 RIN 3038-AD04 COMMODITY FUTURES TRADING COMMISSION Final rules. Effective Date: These Final Rules will become effective upon October 24, 2011. 17 CFR Part 165 The Commission is adopting Final Rules and new forms to implement Section 23 of the Commodity Exchange Act (“CEA” or “Act”) entitled “Commodity Whistleblower Incentives and Protection.” The Dodd-Frank Wall Street Reform and Consumer Protection Act, enacted on July 21, 2010 (“Dodd-Frank Act”), established a whistleblower program that requires the Commission to pay an award, under regulations prescribed by the Commission and subject to certain limitations, to eligible whistleblowers who voluntarily provide the Commission with original information about a violation of the CEA that leads to the successful enforcement of a covered judicial or administrative action, or a related action. The Dodd-Frank Act also prohibits retaliation by employers against individuals who provide the Commission with information about possible CEA violations.
GPO FDSys XML | Text type regulations.gov FR Doc. 2011-21500 RIN 3235-AK89 File No. S7-02-11 Release No. 34-65148 SECURITIES AND EXCHANGE COMMISSION Final rule. Effective Date: September 22, 2011. 17 CFR Parts 240 and 249 Section 942(a) of the Dodd-Frank Wall Street Reform and Consumer Protection Act eliminated the automatic suspension of the duty to file under Section 15(d) of the Securities Exchange Act of 1934 for asset-backed securities issuers and granted the Commission the authority to issue rules providing for the suspension or termination of such duty. We are adopting rules to provide certain thresholds for suspension of the reporting obligations for asset-backed securities issuers. We are also amending our rules relating to the Exchange Act reporting obligations of asset-backed securities issuers in light of these statutory changes.
GPO FDSys XML | Text type regulations.gov FR Doc. 2011-21500 RIN 3235-AK89 File No. S7-02-11 Release No. 34-65148 SECURITIES AND EXCHANGE COMMISSION Final rule. Effective Date: September 22, 2011. 17 CFR Parts 240 and 249 Section 942(a) of the Dodd-Frank Wall Street Reform and Consumer Protection Act eliminated the automatic suspension of the duty to file under Section 15(d) of the Securities Exchange Act of 1934 for asset-backed securities issuers and granted the Commission the authority to issue rules providing for the suspension or termination of such duty. We are adopting rules to provide certain thresholds for suspension of the reporting obligations for asset-backed securities issuers. We are also amending our rules relating to the Exchange Act reporting obligations of asset-backed securities issuers in light of these statutory changes.
GPO FDSys XML | Text type regulations.gov FR Doc. 2011-20413 RIN Release Nos. 33-9250 34-65052 IC-29748 SECURITIES AND EXCHANGE COMMISSION Final rule; technical amendments. Effective Date: August 12, 2011. 17 CFR Parts 210, 229, 230, 239, 240, 249, 270, and 274 The Securities and Exchange Commission (“Commission”) is adopting technical amendments to various rules and forms under the Securities Act of 1933, the Securities Exchange Act of 1934, and the Investment Company Act of 1940. These revisions are necessary to conform those rules and forms to the FASB Accounting Standards Codification TM (“FASB Codification”). 1 The technical amendments include revision of certain rules in Regulation S-X, certain items in Regulation S-K, and various rules and forms prescribed under the Securities Act, Exchange Act and Investment Company Act. 1 “FASB Accounting Standards Codification” is a registered trademark of the Financial Accounting Foundation.
GPO FDSys XML | Text type regulations.gov FR Doc. 2011-20413 RIN Release Nos. 33-9250 34-65052 IC-29748 SECURITIES AND EXCHANGE COMMISSION Final rule; technical amendments. Effective Date: August 12, 2011. 17 CFR Parts 210, 229, 230, 239, 240, 249, 270, and 274 The Securities and Exchange Commission (“Commission”) is adopting technical amendments to various rules and forms under the Securities Act of 1933, the Securities Exchange Act of 1934, and the Investment Company Act of 1940. These revisions are necessary to conform those rules and forms to the FASB Accounting Standards Codification TM (“FASB Codification”). 1 The technical amendments include revision of certain rules in Regulation S-X, certain items in Regulation S-K, and various rules and forms prescribed under the Securities Act, Exchange Act and Investment Company Act. 1 “FASB Accounting Standards Codification” is a registered trademark of the Financial Accounting Foundation.
GPO FDSys XML | Text type regulations.gov FR Doc. 2011-20413 RIN Release Nos. 33-9250 34-65052 IC-29748 SECURITIES AND EXCHANGE COMMISSION Final rule; technical amendments. Effective Date: August 12, 2011. 17 CFR Parts 210, 229, 230, 239, 240, 249, 270, and 274 The Securities and Exchange Commission (“Commission”) is adopting technical amendments to various rules and forms under the Securities Act of 1933, the Securities Exchange Act of 1934, and the Investment Company Act of 1940. These revisions are necessary to conform those rules and forms to the FASB Accounting Standards Codification TM (“FASB Codification”). 1 The technical amendments include revision of certain rules in Regulation S-X, certain items in Regulation S-K, and various rules and forms prescribed under the Securities Act, Exchange Act and Investment Company Act. 1 “FASB Accounting Standards Codification” is a registered trademark of the Financial Accounting Foundation.
GPO FDSys XML | Text type regulations.gov FR Doc. 2011-20413 RIN Release Nos. 33-9250 34-65052 IC-29748 SECURITIES AND EXCHANGE COMMISSION Final rule; technical amendments. Effective Date: August 12, 2011. 17 CFR Parts 210, 229, 230, 239, 240, 249, 270, and 274 The Securities and Exchange Commission (“Commission”) is adopting technical amendments to various rules and forms under the Securities Act of 1933, the Securities Exchange Act of 1934, and the Investment Company Act of 1940. These revisions are necessary to conform those rules and forms to the FASB Accounting Standards Codification TM (“FASB Codification”). 1 The technical amendments include revision of certain rules in Regulation S-X, certain items in Regulation S-K, and various rules and forms prescribed under the Securities Act, Exchange Act and Investment Company Act. 1 “FASB Accounting Standards Codification” is a registered trademark of the Financial Accounting Foundation.
GPO FDSys XML | Text type regulations.gov FR Doc. 2011-20413 RIN Release Nos. 33-9250 34-65052 IC-29748 SECURITIES AND EXCHANGE COMMISSION Final rule; technical amendments. Effective Date: August 12, 2011. 17 CFR Parts 210, 229, 230, 239, 240, 249, 270, and 274 The Securities and Exchange Commission (“Commission”) is adopting technical amendments to various rules and forms under the Securities Act of 1933, the Securities Exchange Act of 1934, and the Investment Company Act of 1940. These revisions are necessary to conform those rules and forms to the FASB Accounting Standards Codification TM (“FASB Codification”). 1 The technical amendments include revision of certain rules in Regulation S-X, certain items in Regulation S-K, and various rules and forms prescribed under the Securities Act, Exchange Act and Investment Company Act. 1 “FASB Accounting Standards Codification” is a registered trademark of the Financial Accounting Foundation.
GPO FDSys XML | Text type regulations.gov FR Doc. 2011-20413 RIN Release Nos. 33-9250 34-65052 IC-29748 SECURITIES AND EXCHANGE COMMISSION Final rule; technical amendments. Effective Date: August 12, 2011. 17 CFR Parts 210, 229, 230, 239, 240, 249, 270, and 274 The Securities and Exchange Commission (“Commission”) is adopting technical amendments to various rules and forms under the Securities Act of 1933, the Securities Exchange Act of 1934, and the Investment Company Act of 1940. These revisions are necessary to conform those rules and forms to the FASB Accounting Standards Codification TM (“FASB Codification”). 1 The technical amendments include revision of certain rules in Regulation S-X, certain items in Regulation S-K, and various rules and forms prescribed under the Securities Act, Exchange Act and Investment Company Act. 1 “FASB Accounting Standards Codification” is a registered trademark of the Financial Accounting Foundation.
GPO FDSys XML | Text type regulations.gov FR Doc. 2011-20413 RIN Release Nos. 33-9250 34-65052 IC-29748 SECURITIES AND EXCHANGE COMMISSION Final rule; technical amendments. Effective Date: August 12, 2011. 17 CFR Parts 210, 229, 230, 239, 240, 249, 270, and 274 The Securities and Exchange Commission (“Commission”) is adopting technical amendments to various rules and forms under the Securities Act of 1933, the Securities Exchange Act of 1934, and the Investment Company Act of 1940. These revisions are necessary to conform those rules and forms to the FASB Accounting Standards Codification TM (“FASB Codification”). 1 The technical amendments include revision of certain rules in Regulation S-X, certain items in Regulation S-K, and various rules and forms prescribed under the Securities Act, Exchange Act and Investment Company Act. 1 “FASB Accounting Standards Codification” is a registered trademark of the Financial Accounting Foundation.
GPO FDSys XML | Text type regulations.gov FR Doc. 2011-20413 RIN Release Nos. 33-9250 34-65052 IC-29748 SECURITIES AND EXCHANGE COMMISSION Final rule; technical amendments. Effective Date: August 12, 2011. 17 CFR Parts 210, 229, 230, 239, 240, 249, 270, and 274 The Securities and Exchange Commission (“Commission”) is adopting technical amendments to various rules and forms under the Securities Act of 1933, the Securities Exchange Act of 1934, and the Investment Company Act of 1940. These revisions are necessary to conform those rules and forms to the FASB Accounting Standards Codification TM (“FASB Codification”). 1 The technical amendments include revision of certain rules in Regulation S-X, certain items in Regulation S-K, and various rules and forms prescribed under the Securities Act, Exchange Act and Investment Company Act. 1 “FASB Accounting Standards Codification” is a registered trademark of the Financial Accounting Foundation.
GPO FDSys XML | Text type regulations.gov FR Doc. 2011-20337 RIN 3038-AD21 COMMODITY FUTURES TRADING COMMISSION Final rule. Effective Date —December 31, 2011. 17 CFR Part 35 The Commodity Futures Trading Commission (“Commission” or “CFTC”) is charged with proposing rules to implement new statutory provisions enacted by Title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act (“Dodd-Frank Act”). The Dodd-Frank Act provides that swaps in an agricultural commodity (as defined by the Commission) are prohibited unless entered into pursuant to a rule, regulation or order of the Commission adopted pursuant to certain provisions of the Commodity Exchange Act (“CEA” or “Act”). On February 3, 2011, the Commission requested comment on a set of proposed rules that would, among other things, implement regulations whereby swaps in agricultural commodities may transact subject to the same rules as all other swaps. The proposed rules for swaps in an agricultural commodity would repeal and replace the Commission's current regulations concerning the exemption of swap agreements. After reviewing the comments submitted in response to the proposed rules, the Commission has determined to issue these final rules for swaps in an agricultural commodity in the form as originally proposed. The February 3, 2011, proposed rules also included provisions that would substantially amend the Commission's regulations regarding commodity option transactions. However, in this final rule the Commission is only issuing the rules for swaps in an agricultural commodity. The proposed rules for commodity option transactions will be addressed at a later date.
GPO FDSys XML | Text type regulations.gov FR Doc. 2011-19824 RIN Release Nos. 33-9246 34-64996 39-2477 IC-29740 SECURITIES AND EXCHANGE COMMISSION Final rule. Effective Date: August 5, 2011. The incorporation by reference of the EDGAR Filer Manual is approved by the Director of the Federal Register as of August 5, 2011. 17 CFR Part 232 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 are being made primarily to retire the offline EDGARLink tool and the associated templates; to support the electronic filing of submission form types 13H, 13H-A, 13H-Q, 13H-I, 13H-T, 13H-R, for large trader registration, and N-PX-CR, N-PX-FM, N-PX-NT, N-PX-VR and their amendments; to update submission form types N-PX and N-PX/A; to update the OMB information on Forms 3, 4, 5, and 25-NSE; to support minor validation updates for Form N-MFP submissions; and to add four new applicant types to the Form ID. The EDGAR system is scheduled to be upgraded to support this functionality on August 1, 2011. The filer manual is also being revised to address changes previously made in EDGAR.
GPO FDSys XML | Text type regulations.gov FR Doc. 2011-19421 RIN 3235-AK18 File No. S7-18-08 Release No. 33-9245 34-64975 SECURITIES AND EXCHANGE COMMISSION Final rule. Effective Date: This rule is effective September 2, 2011 except for the following amendments, which are effective December 31, 2012: • Amendatory instruction 2 amending 17 CFR 200.800; • Amendatory instruction 4 amending 17 CFR 229.10; • Amendatory instruction 10 amending 17 CFR 230.467; • Amendatory instruction 11 amending 17 CFR 230.473; • Amendatory instruction 13 amending 17 CFR 232.405; • Amendatory instruction 21 amending 17 CFR 239.38; • Amendatory instruction 22 amending Form F-8 [referenced in 17 CFR 239.38]; • Amendatory instruction 23 removing Form F-9 [referenced in § 239.39]; • Amendatory instruction 24 amending 17 CFR 239.40; • Amendatory instruction 25 amending Form F-10 [referenced in 17 CFR 239.40]; • Amendatory instruction 26 amending 17 CFR 239.41; • Amendatory instruction 27 amending Form F-80 [referenced in 17 CFR 239.41]; • Amendatory instruction 28 amending 17 CFR 239.42; • Amendatory instruction 29 amending Form F-X [referenced in 17 CFR 239.42]; • Amendatory instruction 33 amending 17 CFR 249.240f; and • Amendatory instruction 34 amending Form 40-F [referenced in 17 CFR 249.240f]. 17 CFR Parts 200, 229, 230, 232, 239, 240, and 249 In light of the provisions of Section 939A of the Dodd-Frank Wall Street Reform and Consumer Protection Act, we are adopting amendments to replace rule and form requirements under the Securities Act of 1933 and the Securities Exchange Act of 1934 for securities offering or issuer disclosure rules that rely on, or make special accommodations for, security ratings (for example, Forms S-3 and F-3 eligibility criteria) with alternative requirements.
GPO FDSys XML | Text type regulations.gov FR Doc. 2011-19421 RIN 3235-AK18 File No. S7-18-08 Release No. 33-9245 34-64975 SECURITIES AND EXCHANGE COMMISSION Final rule. Effective Date: This rule is effective September 2, 2011 except for the following amendments, which are effective December 31, 2012: • Amendatory instruction 2 amending 17 CFR 200.800; • Amendatory instruction 4 amending 17 CFR 229.10; • Amendatory instruction 10 amending 17 CFR 230.467; • Amendatory instruction 11 amending 17 CFR 230.473; • Amendatory instruction 13 amending 17 CFR 232.405; • Amendatory instruction 21 amending 17 CFR 239.38; • Amendatory instruction 22 amending Form F-8 [referenced in 17 CFR 239.38]; • Amendatory instruction 23 removing Form F-9 [referenced in § 239.39]; • Amendatory instruction 24 amending 17 CFR 239.40; • Amendatory instruction 25 amending Form F-10 [referenced in 17 CFR 239.40]; • Amendatory instruction 26 amending 17 CFR 239.41; • Amendatory instruction 27 amending Form F-80 [referenced in 17 CFR 239.41]; • Amendatory instruction 28 amending 17 CFR 239.42; • Amendatory instruction 29 amending Form F-X [referenced in 17 CFR 239.42]; • Amendatory instruction 33 amending 17 CFR 249.240f; and • Amendatory instruction 34 amending Form 40-F [referenced in 17 CFR 249.240f]. 17 CFR Parts 200, 229, 230, 232, 239, 240, and 249 In light of the provisions of Section 939A of the Dodd-Frank Wall Street Reform and Consumer Protection Act, we are adopting amendments to replace rule and form requirements under the Securities Act of 1933 and the Securities Exchange Act of 1934 for securities offering or issuer disclosure rules that rely on, or make special accommodations for, security ratings (for example, Forms S-3 and F-3 eligibility criteria) with alternative requirements.
GPO FDSys XML | Text type regulations.gov FR Doc. 2011-19421 RIN 3235-AK18 File No. S7-18-08 Release No. 33-9245 34-64975 SECURITIES AND EXCHANGE COMMISSION Final rule. Effective Date: This rule is effective September 2, 2011 except for the following amendments, which are effective December 31, 2012: • Amendatory instruction 2 amending 17 CFR 200.800; • Amendatory instruction 4 amending 17 CFR 229.10; • Amendatory instruction 10 amending 17 CFR 230.467; • Amendatory instruction 11 amending 17 CFR 230.473; • Amendatory instruction 13 amending 17 CFR 232.405; • Amendatory instruction 21 amending 17 CFR 239.38; • Amendatory instruction 22 amending Form F-8 [referenced in 17 CFR 239.38]; • Amendatory instruction 23 removing Form F-9 [referenced in § 239.39]; • Amendatory instruction 24 amending 17 CFR 239.40; • Amendatory instruction 25 amending Form F-10 [referenced in 17 CFR 239.40]; • Amendatory instruction 26 amending 17 CFR 239.41; • Amendatory instruction 27 amending Form F-80 [referenced in 17 CFR 239.41]; • Amendatory instruction 28 amending 17 CFR 239.42; • Amendatory instruction 29 amending Form F-X [referenced in 17 CFR 239.42]; • Amendatory instruction 33 amending 17 CFR 249.240f; and • Amendatory instruction 34 amending Form 40-F [referenced in 17 CFR 249.240f]. 17 CFR Parts 200, 229, 230, 232, 239, 240, and 249 In light of the provisions of Section 939A of the Dodd-Frank Wall Street Reform and Consumer Protection Act, we are adopting amendments to replace rule and form requirements under the Securities Act of 1933 and the Securities Exchange Act of 1934 for securities offering or issuer disclosure rules that rely on, or make special accommodations for, security ratings (for example, Forms S-3 and F-3 eligibility criteria) with alternative requirements.
GPO FDSys XML | Text type regulations.gov FR Doc. 2011-19421 RIN 3235-AK18 File No. S7-18-08 Release No. 33-9245 34-64975 SECURITIES AND EXCHANGE COMMISSION Final rule. Effective Date: This rule is effective September 2, 2011 except for the following amendments, which are effective December 31, 2012: • Amendatory instruction 2 amending 17 CFR 200.800; • Amendatory instruction 4 amending 17 CFR 229.10; • Amendatory instruction 10 amending 17 CFR 230.467; • Amendatory instruction 11 amending 17 CFR 230.473; • Amendatory instruction 13 amending 17 CFR 232.405; • Amendatory instruction 21 amending 17 CFR 239.38; • Amendatory instruction 22 amending Form F-8 [referenced in 17 CFR 239.38]; • Amendatory instruction 23 removing Form F-9 [referenced in § 239.39]; • Amendatory instruction 24 amending 17 CFR 239.40; • Amendatory instruction 25 amending Form F-10 [referenced in 17 CFR 239.40]; • Amendatory instruction 26 amending 17 CFR 239.41; • Amendatory instruction 27 amending Form F-80 [referenced in 17 CFR 239.41]; • Amendatory instruction 28 amending 17 CFR 239.42; • Amendatory instruction 29 amending Form F-X [referenced in 17 CFR 239.42]; • Amendatory instruction 33 amending 17 CFR 249.240f; and • Amendatory instruction 34 amending Form 40-F [referenced in 17 CFR 249.240f]. 17 CFR Parts 200, 229, 230, 232, 239, 240, and 249 In light of the provisions of Section 939A of the Dodd-Frank Wall Street Reform and Consumer Protection Act, we are adopting amendments to replace rule and form requirements under the Securities Act of 1933 and the Securities Exchange Act of 1934 for securities offering or issuer disclosure rules that rely on, or make special accommodations for, security ratings (for example, Forms S-3 and F-3 eligibility criteria) with alternative requirements.
GPO FDSys XML | Text type regulations.gov FR Doc. 2011-19421 RIN 3235-AK18 File No. S7-18-08 Release No. 33-9245 34-64975 SECURITIES AND EXCHANGE COMMISSION Final rule. Effective Date: This rule is effective September 2, 2011 except for the following amendments, which are effective December 31, 2012: • Amendatory instruction 2 amending 17 CFR 200.800; • Amendatory instruction 4 amending 17 CFR 229.10; • Amendatory instruction 10 amending 17 CFR 230.467; • Amendatory instruction 11 amending 17 CFR 230.473; • Amendatory instruction 13 amending 17 CFR 232.405; • Amendatory instruction 21 amending 17 CFR 239.38; • Amendatory instruction 22 amending Form F-8 [referenced in 17 CFR 239.38]; • Amendatory instruction 23 removing Form F-9 [referenced in § 239.39]; • Amendatory instruction 24 amending 17 CFR 239.40; • Amendatory instruction 25 amending Form F-10 [referenced in 17 CFR 239.40]; • Amendatory instruction 26 amending 17 CFR 239.41; • Amendatory instruction 27 amending Form F-80 [referenced in 17 CFR 239.41]; • Amendatory instruction 28 amending 17 CFR 239.42; • Amendatory instruction 29 amending Form F-X [referenced in 17 CFR 239.42]; • Amendatory instruction 33 amending 17 CFR 249.240f; and • Amendatory instruction 34 amending Form 40-F [referenced in 17 CFR 249.240f]. 17 CFR Parts 200, 229, 230, 232, 239, 240, and 249 In light of the provisions of Section 939A of the Dodd-Frank Wall Street Reform and Consumer Protection Act, we are adopting amendments to replace rule and form requirements under the Securities Act of 1933 and the Securities Exchange Act of 1934 for securities offering or issuer disclosure rules that rely on, or make special accommodations for, security ratings (for example, Forms S-3 and F-3 eligibility criteria) with alternative requirements.
GPO FDSys XML | Text type regulations.gov FR Doc. 2011-19421 RIN 3235-AK18 File No. S7-18-08 Release No. 33-9245 34-64975 SECURITIES AND EXCHANGE COMMISSION Final rule. Effective Date: This rule is effective September 2, 2011 except for the following amendments, which are effective December 31, 2012: • Amendatory instruction 2 amending 17 CFR 200.800; • Amendatory instruction 4 amending 17 CFR 229.10; • Amendatory instruction 10 amending 17 CFR 230.467; • Amendatory instruction 11 amending 17 CFR 230.473; • Amendatory instruction 13 amending 17 CFR 232.405; • Amendatory instruction 21 amending 17 CFR 239.38; • Amendatory instruction 22 amending Form F-8 [referenced in 17 CFR 239.38]; • Amendatory instruction 23 removing Form F-9 [referenced in § 239.39]; • Amendatory instruction 24 amending 17 CFR 239.40; • Amendatory instruction 25 amending Form F-10 [referenced in 17 CFR 239.40]; • Amendatory instruction 26 amending 17 CFR 239.41; • Amendatory instruction 27 amending Form F-80 [referenced in 17 CFR 239.41]; • Amendatory instruction 28 amending 17 CFR 239.42; • Amendatory instruction 29 amending Form F-X [referenced in 17 CFR 239.42]; • Amendatory instruction 33 amending 17 CFR 249.240f; and • Amendatory instruction 34 amending Form 40-F [referenced in 17 CFR 249.240f]. 17 CFR Parts 200, 229, 230, 232, 239, 240, and 249 In light of the provisions of Section 939A of the Dodd-Frank Wall Street Reform and Consumer Protection Act, we are adopting amendments to replace rule and form requirements under the Securities Act of 1933 and the Securities Exchange Act of 1934 for securities offering or issuer disclosure rules that rely on, or make special accommodations for, security ratings (for example, Forms S-3 and F-3 eligibility criteria) with alternative requirements.
GPO FDSys XML | Text type regulations.gov FR Doc. 2011-19421 RIN 3235-AK18 File No. S7-18-08 Release No. 33-9245 34-64975 SECURITIES AND EXCHANGE COMMISSION Final rule. Effective Date: This rule is effective September 2, 2011 except for the following amendments, which are effective December 31, 2012: • Amendatory instruction 2 amending 17 CFR 200.800; • Amendatory instruction 4 amending 17 CFR 229.10; • Amendatory instruction 10 amending 17 CFR 230.467; • Amendatory instruction 11 amending 17 CFR 230.473; • Amendatory instruction 13 amending 17 CFR 232.405; • Amendatory instruction 21 amending 17 CFR 239.38; • Amendatory instruction 22 amending Form F-8 [referenced in 17 CFR 239.38]; • Amendatory instruction 23 removing Form F-9 [referenced in § 239.39]; • Amendatory instruction 24 amending 17 CFR 239.40; • Amendatory instruction 25 amending Form F-10 [referenced in 17 CFR 239.40]; • Amendatory instruction 26 amending 17 CFR 239.41; • Amendatory instruction 27 amending Form F-80 [referenced in 17 CFR 239.41]; • Amendatory instruction 28 amending 17 CFR 239.42; • Amendatory instruction 29 amending Form F-X [referenced in 17 CFR 239.42]; • Amendatory instruction 33 amending 17 CFR 249.240f; and • Amendatory instruction 34 amending Form 40-F [referenced in 17 CFR 249.240f]. 17 CFR Parts 200, 229, 230, 232, 239, 240, and 249 In light of the provisions of Section 939A of the Dodd-Frank Wall Street Reform and Consumer Protection Act, we are adopting amendments to replace rule and form requirements under the Securities Act of 1933 and the Securities Exchange Act of 1934 for securities offering or issuer disclosure rules that rely on, or make special accommodations for, security ratings (for example, Forms S-3 and F-3 eligibility criteria) with alternative requirements.
GPO FDSys XML | Text type regulations.gov FR Doc. 2011-19419 RIN 3235-AK55 Release No. 34-64976 File No. S7-10-10 SECURITIES AND EXCHANGE COMMISSION Final rule. Effective Date: October 3, 2011. Compliance Dates: December 1, 2011 for the requirement on large traders to identify to the Commission pursuant to Rule 13h-1(b). April 30, 2012 for broker-dealers to maintain records, report, and monitor large trader activity pursuant to Rule 13h-1(d), (e), and (f). 17 CFR PARTS 240 and 249 The Securities and Exchange Commission (“Commission”) is adopting new Rule 13h-1 and Form 13H under Section 13(h) of the Securities Exchange Act of 1934 (“Exchange Act”) to assist the Commission in both identifying, and obtaining trading information on, market participants that conduct a substantial amount of trading activity, as measured by volume or market value, in the U.S. securities markets. Rule 13h-1 will require a “large trader,” defined as a person whose transactions in NMS securities equal or exceed 2 million shares or $20 million during any calendar day, or 20 million shares or $200 million during any calendar month, to identify itself to the Commission and make certain disclosures to the Commission on Form 13H. Upon receipt of Form 13H, the Commission will assign to each large trader an identification number that will uniquely and uniformly identify the trader, which the large trader must then provide to its registered broker-dealers. Such registered broker-dealers will then be required to maintain records of two additional data elements in connection with transactions effected through accounts of such large traders (the large trader identification number, and the time transactions in the account are executed). In addition, the Commission is requiring that such broker-dealers report large trader transaction information to the Commission upon request through the Electronic Blue Sheets systems currently used by broker-dealers for reporting trade information. Finally, certain registered broker-dealers subject to the Rule will be required to perform limited monitoring of their customers' accounts for activity that may trigger the large trader identification requirements of Rule 13h-1. The large trader reporting requirements are designed to provide the Commission with a valuable source of useful data to support its investigative and enforcement activities, as well as facilitate the Commission's ability to assess the impact of large trader activity on the securities markets, to reconstruct trading activity following periods of unusual market volatility, and to analyze significant market events for regulatory purposes.
GPO FDSys XML | Text type regulations.gov FR Doc. 2011-19419 RIN 3235-AK55 Release No. 34-64976 File No. S7-10-10 SECURITIES AND EXCHANGE COMMISSION Final rule. Effective Date: October 3, 2011. Compliance Dates: December 1, 2011 for the requirement on large traders to identify to the Commission pursuant to Rule 13h-1(b). April 30, 2012 for broker-dealers to maintain records, report, and monitor large trader activity pursuant to Rule 13h-1(d), (e), and (f). 17 CFR PARTS 240 and 249 The Securities and Exchange Commission (“Commission”) is adopting new Rule 13h-1 and Form 13H under Section 13(h) of the Securities Exchange Act of 1934 (“Exchange Act”) to assist the Commission in both identifying, and obtaining trading information on, market participants that conduct a substantial amount of trading activity, as measured by volume or market value, in the U.S. securities markets. Rule 13h-1 will require a “large trader,” defined as a person whose transactions in NMS securities equal or exceed 2 million shares or $20 million during any calendar day, or 20 million shares or $200 million during any calendar month, to identify itself to the Commission and make certain disclosures to the Commission on Form 13H. Upon receipt of Form 13H, the Commission will assign to each large trader an identification number that will uniquely and uniformly identify the trader, which the large trader must then provide to its registered broker-dealers. Such registered broker-dealers will then be required to maintain records of two additional data elements in connection with transactions effected through accounts of such large traders (the large trader identification number, and the time transactions in the account are executed). In addition, the Commission is requiring that such broker-dealers report large trader transaction information to the Commission upon request through the Electronic Blue Sheets systems currently used by broker-dealers for reporting trade information. Finally, certain registered broker-dealers subject to the Rule will be required to perform limited monitoring of their customers' accounts for activity that may trigger the large trader identification requirements of Rule 13h-1. The large trader reporting requirements are designed to provide the Commission with a valuable source of useful data to support its investigative and enforcement activities, as well as facilitate the Commission's ability to assess the impact of large trader activity on the securities markets, to reconstruct trading activity following periods of unusual market volatility, and to analyze significant market events for regulatory purposes.
GPO FDSys XML | Text type regulations.gov FR Doc. 2011-19385 RIN 3038-AD07 COMMODITY FUTURES TRADING COMMISSION Final rule; Correction. Effective date: September 26, 2011. 17 CFR Part 40 This document corrects incorrect text published in the Federal Register of July 27, 2011, regarding Provisions Common to Registered Entities.
GPO FDSys XML | Text type regulations.gov FR Doc. 2011-18661 RIN 3038-AD07 COMMODITY FUTURES TRADING COMMISSION Final Rule. Effective date: September 26, 2011. 17 CFR Part 40 The Commodity Futures Trading Commission (“Commission”) is adopting regulations to implement certain statutory provisions of the Dodd-Frank Wall Street Reform and Consumer Protection Act (“Dodd-Frank Act”). The Commission also is amending its existing regulations governing the submission of new products, rules, and rule amendments. The final regulations establish the Commission's procedural framework for the submission of new products, rules, and rule amendments by designated contract markets (“DCMs”), derivatives clearing organizations (“DCOs”), swap execution facilities (“SEFs”), and swap data repositories (“SDRs”). In addition, the final regulations prohibit event contracts involving certain excluded commodities, establish special submission procedures for certain rules proposed by systemically important derivatives clearing organizations (“SIDCOs”), and stay the certifications and the approval review periods of novel derivative products pending jurisdictional determinations.
GPO FDSys XML | Text type regulations.gov FR Doc. 2011-18663 RIN 3038-AD00 COMMODITY FUTURES TRADING COMMISSION Final rule. Effective September 26, 2011. 17 CFR Parts 39 and 140 The Commodity Futures Trading Commission (Commission or CFTC) is adopting regulations to implement certain provisions of the Dodd-Frank Wall Street Reform and Consumer Protection Act (Dodd-Frank Act). These regulations establish the process by which the Commission will review swaps to determine whether the swaps are required to be cleared.
GPO FDSys XML | Text type regulations.gov FR Doc. 2011-18663 RIN 3038-AD00 COMMODITY FUTURES TRADING COMMISSION Final rule. Effective September 26, 2011. 17 CFR Parts 39 and 140 The Commodity Futures Trading Commission (Commission or CFTC) is adopting regulations to implement certain provisions of the Dodd-Frank Wall Street Reform and Consumer Protection Act (Dodd-Frank Act). These regulations establish the process by which the Commission will review swaps to determine whether the swaps are required to be cleared.
GPO FDSys XML | Text type regulations.gov FR Doc. 2011-18777 RIN 3038-AD11 COMMODITY FUTURES TRADING COMMISSION Final rule. This rule is effective September 23, 2011. 17 CFR Parts 1 and 4 The Commodity Futures Trading Commission (“Commission” or “CFTC”) is adopting a final rule that amends existing CFTC regulations in order to implement new statutory provisions enacted by Title IX of the Dodd-Frank Wall Street Reform and Consumer Protection Act (“Dodd-Frank Act”). The rule amendments set forth herein apply to futures commission merchants (“FCMs”), derivatives clearing organizations (“DCOs”), and commodity pool operators (“CPOs”). The rule amendments implement the new statutory framework that requires agencies to replace any reference to or reliance on credit ratings in their regulations with an appropriate alternative standard.
GPO FDSys XML | Text type regulations.gov FR Doc. 2011-18777 RIN 3038-AD11 COMMODITY FUTURES TRADING COMMISSION Final rule. This rule is effective September 23, 2011. 17 CFR Parts 1 and 4 The Commodity Futures Trading Commission (“Commission” or “CFTC”) is adopting a final rule that amends existing CFTC regulations in order to implement new statutory provisions enacted by Title IX of the Dodd-Frank Wall Street Reform and Consumer Protection Act (“Dodd-Frank Act”). The rule amendments set forth herein apply to futures commission merchants (“FCMs”), derivatives clearing organizations (“DCOs”), and commodity pool operators (“CPOs”). The rule amendments implement the new statutory framework that requires agencies to replace any reference to or reliance on credit ratings in their regulations with an appropriate alternative standard.
GPO FDSys XML | Text type regulations.gov FR Doc. 2011-18054 RIN 3038-AD17 COMMODITY FUTURES TRADING COMMISSION Final rules. Effective Dates: This rulemaking shall become effective September 20, 2011. 17 CFR Parts 15 and 20 The Commission is adopting reporting regulations (“Reporting Rules”) that require physical commodity swap and swaption (for ease of reference, collectively “swaps”) reports. The new regulations require routine position reports from clearing organizations, clearing members and swap dealers and also apply to reportable swap trader positions.
GPO FDSys XML | Text type regulations.gov FR Doc. 2011-18054 RIN 3038-AD17 COMMODITY FUTURES TRADING COMMISSION Final rules. Effective Dates: This rulemaking shall become effective September 20, 2011. 17 CFR Parts 15 and 20 The Commission is adopting reporting regulations (“Reporting Rules”) that require physical commodity swap and swaption (for ease of reference, collectively “swaps”) reports. The new regulations require routine position reports from clearing organizations, clearing members and swap dealers and also apply to reportable swap trader positions.
GPO FDSys XML | Text type regulations.gov FR Doc. 2011-17710 RIN 3038-AD13 COMMODITY FUTURES TRADING COMMISSION Final rule. Effective date: September 20, 2011. Compliance dates: Futures commission merchants, commodity pool operators, commodity trading advisors, introducing brokers, and retail foreign exchange dealers shall be in compliance with these rules not later than November 21, 2011. Swap dealers and major swap participants shall be in compliance with these rules not later than 60 days after the effective date of the final entities definition rulemaking, which the Commission will publish in the Federal Register at a future date. 17 CFR Part 160 The Commodity Futures Trading Commission (“Commission” or “CFTC”) is amending its rules implementing new statutory provisions enacted by titles VII and X of the Dodd-Frank Wall Street Reform and Consumer Protection Act (the “Dodd-Frank Act”). Section 1093 of the Dodd-Frank Act provides for certain amendments to title V of the Gramm-Leach-Bliley Act (the “GLB Act”). The GLB Act sets forth certain protections for the privacy of consumer financial information and was amended by the Dodd-Frank Act to affirm the Commission's jurisdiction in this area. The Commission's amendments to its regulations, inter alia, broaden the scope of part 160 to cover two new entities created by title VII of the Dodd-Frank Act: swap dealers and major swap participants.
GPO FDSys XML | Text type regulations.gov FR Doc. 2011-17711 RIN 3038-AD12 COMMODITY FUTURES TRADING COMMISSION Final rule. Effective date: September 20, 2011. Compliance dates: Futures commission merchants, commodity pool operators, commodity trading advisors, introducing brokers, and retail foreign exchange dealers shall be in compliance with these rules not later than November 21, 2011. Swap dealers and major swap participants shall be in compliance with these rules not later than 60 days after the effective date of the final entities definition rulemaking, which the Commission will have published in the Federal Register at a future date. 17 CFR Part 162 The Commodity Futures Trading Commission is adopting regulations to implement new statutory provisions enacted by title X of the Dodd-Frank Wall Street Reform and Consumer Protection Act. These regulations apply to futures commission merchants, retail foreign exchange dealers, commodity trading advisors, commodity pool operators, introducing brokers, swap dealers and major swap participants. The Dodd-Frank Act provides the Commission with authority to implement regulations under sections 624 and 628 of the Fair Credit Reporting Act. The regulations implementing section 624 of the Fair Credit Reporting Act require CFTC-regulated entities to provide consumers with the opportunity to prohibit affiliates from using certain information to make marketing solicitations to consumers. The regulations implementing section 628 of the FCRA require CFTC-regulated entities that possess or maintain consumer report information in connection with their business activities to develop and implement written policies and procedures for the proper disposal of such information.
GPO FDSys XML | Text type regulations.gov FR Doc. 2011-18513 RIN Release No. 34-64913 SECURITIES AND EXCHANGE COMMISSION Final rule; technical amendment. Effective Date: July 22, 2011. 17 CFR Part 240 The Securities and Exchange Commission (“SEC” or “Commission”) is making technical amendments to the rule by which applications for exemptive relief under section 36 of the Securities and Exchange Act of 1934 (“Exchange Act”) may be submitted electronically. The amendments are intended only to clarify and update references to an SEC Web site address and to eliminate certain formatting requirements.
GPO FDSys XML | Text type regulations.gov FR Doc. 2011-16318 RIN 3235-AK82 Release No. IA-3221 File No. S7-36-10 SECURITIES AND EXCHANGE COMMISSION Final rule. Effective dates: The effective date of 17 CFR 275.204-4 and 275.203A-5(b) and (c), amendments to 17 CFR 275.0-7, 275.203A-1, 275.203A-2, 275.203A-3, 275.204-1, 275.204-2, 275.206(4)-5, 275.222-1, and 275.222-2, and amendments to Forms ADV, ADV-E, ADV-H, and ADV-NR (referenced in 17 CFR part 279) is September 19, 2011. The effective date of 17 CFR 275.203A-5(a) and the amendment to 17 CFR 275.203-1 is July 21, 2011. 17 CFR 275.202(a)(11)-1, 275.203(b)(3)-1, 275.203(b)(3)-2, and 275.203A-4 are removed effective September 19, 2011. Compliance Date: See section III of this Release. 17 CFR Parts 275 and 279 The Securities and Exchange Commission is adopting new rules and rule amendments under the Investment Advisers Act of 1940 to implement provisions of the Dodd-Frank Wall Street Reform and Consumer Protection Act. These rules and rule amendments are designed to give effect to provisions of Title IV of the Dodd-Frank Act that, among other things, increase the statutory threshold for registration by investment advisers with the Commission, require advisers to hedge funds and other private funds to register with the Commission, and require reporting by certain investment advisers that are exempt from registration. In addition, we are adopting rule amendments, including amendments to the Commission's pay to play rule, that address a number of other changes made by the Dodd-Frank Act.
GPO FDSys XML | Text type regulations.gov FR Doc. 2011-16318 RIN 3235-AK82 Release No. IA-3221 File No. S7-36-10 SECURITIES AND EXCHANGE COMMISSION Final rule. Effective dates: The effective date of 17 CFR 275.204-4 and 275.203A-5(b) and (c), amendments to 17 CFR 275.0-7, 275.203A-1, 275.203A-2, 275.203A-3, 275.204-1, 275.204-2, 275.206(4)-5, 275.222-1, and 275.222-2, and amendments to Forms ADV, ADV-E, ADV-H, and ADV-NR (referenced in 17 CFR part 279) is September 19, 2011. The effective date of 17 CFR 275.203A-5(a) and the amendment to 17 CFR 275.203-1 is July 21, 2011. 17 CFR 275.202(a)(11)-1, 275.203(b)(3)-1, 275.203(b)(3)-2, and 275.203A-4 are removed effective September 19, 2011. Compliance Date: See section III of this Release. 17 CFR Parts 275 and 279 The Securities and Exchange Commission is adopting new rules and rule amendments under the Investment Advisers Act of 1940 to implement provisions of the Dodd-Frank Wall Street Reform and Consumer Protection Act. These rules and rule amendments are designed to give effect to provisions of Title IV of the Dodd-Frank Act that, among other things, increase the statutory threshold for registration by investment advisers with the Commission, require advisers to hedge funds and other private funds to register with the Commission, and require reporting by certain investment advisers that are exempt from registration. In addition, we are adopting rule amendments, including amendments to the Commission's pay to play rule, that address a number of other changes made by the Dodd-Frank Act.
GPO FDSys XML | Text type regulations.gov FR Doc. 2011-18009 RIN 3235-AL19 Release No. 34-64874 File No. S7-30-11 SECURITIES AND EXCHANGE COMMISSION Interim final temporary rule; request for comments. Effective Date: Rule 15b12-1T is effective on July 15, 2011 and will remain in effect until July 16, 2012. Comment Date: Comments on the interim final temporary rule should be received on or before September 13, 2011. 17 CFR Part 240 Under section 742(c) of the Dodd-Frank Wall Street Reform and Consumer Protection Act (“Dodd-Frank Act”), certain foreign exchange transactions with persons who are not “eligible contract participants” (commonly referred to as “retail forex transactions,” and as further defined below) with a registered broker or dealer (“broker-dealer”) will be prohibited as of July 16, 2011, in the absence of the Commission adopting a rule to allow such transactions under terms and conditions prescribed by the Commission. The Commission is adopting interim final temporary Rule 15b12-1T to allow a registered broker-dealer to engage in a retail forex business until July 16, 2012, provided that the broker-dealer complies with the Securities Exchange Act of 1934 (“Exchange Act”), the rules and regulations thereunder, and the rules of the self-regulatory organization(s) of which the broker-dealer is a member (“SRO rules”), insofar as they are applicable to retail forex transactions.
GPO FDSys XML | Text type regulations.gov FR Doc. 2011-17549 RIN 3038-AD27 COMMODITY FUTURES TRADING COMMISSION Final rules. Effective Date: These final Rules will become effective August 15, 2011. 17 CFR Part 180 The Commodity Futures Trading Commission (“CFTC” or “Commission”) is adopting final rules pursuant to section 753 of the Dodd-Frank Wall Street Reform and Consumer Protection Act (“Dodd-Frank Act”), to implement amended subsections (c)(1) and (c)(3) of section 6 of the Commodity Exchange Act (“CEA”). These rules broadly prohibit fraud and manipulation in connection with any swap, or contract of sale of any commodity in interstate commerce, or contract for future delivery on or subject to the rules of any registered entity.
GPO FDSys XML | Text type regulations.gov FR Doc. 2011-17626 RIN 3038-AD23 COMMODITY FUTURES TRADING COMMISSION Final rule. Effective Date —September 12, 2011. 17 CFR Part 1 The Commodity Futures Trading Commission (“Commission” or “CFTC”) is charged with proposing rules to implement new statutory provisions enacted by Title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act (“Dodd-Frank Act”). The Dodd-Frank Act, which amends the Commodity Exchange Act (“CEA” or “Act”), includes provisions applicable to “a swap in an agricultural commodity (as defined by the [CFTC]).” Neither Congress nor the CFTC has previously defined that term for purposes of the CEA or CFTC regulations. On October 26, 2010, the Commission requested comment on a proposed definition. After reviewing the comments submitted in response to the proposed definition, the Commission has determined to issue these final rules in essentially the same form as originally proposed, subject to a minor revision to the commodity-based index provision.
GPO FDSys XML | Text type regulations.gov FR Doc. 2011-17524 RIN 3235-AL18 Release No. 34-64832 File No. S7-29-11 SECURITIES AND EXCHANGE COMMISSION Interim final rule; request for comment. Effective Date: July 15, 2011. Comment Date: Comments on the interim final rule should be submitted on or before September 15, 2011. 17 CFR Parts 240 and 249 The Securities and Exchange Commission (“SEC” or “Commission”) is adopting an interim final rule to amend Rule 19b-4 under the Securities Exchange Act of 1934 (“Exchange Act”). The amendment expands the list of categories that qualify for summary effectiveness under Section 19(b)(3)(A) of the Exchange Act to include any matter effecting a change in an existing service of a clearing agency registered with the Commission (“Registered Clearing Agency”) that both primarily affects the futures clearing operations of the clearing agency with respect to futures that are not security futures and does not significantly affect any securities clearing operations of the clearing agency or any related rights or obligations of the clearing agency or persons using such service. The Commission also is making a corresponding technical modification to the General Instructions for Form 19b-4 under the Exchange Act. The amendments to Rule 19b-4 and Form 19b-4 are intended to streamline the rule filing process in areas involving certain activities concerning non-security products that may be subject to overlapping regulation as a result of, in part, certain provisions under Section 763(b) of the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010 (“Dodd-Frank Act”) that would deem some clearing agencies to be registered with the Commission as of July 16, 2011.
GPO FDSys XML | Text type regulations.gov FR Doc. 2011-17524 RIN 3235-AL18 Release No. 34-64832 File No. S7-29-11 SECURITIES AND EXCHANGE COMMISSION Interim final rule; request for comment. Effective Date: July 15, 2011. Comment Date: Comments on the interim final rule should be submitted on or before September 15, 2011. 17 CFR Parts 240 and 249 The Securities and Exchange Commission (“SEC” or “Commission”) is adopting an interim final rule to amend Rule 19b-4 under the Securities Exchange Act of 1934 (“Exchange Act”). The amendment expands the list of categories that qualify for summary effectiveness under Section 19(b)(3)(A) of the Exchange Act to include any matter effecting a change in an existing service of a clearing agency registered with the Commission (“Registered Clearing Agency”) that both primarily affects the futures clearing operations of the clearing agency with respect to futures that are not security futures and does not significantly affect any securities clearing operations of the clearing agency or any related rights or obligations of the clearing agency or persons using such service. The Commission also is making a corresponding technical modification to the General Instructions for Form 19b-4 under the Exchange Act. The amendments to Rule 19b-4 and Form 19b-4 are intended to streamline the rule filing process in areas involving certain activities concerning non-security products that may be subject to overlapping regulation as a result of, in part, certain provisions under Section 763(b) of the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010 (“Dodd-Frank Act”) that would deem some clearing agencies to be registered with the Commission as of July 16, 2011.
GPO FDSys XML | Text type regulations.gov FR Doc. 2011-17039 RIN 3235-AL17 Release Nos. 33-9231 34-64794 39-2475 File No. S7-26-11 SECURITIES AND EXCHANGE COMMISSION Interim final rules; request for comments. Effective Date: The interim final rules are effective July 11, 2011 Comments should be received on or before August 15, 2011. 17 CFR Parts 230, 240 and 260 We are adopting interim final rules providing exemptions under the Securities Act of 1933, the Securities Exchange Act of 1934, and the Trust Indenture Act of 1939 for those security-based swaps that under current law are security-based swap agreements and will be defined as “securities” under the Securities Act and the Exchange Act as of July 16, 2011 due solely to the provisions of Title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act. The interim final rules will exempt offers and sales of these security-based swaps from all provisions of the Securities Act, other than the Section 17(a) anti-fraud provisions, as well as exempt these security-based swaps from Exchange Act registration requirements and from the provisions of the Trust Indenture Act, provided certain conditions are met. The interim final rules will remain in effect until the compliance date for final rules that we may adopt further defining the terms “security-based swap” and “eligible contract participant.”
GPO FDSys XML | Text type regulations.gov FR Doc. 2011-17039 RIN 3235-AL17 Release Nos. 33-9231 34-64794 39-2475 File No. S7-26-11 SECURITIES AND EXCHANGE COMMISSION Interim final rules; request for comments. Effective Date: The interim final rules are effective July 11, 2011 Comments should be received on or before August 15, 2011. 17 CFR Parts 230, 240 and 260 We are adopting interim final rules providing exemptions under the Securities Act of 1933, the Securities Exchange Act of 1934, and the Trust Indenture Act of 1939 for those security-based swaps that under current law are security-based swap agreements and will be defined as “securities” under the Securities Act and the Exchange Act as of July 16, 2011 due solely to the provisions of Title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act. The interim final rules will exempt offers and sales of these security-based swaps from all provisions of the Securities Act, other than the Section 17(a) anti-fraud provisions, as well as exempt these security-based swaps from Exchange Act registration requirements and from the provisions of the Trust Indenture Act, provided certain conditions are met. The interim final rules will remain in effect until the compliance date for final rules that we may adopt further defining the terms “security-based swap” and “eligible contract participant.”
GPO FDSys XML | Text type regulations.gov FR Doc. 2011-17039 RIN 3235-AL17 Release Nos. 33-9231 34-64794 39-2475 File No. S7-26-11 SECURITIES AND EXCHANGE COMMISSION Interim final rules; request for comments. Effective Date: The interim final rules are effective July 11, 2011 Comments should be received on or before August 15, 2011. 17 CFR Parts 230, 240 and 260 We are adopting interim final rules providing exemptions under the Securities Act of 1933, the Securities Exchange Act of 1934, and the Trust Indenture Act of 1939 for those security-based swaps that under current law are security-based swap agreements and will be defined as “securities” under the Securities Act and the Exchange Act as of July 16, 2011 due solely to the provisions of Title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act. The interim final rules will exempt offers and sales of these security-based swaps from all provisions of the Securities Act, other than the Section 17(a) anti-fraud provisions, as well as exempt these security-based swaps from Exchange Act registration requirements and from the provisions of the Trust Indenture Act, provided certain conditions are met. The interim final rules will remain in effect until the compliance date for final rules that we may adopt further defining the terms “security-based swap” and “eligible contract participant.”
GPO FDSys XML | Text type regulations.gov FR Doc. 2011-17132 RIN 3235-AK26 Release Nos. 33-9232 34-64800 39-2476 File No. S7-02-09 SECURITIES AND EXCHANGE COMMISSION Final temporary rules; extension. Effective Date: These amendments are effective July 8, 2011, and the expiration dates in the temporary rules and amendments published January 22, 2009 (74 FR 3967), extended in a release published on September 17, 2009 (74 FR 47719), and further extended in a release published on November 26, 2010 (75 FR 72660), are further extended from July 16, 2011 to April 16, 2012. If the Commission adopts permanent exemptions for security-based swaps issued by certain clearing agencies before April 16, 2012, the Commission will terminate the effectiveness of the temporary rules as part of that rulemaking. 17 CFR Parts 230, 240 and 260 We are extending the expiration dates in our temporary rules that provide exemptions under the Securities Act of 1933, the Securities Exchange Act of 1934, and the Trust Indenture Act of 1939 for certain credit default swaps in order to continue facilitating the operation of one or more central counterparties for those credit default swaps as we consider rules implementing the clearing provisions of the Dodd-Frank Wall Street Reform and Consumer Protection Act.
GPO FDSys XML | Text type regulations.gov FR Doc. 2011-17132 RIN 3235-AK26 Release Nos. 33-9232 34-64800 39-2476 File No. S7-02-09 SECURITIES AND EXCHANGE COMMISSION Final temporary rules; extension. Effective Date: These amendments are effective July 8, 2011, and the expiration dates in the temporary rules and amendments published January 22, 2009 (74 FR 3967), extended in a release published on September 17, 2009 (74 FR 47719), and further extended in a release published on November 26, 2010 (75 FR 72660), are further extended from July 16, 2011 to April 16, 2012. If the Commission adopts permanent exemptions for security-based swaps issued by certain clearing agencies before April 16, 2012, the Commission will terminate the effectiveness of the temporary rules as part of that rulemaking. 17 CFR Parts 230, 240 and 260 We are extending the expiration dates in our temporary rules that provide exemptions under the Securities Act of 1933, the Securities Exchange Act of 1934, and the Trust Indenture Act of 1939 for certain credit default swaps in order to continue facilitating the operation of one or more central counterparties for those credit default swaps as we consider rules implementing the clearing provisions of the Dodd-Frank Wall Street Reform and Consumer Protection Act.
GPO FDSys XML | Text type regulations.gov FR Doc. 2011-17132 RIN 3235-AK26 Release Nos. 33-9232 34-64800 39-2476 File No. S7-02-09 SECURITIES AND EXCHANGE COMMISSION Final temporary rules; extension. Effective Date: These amendments are effective July 8, 2011, and the expiration dates in the temporary rules and amendments published January 22, 2009 (74 FR 3967), extended in a release published on September 17, 2009 (74 FR 47719), and further extended in a release published on November 26, 2010 (75 FR 72660), are further extended from July 16, 2011 to April 16, 2012. If the Commission adopts permanent exemptions for security-based swaps issued by certain clearing agencies before April 16, 2012, the Commission will terminate the effectiveness of the temporary rules as part of that rulemaking. 17 CFR Parts 230, 240 and 260 We are extending the expiration dates in our temporary rules that provide exemptions under the Securities Act of 1933, the Securities Exchange Act of 1934, and the Trust Indenture Act of 1939 for certain credit default swaps in order to continue facilitating the operation of one or more central counterparties for those credit default swaps as we consider rules implementing the clearing provisions of the Dodd-Frank Wall Street Reform and Consumer Protection Act.
GPO FDSys XML | Text type regulations.gov FR Doc. 2011-16864 RIN Release No. 34-64778 SECURITIES AND EXCHANGE COMMISSION Final rule. Effective Date: July 7, 2011. 17 CFR Part 200 The Commission is amending its rules to delegate authority to the Director of the Division of Enforcement to disclose information that could reasonably be expected to reveal the identity of a whistleblower (“whistleblower identifying information”) to those persons to whom disclosure may be made without loss of confidentiality under the whistleblower provisions of the Dodd-Frank Wall Street Reform and Consumer Protection Act (the “Dodd-Frank Act”).
GPO FDSys XML | Text type regulations.gov FR Doc. 2011-16118 RIN 3235-AK81 Release No. IA-3222 File No. S7-37-10 SECURITIES AND EXCHANGE COMMISSION Final rule. Effective Date: July 21, 2011. 17 CFR Part 275 The Securities and Exchange Commission (the “Commission”) is adopting rules to implement new exemptions from the registration requirements of the Investment Advisers Act of 1940 for advisers to certain privately offered investment funds; these exemptions were enacted as part of the Dodd-Frank Wall Street Reform and Consumer Protection Act (the “Dodd-Frank Act”). As required by Title IV of the Dodd-Frank Act—the Private Fund Investment Advisers Registration Act of 2010—the new rules define “venture capital fund” and provide an exemption from registration for advisers with less than $150 million in private fund assets under management in the United States. The new rules also clarify the meaning of certain terms included in a new exemption from registration for “foreign private advisers.”
GPO FDSys XML | Text type regulations.gov FR Doc. 2011-16467 RIN 3235-AK53 Release No. 34-64748 File No. S7-03-10 SECURITIES AND EXCHANGE COMMISSION Final rule; limited extension of compliance date for certain requirements. The effective date for this release is June 30, 2011. The effective date for Rule 15c3-5 remains January 14, 2011. The compliance date is extended to November 30, 2011, for all of the requirements of Rule 15c3-5 for fixed income securities, and the requirements of Rule 15c3-5(c)(1)(i) for all securities. The compliance date remains July 14, 2011, for all provisions of Rule 15c3-5 not subject to the limited extension. 17 CFR Part 240 The Commission is extending the compliance date for certain recently adopted requirements of Rule 15c3-5 under the Securities Exchange Act of 1934 (“Exchange Act”). Specifically, the Commission is extending the compliance date, until November 30, 2011, for all of the requirements of Rule 15c3-5 for fixed income securities, and the requirements of Rule 15c3-5(c)(1)(i) for all securities. The compliance date remains July 14, 2011 for all provisions of Rule 15c3-5 not subject to this limited extension. Among other things, Rule 15c3-5 requires broker-dealers with access to trading securities directly on an exchange or alternative trading system (“ATS”), including those providing sponsored or direct market access to customers or other persons, and broker-dealer operators of an ATS that provide access to trading securities directly on their ATS to a person other than a broker-dealer, to establish, document, and maintain a system of risk management controls and supervisory procedures that, among other things, is reasonably designed to systematically limit the financial exposure of the broker-dealer that could arise as a result of market access, and ensure compliance with all regulatory requirements that are applicable in connection with market access. The Commission is extending the compliance date for all of the requirements of Rule 15c3-5 for fixed income securities, and the requirements of Rule 15c3-5(c)(1)(i) for all securities to give broker-dealers with market access additional time to develop, test, and implement the relevant risk management controls and supervisory procedures required under the Rule.
GPO FDSys XML | Text type regulations.gov FR Doc. 2011-16117 RIN 3235-AK66 Release No. IA-3220 File No. S7-25-10 SECURITIES AND EXCHANGE COMMISSION Final rule. Effective Date: August 29, 2011. 17 CFR Part 275 The Securities and Exchange Commission (the “Commission”) is adopting a rule to define “family offices” that will be excluded from the definition of an investment adviser under the Investment Advisers Act of 1940 (“Advisers Act”) and thus will not be subject to regulation under the Advisers Act.
GPO FDSys XML | Text type regulations.gov FR Doc. 2011-15432 RIN Release No. 34-64678 File No. S7-24-11 SECURITIES AND EXCHANGE COMMISSION Exemptive order. This exemptive order is effective June 15, 2011. Comments must be received on or before July 6, 2011. 17 CFR Part 240 The Securities and Exchange Commission (“Commission”) is issuing an exemptive order granting temporary exemptive relief and other temporary relief from compliance with certain provisions of the Securities Exchange Act of 1934 (“Exchange Act”) concerning security-based swaps. The Commission also is providing guidance regarding compliance with other provisions of the Exchange Act concerning security-based swaps that were amended or added by the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010 (“Dodd-Frank Act”) and requesting comments on such guidance and the temporary relief granted.
GPO FDSys XML | Text type regulations.gov FR Doc. 2011-15030 RIN Release No. 34-64649 SECURITIES AND EXCHANGE COMMISSION Final rule. Effective Date: June 17, 2011. 17 CFR Part 200 The Securities and Exchange Commission (“Commission”) is amending its rules to delegate authority to the Director of the Division of Enforcement (“Division”) to issue witness immunity orders to compel individuals to give testimony or provide other information. This delegation is intended to conserve Commission resources, enhance the Division's ability to detect violations of the Federal securities laws, increase the effectiveness and efficiency of the Division's investigations, and improve the success of the Commission's enforcement actions.
GPO FDSys XML | Text type regulations.gov FR Doc. 2011-14572 RIN 3235-AK98 File No. S7-10-11 Release No. 34-64628 SECURITIES AND EXCHANGE COMMISSION Final rule; confirmation. Effective Date: The effective date of this confirmation is July 16, 2011. 17 CFR Part 240 We are readopting without change the relevant portions of Rules 13d-3 and 16a-1. Readoption of these provisions will preserve the application of our existing beneficial ownership rules to persons who purchase or sell security-based swaps after the effective date of new Section 13(o) of the Securities Exchange Act of 1934. Section 13(o) provides that a person shall be deemed a beneficial owner of an equity security based on the purchase or sale of a security-based swap only to the extent we adopt rules after making certain determinations with respect to the purchase or sale of security-based swaps. After making the necessary determinations, we are readopting the relevant portions of Rules 13d-3 and 16a-1 to confirm that, following the July 16, 2011 statutory effective date of Section 13(o), persons who purchase or sell security-based swaps will remain within the scope of these rules to the same extent as they are now.
GPO FDSys XML | Text type regulations.gov FR Doc. 2011-13382 RIN 3235-AK78 Release No. 34-64545 File No. S7-33-10 SECURITIES AND EXCHANGE COMMISSION Final rule. Effective Date: August 12, 2011. 17 CFR Parts 240 and 249 The Commission is adopting rules and forms to implement Section 21F of the Securities Exchange Act of 1934 (“Exchange Act”) entitled “Securities Whistleblower Incentives and Protection.” The Dodd-Frank Wall Street Reform and Consumer Protection Act, enacted on July 21, 2010 (“Dodd-Frank”), established a whistleblower program that requires the Commission to pay an award, under regulations prescribed by the Commission and subject to certain limitations, to eligible whistleblowers who voluntarily provide the Commission with original information about a violation of the Federal securities laws that leads to the successful enforcement of a covered judicial or administrative action, or a related action. Dodd-Frank also prohibits retaliation by employers against individuals who provide the Commission with information about possible securities violations.
GPO FDSys XML | Text type regulations.gov FR Doc. 2011-13382 RIN 3235-AK78 Release No. 34-64545 File No. S7-33-10 SECURITIES AND EXCHANGE COMMISSION Final rule. Effective Date: August 12, 2011. 17 CFR Parts 240 and 249 The Commission is adopting rules and forms to implement Section 21F of the Securities Exchange Act of 1934 (“Exchange Act”) entitled “Securities Whistleblower Incentives and Protection.” The Dodd-Frank Wall Street Reform and Consumer Protection Act, enacted on July 21, 2010 (“Dodd-Frank”), established a whistleblower program that requires the Commission to pay an award, under regulations prescribed by the Commission and subject to certain limitations, to eligible whistleblowers who voluntarily provide the Commission with original information about a violation of the Federal securities laws that leads to the successful enforcement of a covered judicial or administrative action, or a related action. Dodd-Frank also prohibits retaliation by employers against individuals who provide the Commission with information about possible securities violations.
GPO FDSys XML | Text type regulations.gov FR Doc. 2011-12280 RIN Release Nos. 33-9208 34-64495 IC-29670 SECURITIES AND EXCHANGE COMMISSION Final rule. Effective Date: May 19, 2011. 17 CFR Part 202 The Securities and Exchange Commission is amending its procedures for holding funds in any filing fee account in which there has not been a deposit, withdrawal or other adjustment. The amendment extends the holding period from 180 days to three years, after which the Commission will initiate the return of funds to the account holder without any action by the account holder. As always, account holders may request a refund of such fees at any time.
GPO FDSys XML | Text type regulations.gov FR Doc. 2011-11551 RIN 3038-AC46 COMMODITY FUTURES TRADING COMMISSION Final rule. Effective date: June 17, 2011. 17 CFR Part 4 The Commodity Futures Trading Commission (Commission or CFTC) is adopting amendments to its regulations as they affect certain commodity pool operators (CPOs) of commodity pools whose units of participation are listed and traded on a national securities exchange (Amendments). Specifically, this action codifies the relief from certain disclosure, reporting, and recordkeeping requirements that Commission staff previously had issued to these CPOs on a case-by-case basis. It also codifies relief from the CPO registration requirement for certain independent directors or trustees of actively-managed commodity pools that Commission staff similarly has issued.
GPO FDSys XML | Text type regulations.gov FR Doc. 2011-8919 RIN Release No. 34-64251 SECURITIES AND EXCHANGE COMMISSION Final rule. Effective Date: April 13, 2011. 17 CFR Part 240 The Securities and Exchange Commission (“Commission”) is amending Rule 19b-4(a) under the Securities Exchange Act of 1934 (the “Exchange Act”) so that references to “business day” in Section 19(b) of the Exchange Act and Rule 19b-4 thereunder refer to a day other than a Saturday, Sunday, Federal holiday, a day that the U.S. Office of Personnel Management (“OPM”) has announced that Federal agencies in the Washington, DC area are closed to the public, a day on which the Commission is subject to a Federal government shutdown in the event of a lapse in appropriations, or a day on which the Commission's Washington, DC office is otherwise not open for regular business.
The following are ALL rules, proposed rules, and notices (chronologically) published in the Federal Register relating to Title 17
GPO FDSys XML | Text type regulations.gov FR Doc. 2012-7477 RIN 3038-0092 COMMODITY FUTURES TRADING COMMISSION Final rule. This rule will become effective October 1, 2012. 17 CFR Parts 1, 23, 37, 38, and 39 The Commodity Futures Trading Commission (“Commission” or “CFTC”) is adopting rules to implement new statutory provisions enacted by Title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act. These rules address: The documentation between a customer and a futures commission merchant that clears on behalf of the customer; the timing of acceptance or rejection of trades for clearing by derivatives clearing organizations and clearing members; and the risk management procedures of futures commission merchants, swap dealers, and major swap participants that are clearing members. The rules are designed to increase customer access to clearing, to facilitate the timely processing of trades, and to strengthen risk management at the clearing member level.
GPO FDSys XML | Text type regulations.gov FR Doc. 2012-7477 RIN 3038-0092 COMMODITY FUTURES TRADING COMMISSION Final rule. This rule will become effective October 1, 2012. 17 CFR Parts 1, 23, 37, 38, and 39 The Commodity Futures Trading Commission (“Commission” or “CFTC”) is adopting rules to implement new statutory provisions enacted by Title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act. These rules address: The documentation between a customer and a futures commission merchant that clears on behalf of the customer; the timing of acceptance or rejection of trades for clearing by derivatives clearing organizations and clearing members; and the risk management procedures of futures commission merchants, swap dealers, and major swap participants that are clearing members. The rules are designed to increase customer access to clearing, to facilitate the timely processing of trades, and to strengthen risk management at the clearing member level.
GPO FDSys XML | Text type regulations.gov FR Doc. 2012-7477 RIN 3038-0092 COMMODITY FUTURES TRADING COMMISSION Final rule. This rule will become effective October 1, 2012. 17 CFR Parts 1, 23, 37, 38, and 39 The Commodity Futures Trading Commission (“Commission” or “CFTC”) is adopting rules to implement new statutory provisions enacted by Title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act. These rules address: The documentation between a customer and a futures commission merchant that clears on behalf of the customer; the timing of acceptance or rejection of trades for clearing by derivatives clearing organizations and clearing members; and the risk management procedures of futures commission merchants, swap dealers, and major swap participants that are clearing members. The rules are designed to increase customer access to clearing, to facilitate the timely processing of trades, and to strengthen risk management at the clearing member level.
GPO FDSys XML | Text type regulations.gov FR Doc. 2012-7477 RIN 3038-0092 COMMODITY FUTURES TRADING COMMISSION Final rule. This rule will become effective October 1, 2012. 17 CFR Parts 1, 23, 37, 38, and 39 The Commodity Futures Trading Commission (“Commission” or “CFTC”) is adopting rules to implement new statutory provisions enacted by Title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act. These rules address: The documentation between a customer and a futures commission merchant that clears on behalf of the customer; the timing of acceptance or rejection of trades for clearing by derivatives clearing organizations and clearing members; and the risk management procedures of futures commission merchants, swap dealers, and major swap participants that are clearing members. The rules are designed to increase customer access to clearing, to facilitate the timely processing of trades, and to strengthen risk management at the clearing member level.
GPO FDSys XML | Text type regulations.gov FR Doc. 2012-7477 RIN 3038-0092 COMMODITY FUTURES TRADING COMMISSION Final rule. This rule will become effective October 1, 2012. 17 CFR Parts 1, 23, 37, 38, and 39 The Commodity Futures Trading Commission (“Commission” or “CFTC”) is adopting rules to implement new statutory provisions enacted by Title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act. These rules address: The documentation between a customer and a futures commission merchant that clears on behalf of the customer; the timing of acceptance or rejection of trades for clearing by derivatives clearing organizations and clearing members; and the risk management procedures of futures commission merchants, swap dealers, and major swap participants that are clearing members. The rules are designed to increase customer access to clearing, to facilitate the timely processing of trades, and to strengthen risk management at the clearing member level.
GPO FDSys XML | Text type regulations.gov FR Doc. 2012-8348 RIN 3235-AK50 Release Nos. 33-9309 34-66720 IC-30026 File No. S7-12-10 SECURITIES AND EXCHANGE COMMISSION Proposed rule; reopening of comment period. The comment period for the proposed rule published June 23, 2010, at 75 FR 35920, is reopened. Comments should be received on or before May 21, 2012. 17 CFR Parts 230 and 270 The Securities and Exchange Commission is reopening the period for public comment on amendments it originally proposed in Securities Act Release No. 9126 to allow interested persons to submit comments on the results of investor testing regarding target date retirement funds. The rule proposal would, if adopted, require a target date retirement fund that includes the target date in its name to disclose the fund's asset allocation at the target date immediately adjacent to the first use of the fund's name in marketing materials; require marketing materials for target date retirement funds to include a table, chart, or graph depicting the fund's asset allocation over time, together with a statement that would highlight the fund's final asset allocation; require a statement in marketing materials to the effect that a target date retirement fund should not be selected based solely on age or retirement date, is not a guaranteed investment, and the stated asset allocations may be subject to change; and provide additional guidance regarding statements in marketing materials for target date retirement funds and other investment companies that could be misleading.
GPO FDSys XML | Text type regulations.gov FR Doc. 2012-8348 RIN 3235-AK50 Release Nos. 33-9309 34-66720 IC-30026 File No. S7-12-10 SECURITIES AND EXCHANGE COMMISSION Proposed rule; reopening of comment period. The comment period for the proposed rule published June 23, 2010, at 75 FR 35920, is reopened. Comments should be received on or before May 21, 2012. 17 CFR Parts 230 and 270 The Securities and Exchange Commission is reopening the period for public comment on amendments it originally proposed in Securities Act Release No. 9126 to allow interested persons to submit comments on the results of investor testing regarding target date retirement funds. The rule proposal would, if adopted, require a target date retirement fund that includes the target date in its name to disclose the fund's asset allocation at the target date immediately adjacent to the first use of the fund's name in marketing materials; require marketing materials for target date retirement funds to include a table, chart, or graph depicting the fund's asset allocation over time, together with a statement that would highlight the fund's final asset allocation; require a statement in marketing materials to the effect that a target date retirement fund should not be selected based solely on age or retirement date, is not a guaranteed investment, and the stated asset allocations may be subject to change; and provide additional guidance regarding statements in marketing materials for target date retirement funds and other investment companies that could be misleading.
GPO FDSys XML | Text type regulations.gov FR Doc. 2012-8141 RIN 3235-AL16 File No. S7-22-11 Release Nos. 33-9308 34-66703 39-2484 SECURITIES AND EXCHANGE COMMISSION Final rule. Effective Date: The final rules are effective April 16, 2012. 17 CFR Parts 230, 240 and 260 We are adopting exemptions under the Securities Act of 1933, the Securities Exchange Act of 1934, and the Trust Indenture Act of 1939 for security-based swaps issued by certain clearing agencies satisfying certain conditions. The final rules exempt transactions by clearing agencies in these security-based swaps from all provisions of the Securities Act, other than the Section 17(a) anti-fraud provisions, as well as exempt these security-based swaps from Exchange Act registration requirements and from the provisions of the Trust Indenture Act, provided certain conditions are met.
GPO FDSys XML | Text type regulations.gov FR Doc. 2012-8141 RIN 3235-AL16 File No. S7-22-11 Release Nos. 33-9308 34-66703 39-2484 SECURITIES AND EXCHANGE COMMISSION Final rule. Effective Date: The final rules are effective April 16, 2012. 17 CFR Parts 230, 240 and 260 We are adopting exemptions under the Securities Act of 1933, the Securities Exchange Act of 1934, and the Trust Indenture Act of 1939 for security-based swaps issued by certain clearing agencies satisfying certain conditions. The final rules exempt transactions by clearing agencies in these security-based swaps from all provisions of the Securities Act, other than the Section 17(a) anti-fraud provisions, as well as exempt these security-based swaps from Exchange Act registration requirements and from the provisions of the Trust Indenture Act, provided certain conditions are met.
GPO FDSys XML | Text type regulations.gov FR Doc. 2012-8141 RIN 3235-AL16 File No. S7-22-11 Release Nos. 33-9308 34-66703 39-2484 SECURITIES AND EXCHANGE COMMISSION Final rule. Effective Date: The final rules are effective April 16, 2012. 17 CFR Parts 230, 240 and 260 We are adopting exemptions under the Securities Act of 1933, the Securities Exchange Act of 1934, and the Trust Indenture Act of 1939 for security-based swaps issued by certain clearing agencies satisfying certain conditions. The final rules exempt transactions by clearing agencies in these security-based swaps from all provisions of the Securities Act, other than the Section 17(a) anti-fraud provisions, as well as exempt these security-based swaps from Exchange Act registration requirements and from the provisions of the Trust Indenture Act, provided certain conditions are met.
GPO FDSys XML | Text type regulations.gov FR Doc. 2012-5317 RIN 3038-AC96 COMMODITY FUTURES TRADING COMMISSION Final rule. The rules are effective June 4, 2012. Specific compliance dates are discussed in the supplementary information. 17 CFR Parts 1, 3, and 23 The Commodity Futures Trading Commission (Commission or CFTC) is adopting regulations to implement certain provisions of Title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act (Dodd-Frank Act). These regulations set forth reporting and recordkeeping requirements and daily trading records requirements for swap dealers (SDs) and major swap participants (MSPs). These regulations also set forth certain duties imposed upon SDs and MSPs registered with the Commission with regard to: Risk management procedures; monitoring of trading to prevent violations of applicable position limits; diligent supervision; business continuity and disaster recovery; disclosure and the ability of regulators to obtain general information; and antitrust considerations. In addition, these regulations establish conflicts-of-interest requirements for SDs, MSPs, futures commission merchants (FCMs), and introducing brokers (IBs) with regard to firewalls between research and trading and between clearing and trading. Finally, these regulations also require each FCM, SD, and MSP to designate a chief compliance officer, prescribe qualifications and duties of the chief compliance officer, and require that the chief compliance officer prepare, certify, and furnish to the Commission an annual report containing an assessment of the registrant's compliance activities.
GPO FDSys XML | Text type regulations.gov FR Doc. 2012-5317 RIN 3038-AC96 COMMODITY FUTURES TRADING COMMISSION Final rule. The rules are effective June 4, 2012. Specific compliance dates are discussed in the supplementary information. 17 CFR Parts 1, 3, and 23 The Commodity Futures Trading Commission (Commission or CFTC) is adopting regulations to implement certain provisions of Title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act (Dodd-Frank Act). These regulations set forth reporting and recordkeeping requirements and daily trading records requirements for swap dealers (SDs) and major swap participants (MSPs). These regulations also set forth certain duties imposed upon SDs and MSPs registered with the Commission with regard to: Risk management procedures; monitoring of trading to prevent violations of applicable position limits; diligent supervision; business continuity and disaster recovery; disclosure and the ability of regulators to obtain general information; and antitrust considerations. In addition, these regulations establish conflicts-of-interest requirements for SDs, MSPs, futures commission merchants (FCMs), and introducing brokers (IBs) with regard to firewalls between research and trading and between clearing and trading. Finally, these regulations also require each FCM, SD, and MSP to designate a chief compliance officer, prescribe qualifications and duties of the chief compliance officer, and require that the chief compliance officer prepare, certify, and furnish to the Commission an annual report containing an assessment of the registrant's compliance activities.
GPO FDSys XML | Text type regulations.gov FR Doc. 2012-5317 RIN 3038-AC96 COMMODITY FUTURES TRADING COMMISSION Final rule. The rules are effective June 4, 2012. Specific compliance dates are discussed in the supplementary information. 17 CFR Parts 1, 3, and 23 The Commodity Futures Trading Commission (Commission or CFTC) is adopting regulations to implement certain provisions of Title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act (Dodd-Frank Act). These regulations set forth reporting and recordkeeping requirements and daily trading records requirements for swap dealers (SDs) and major swap participants (MSPs). These regulations also set forth certain duties imposed upon SDs and MSPs registered with the Commission with regard to: Risk management procedures; monitoring of trading to prevent violations of applicable position limits; diligent supervision; business continuity and disaster recovery; disclosure and the ability of regulators to obtain general information; and antitrust considerations. In addition, these regulations establish conflicts-of-interest requirements for SDs, MSPs, futures commission merchants (FCMs), and introducing brokers (IBs) with regard to firewalls between research and trading and between clearing and trading. Finally, these regulations also require each FCM, SD, and MSP to designate a chief compliance officer, prescribe qualifications and duties of the chief compliance officer, and require that the chief compliance officer prepare, certify, and furnish to the Commission an annual report containing an assessment of the registrant's compliance activities.
GPO FDSys XML | Text type regulations.gov FR Doc. 2012-7608 RIN Release Nos. 33-9303 34-66654 39-2483 IC-30008 SECURITIES AND EXCHANGE COMMISSION Final rule. Effective Date: March 30, 2012. The incorporation by reference of the EDGAR Filer Manual is approved by the Director of the Federal Register as of March 30, 2012. 17 CFR Part 232 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 are being made primarily to support the upgrade to the 2012 US GAAP and 2012 Mutual Fund Risk/Return Summary Taxonomies; to support period field validation updates for the submission of Form N-PX; to remove the OMB expiration date from Form D, 3, 4, and 5; and to include additional filer support fax numbers on various EDGAR Filer Management Web site screens. The EDGAR system is scheduled to be upgraded to support this functionality on March 26, 2012. The filer manual is also being revised to support the retirement of the DOS based Form N-SAR application and the introduction of the new online Form N-SAR application. The EDGAR system is scheduled to be upgraded to support this functionality on July 9, 2012.
GPO FDSys XML | Text type regulations.gov FR Doc. 2012-7446 RIN 3235-AK90 File No. S7-04-11 Release Nos. 33-9287A IA-3341A IC-29891A SECURITIES AND EXCHANGE COMMISSION Final rule; technical amendment. Effective: March 28, 2012. 17 CFR Parts 200, 230, 240, and 242 We are making a technical amendment to Regulation D and conforming changes to certain other rules. Regulation D was last amended in Release No. 33-9287 (December 21, 2011), which was published in the Federal Register on December 29, 2011. Those amendments became effective on February 27, 2012. Due to a typographical error in that release, the Preliminary Notes to Regulation D were inadvertently deleted from Regulation D. We are restoring the deleted text as new Rule 500. The deleted text is not being restored as Preliminary Notes in order to comply with current Federal Register codification standards.
GPO FDSys XML | Text type regulations.gov FR Doc. 2012-7446 RIN 3235-AK90 File No. S7-04-11 Release Nos. 33-9287A IA-3341A IC-29891A SECURITIES AND EXCHANGE COMMISSION Final rule; technical amendment. Effective: March 28, 2012. 17 CFR Parts 200, 230, 240, and 242 We are making a technical amendment to Regulation D and conforming changes to certain other rules. Regulation D was last amended in Release No. 33-9287 (December 21, 2011), which was published in the Federal Register on December 29, 2011. Those amendments became effective on February 27, 2012. Due to a typographical error in that release, the Preliminary Notes to Regulation D were inadvertently deleted from Regulation D. We are restoring the deleted text as new Rule 500. The deleted text is not being restored as Preliminary Notes in order to comply with current Federal Register codification standards.
GPO FDSys XML | Text type regulations.gov FR Doc. 2012-7446 RIN 3235-AK90 File No. S7-04-11 Release Nos. 33-9287A IA-3341A IC-29891A SECURITIES AND EXCHANGE COMMISSION Final rule; technical amendment. Effective: March 28, 2012. 17 CFR Parts 200, 230, 240, and 242 We are making a technical amendment to Regulation D and conforming changes to certain other rules. Regulation D was last amended in Release No. 33-9287 (December 21, 2011), which was published in the Federal Register on December 29, 2011. Those amendments became effective on February 27, 2012. Due to a typographical error in that release, the Preliminary Notes to Regulation D were inadvertently deleted from Regulation D. We are restoring the deleted text as new Rule 500. The deleted text is not being restored as Preliminary Notes in order to comply with current Federal Register codification standards.
GPO FDSys XML | Text type regulations.gov FR Doc. 2012-7446 RIN 3235-AK90 File No. S7-04-11 Release Nos. 33-9287A IA-3341A IC-29891A SECURITIES AND EXCHANGE COMMISSION Final rule; technical amendment. Effective: March 28, 2012. 17 CFR Parts 200, 230, 240, and 242 We are making a technical amendment to Regulation D and conforming changes to certain other rules. Regulation D was last amended in Release No. 33-9287 (December 21, 2011), which was published in the Federal Register on December 29, 2011. Those amendments became effective on February 27, 2012. Due to a typographical error in that release, the Preliminary Notes to Regulation D were inadvertently deleted from Regulation D. We are restoring the deleted text as new Rule 500. The deleted text is not being restored as Preliminary Notes in order to comply with current Federal Register codification standards.
GPO FDSys XML | Text type regulations.gov FR Doc. C1-2012-3390 RIN 3038-AD30 COMMODITY FUTURES TRADING COMMISSION 17 CFR Parts 4, 145, and 147 The Commodity Futures Trading Commission is adopting amendments to its existing part 4 regulations and promulgating one new regulation regarding Commodity Pool Operators and Commodity Trading Advisors. The Commission is also adopting new data collections for CPOs and CTAs that are consistent with a data collection required under the Dodd-Frank Act for entities registered with both the Commission and the Securities and Exchange Commission. The adopted amendments rescind an exemption from registration as a CPO; rescind relief from the certification requirement for annual reports provided to operators of certain pools offered only to qualified eligible persons (“QEPs”); modify the criteria for claiming exclusion from the definition of CPO; and require the annual filing of notices claiming exemptive relief under several sections of the Commision's regulations. Finally, the adopted amendments include new risk disclosure requirements for CPOs and CTAs regarding swap transactions. 2. In 17 CFR Part 4, beginning on page 11283, in the second column, in 31st line of text, amendatory instructions 1-8 and their corresponding amendments to the Code of Federal Regulations are being republished as follows:
GPO FDSys XML | Text type regulations.gov FR Doc. 2012-5950 RIN 3038-AD08 COMMODITY FUTURES TRADING COMMISSION Further notice of proposed rulemaking. Comments must be received on or before May 14, 2012. 17 CFR Part 43 The Commodity Futures Trading Commission is proposing regulations to implement certain statutory provisions enacted by Title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act. Specifically, in accordance with section 727 of the Dodd-Frank Act, the Commission is proposing regulations that would define the criteria for grouping swaps into separate swap categories and would establish methodologies for setting appropriate minimum block sizes for each swap category. In addition, the Commission is proposing further measures under the Commission's regulations to prevent the public disclosure of the identities, business transactions and market positions of swap market participants.
GPO FDSys XML | Text type regulations.gov FR Doc. 2012-5454 RIN Release No. 34-66502 SECURITIES AND EXCHANGE COMMISSION Effective: March 7, 2012. 17 CFR Part 200 The Securities and Exchange Commission (“SEC” or “Commission”) is making technical amendments to the rule under which former members and employees of the Commission are required to file with the Commission a statement concerning their practice outside the government. The amendments change the office responsible for processing these statements and provide a means of filing a statement electronically.
GPO FDSys XML | Text type regulations.gov FR Doc. 2012-5157 RIN 3038-AD14 Release No. IC-29969 File No. S7-02-12 SECURITIES AND EXCHANGE COMMISSION, COMMODITY FUTURES TRADING COMMISSION Joint proposed rules and guidelines. Comments must be received on or before May 7, 2012. 17 CFR Part 162 The Commodity Futures Trading Commission (“CFTC”) and the Securities and Exchange Commission (“SEC,” together with the CFTC, the “Commissions”) are jointly issuing proposed rules and guidelines to implement new statutory provisions enacted by Title X of the Dodd-Frank Wall Street Reform and Consumer Protection Act. These provisions amend section 615(e) of the Fair Credit Reporting Act and direct the Commissions to prescribe rules requiring entities that are subject to the Commissions' jurisdiction to address identity theft in two ways. First, the proposed rules and guidelines would require financial institutions and creditors to develop and implement a written identity theft prevention program that is designed to detect, prevent, and mitigate identity theft in connection with certain existing accounts or the opening of new accounts. The Commissions also are proposing guidelines to assist entities in the formulation and maintenance of a program that would satisfy the requirements of the proposed rules. Second, the proposed rules would establish special requirements for any credit and debit card issuers that are subject to the Commissions' jurisdiction, to assess the validity of notifications of changes of address under certain circumstances.
GPO FDSys XML | Text type regulations.gov FR Doc. 2012-5157 RIN 3038-AD14 Release No. IC-29969 File No. S7-02-12 SECURITIES AND EXCHANGE COMMISSION, COMMODITY FUTURES TRADING COMMISSION Joint proposed rules and guidelines. Comments must be received on or before May 7, 2012. 17 CFR Part 162 The Commodity Futures Trading Commission (“CFTC”) and the Securities and Exchange Commission (“SEC,” together with the CFTC, the “Commissions”) are jointly issuing proposed rules and guidelines to implement new statutory provisions enacted by Title X of the Dodd-Frank Wall Street Reform and Consumer Protection Act. These provisions amend section 615(e) of the Fair Credit Reporting Act and direct the Commissions to prescribe rules requiring entities that are subject to the Commissions' jurisdiction to address identity theft in two ways. First, the proposed rules and guidelines would require financial institutions and creditors to develop and implement a written identity theft prevention program that is designed to detect, prevent, and mitigate identity theft in connection with certain existing accounts or the opening of new accounts. The Commissions also are proposing guidelines to assist entities in the formulation and maintenance of a program that would satisfy the requirements of the proposed rules. Second, the proposed rules would establish special requirements for any credit and debit card issuers that are subject to the Commissions' jurisdiction, to assess the validity of notifications of changes of address under certain circumstances.
GPO FDSys XML | Text type regulations.gov FR Doc. 2012-3390 RIN 3038-AD30 COMMODITY FUTURES TRADING COMMISSION Final rule. Effective dates: This final rule is effective on April 24, 2012, except for the amendments to § 4.27, which shall become effective on July 2, 2012. Compliance dates: Compliance with § 4.27 shall be required by not later than September 15, 2012, for a CPO having at least $5 billion in assets under management, and by not later than December 14, 2012, for all other registered CPOs and all CTAs. Compliance with § 4.5 for registration purposes only shall be required not later than the later of December 31, 2012, or 60 days after the effective date of the final rulemaking further defining the term “swap,” which the Commission will publish in the Federal Register at a future date. Entities required to register due to the amendments to § 4.5 shall be subject to the Commission's recordkeeping, reporting, and disclosure requirements pursuant to part 4 of the Commission's regulations within 60 days following the effectiveness of a final rule implementing the Commission's proposed harmonization effort pursuant to the concurrent proposed rulemaking. CPOs claiming exemption under § 4.13(a)(4) shall be required to comply with the rescission of § 4.13(a)(4) by December 31, 2012; however, compliance shall be required for all other CPOs on April 24, 2012. Compliance with all other amendments, not otherwise specified above, shall be required by December 31, 2012. 17 CFR Parts 4, 145, and 147 The Commodity Futures Trading Commission is adopting amendments to its existing part 4 regulations and promulgating one new regulation regarding Commodity Pool Operators and Commodity Trading Advisors. The Commission is also adopting new data collections for CPOs and CTAs that are consistent with a data collection required under the Dodd-Frank Act for entities registered with both the Commission and the Securities and Exchange Commission. The adopted amendments rescind the exemption from registration; rescind relief from the certification requirement for annual reports provided to operators of certain pools offered only to qualified eligible persons (QEPs; modify the criteria for claiming relief); and require the annual filing of notices claiming exemptive relief under several sections of the Commission's regulations. Finally, the adopted amendments include new risk disclosure requirements for CPOs and CTAs regarding swap transactions.
GPO FDSys XML | Text type regulations.gov FR Doc. 2012-3390 RIN 3038-AD30 COMMODITY FUTURES TRADING COMMISSION Final rule. Effective dates: This final rule is effective on April 24, 2012, except for the amendments to § 4.27, which shall become effective on July 2, 2012. Compliance dates: Compliance with § 4.27 shall be required by not later than September 15, 2012, for a CPO having at least $5 billion in assets under management, and by not later than December 14, 2012, for all other registered CPOs and all CTAs. Compliance with § 4.5 for registration purposes only shall be required not later than the later of December 31, 2012, or 60 days after the effective date of the final rulemaking further defining the term “swap,” which the Commission will publish in the Federal Register at a future date. Entities required to register due to the amendments to § 4.5 shall be subject to the Commission's recordkeeping, reporting, and disclosure requirements pursuant to part 4 of the Commission's regulations within 60 days following the effectiveness of a final rule implementing the Commission's proposed harmonization effort pursuant to the concurrent proposed rulemaking. CPOs claiming exemption under § 4.13(a)(4) shall be required to comply with the rescission of § 4.13(a)(4) by December 31, 2012; however, compliance shall be required for all other CPOs on April 24, 2012. Compliance with all other amendments, not otherwise specified above, shall be required by December 31, 2012. 17 CFR Parts 4, 145, and 147 The Commodity Futures Trading Commission is adopting amendments to its existing part 4 regulations and promulgating one new regulation regarding Commodity Pool Operators and Commodity Trading Advisors. The Commission is also adopting new data collections for CPOs and CTAs that are consistent with a data collection required under the Dodd-Frank Act for entities registered with both the Commission and the Securities and Exchange Commission. The adopted amendments rescind the exemption from registration; rescind relief from the certification requirement for annual reports provided to operators of certain pools offered only to qualified eligible persons (QEPs; modify the criteria for claiming relief); and require the annual filing of notices claiming exemptive relief under several sections of the Commission's regulations. Finally, the adopted amendments include new risk disclosure requirements for CPOs and CTAs regarding swap transactions.
GPO FDSys XML | Text type regulations.gov FR Doc. 2012-3390 RIN 3038-AD30 COMMODITY FUTURES TRADING COMMISSION Final rule. Effective dates: This final rule is effective on April 24, 2012, except for the amendments to § 4.27, which shall become effective on July 2, 2012. Compliance dates: Compliance with § 4.27 shall be required by not later than September 15, 2012, for a CPO having at least $5 billion in assets under management, and by not later than December 14, 2012, for all other registered CPOs and all CTAs. Compliance with § 4.5 for registration purposes only shall be required not later than the later of December 31, 2012, or 60 days after the effective date of the final rulemaking further defining the term “swap,” which the Commission will publish in the Federal Register at a future date. Entities required to register due to the amendments to § 4.5 shall be subject to the Commission's recordkeeping, reporting, and disclosure requirements pursuant to part 4 of the Commission's regulations within 60 days following the effectiveness of a final rule implementing the Commission's proposed harmonization effort pursuant to the concurrent proposed rulemaking. CPOs claiming exemption under § 4.13(a)(4) shall be required to comply with the rescission of § 4.13(a)(4) by December 31, 2012; however, compliance shall be required for all other CPOs on April 24, 2012. Compliance with all other amendments, not otherwise specified above, shall be required by December 31, 2012. 17 CFR Parts 4, 145, and 147 The Commodity Futures Trading Commission is adopting amendments to its existing part 4 regulations and promulgating one new regulation regarding Commodity Pool Operators and Commodity Trading Advisors. The Commission is also adopting new data collections for CPOs and CTAs that are consistent with a data collection required under the Dodd-Frank Act for entities registered with both the Commission and the Securities and Exchange Commission. The adopted amendments rescind the exemption from registration; rescind relief from the certification requirement for annual reports provided to operators of certain pools offered only to qualified eligible persons (QEPs; modify the criteria for claiming relief); and require the annual filing of notices claiming exemptive relief under several sections of the Commission's regulations. Finally, the adopted amendments include new risk disclosure requirements for CPOs and CTAs regarding swap transactions.
GPO FDSys XML | Text type regulations.gov FR Doc. 2012-3388 RIN COMMODITY FUTURES TRADING COMMISSION Proposed rule. Comments should be received on or before April 24, 2012. 17 CFR Part 4 The Commodity Futures Trading Commission is proposing amendments to its regulations regarding requirements applicable to investment companies registered under the Investment Company Act of 1940 (“registered investment companies”) whose advisors will be subject to registration as commodity pool operators due to changes that the Commission is adopting.
GPO FDSys XML | Text type regulations.gov FR Doc. 2012-4046 RIN 3235-AK71 File No. S7-17-11 Release No. IA-3372 SECURITIES AND EXCHANGE COMMISSION Final rule. Effective Date: The amendments are effective on May 22, 2012. 17 CFR Part 275 The Securities and Exchange Commission (“Commission” or “SEC”) is adopting amendments to the rule under the Investment Advisers Act of 1940 that permits investment advisers to charge performance based compensation to “qualified clients.” The amendments revise the dollar amount thresholds of the rule's tests that are used to determine whether an individual or company is a qualified client. These rule amendments codify revisions that the Commission recently issued by order that adjust the dollar amount thresholds to account for the effects of inflation. In addition, the rule amendments: provide that the Commission will issue an order every five years in the future adjusting the dollar amount thresholds for inflation; exclude the value of a person's primary residence and certain associated debt from the test of whether a person has sufficient net worth to be considered a qualified client; and add certain transition provisions to the rule.
GPO FDSys XML | Text type regulations.gov FR Doc. 2012-1244 RIN 3038-AD25 COMMODITY FUTURES TRADING COMMISSION Effective Date: These final rules will become effective on April 17, 2012. Compliance Date: Swap dealers and major swap participants must comply with the rules in subpart H of part 23 on the later of 180 days after the effective date of these rules or the date on which swap dealers or major swap participants are required to apply for registration pursuant to Commission rule 3.10. 17 CFR Parts 4 and 23 The Commodity Futures Trading Commission (“Commission” or “CFTC”) is adopting final rules to implement Section 4s(h) of the Commodity Exchange Act (“CEA”) pursuant to Section 731 of Title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010 (the “Dodd-Frank Act”). These rules prescribe external business conduct standards for swap dealers and major swap participants.
GPO FDSys XML | Text type regulations.gov FR Doc. 2012-1244 RIN 3038-AD25 COMMODITY FUTURES TRADING COMMISSION Effective Date: These final rules will become effective on April 17, 2012. Compliance Date: Swap dealers and major swap participants must comply with the rules in subpart H of part 23 on the later of 180 days after the effective date of these rules or the date on which swap dealers or major swap participants are required to apply for registration pursuant to Commission rule 3.10. 17 CFR Parts 4 and 23 The Commodity Futures Trading Commission (“Commission” or “CFTC”) is adopting final rules to implement Section 4s(h) of the Commodity Exchange Act (“CEA”) pursuant to Section 731 of Title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010 (the “Dodd-Frank Act”). These rules prescribe external business conduct standards for swap dealers and major swap participants.
GPO FDSys XML | Text type regulations.gov FR Doc. 2012-3312 RIN Release No. 34-66355 SECURITIES AND EXCHANGE COMMISSION Final rule. Effective Date: February 14, 2012. 17 CFR Part 200 The Securities and Exchange Commission (“Commission”) is amending its rules to conform them to amendments made to the Inspector General Act of 1978 that require the Commission's Inspector General to report to and be under the general supervision of the full Commission.
GPO FDSys XML | Text type regulations.gov FR Doc. 2012-935 RIN 3038-AD05 COMMODITY FUTURES TRADING COMMISSION Notice of proposed rulemaking. Comments should be received on or before April 16, 2012. 17 CFR Part 75 The Commodity Futures Trading Commission (“CFTC” or “Commission”) is requesting comment on a proposed rule that would implement Section 619 of the Dodd-Frank Wall Street Reform and Consumer Protection Act (“Dodd-Frank Act”) which contains certain prohibitions and restrictions on the ability of a banking entity and nonbank financial company supervised by the Board of Governors of the Federal Reserve System (the “Board”) to engage in proprietary trading and have certain interests in, or relationships with, a hedge fund or private equity fund (“CFTC Rule”). On November 7, 2011, the Office of the Comptroller of the Currency, Treasury (“OCC”); the Board; the Federal Deposit Insurance Corporation (“FDIC”); and the Securities and Exchange Commission (“SEC”) published a joint proposed rule implementing Section 619 of the Dodd-Frank Act (the “Joint Release”). 1 The CFTC is adopting the entire text of the proposed common rules section from the Joint Release (the “Joint Rule”) as part of its proposed rule. 2 Similar to the OCC, the Board, the FDIC, and the SEC in the Joint Release, the CFTC is modifying the Joint Rule with CFTC-specific rule text. The CFTC Rule also contains additional questions specific to the CFTC in Section III and does not include Subpart E of the Joint Release because Subpart E deals exclusively with the Board. The Commission solicits comments on all aspects of this proposed rule. 1 See Prohibitions and Restrictions on Proprietary Trading and Certain Interests in, and Relationships With, Hedge Funds and Private Equity Funds, 76 FR 68846, (Nov. 7, 2011). 2 See 76 FR 68944-68967 for the Joint Rule text adopted by the Board, the OCC, the FDIC, and the SEC.
GPO FDSys XML | Text type regulations.gov FR Doc. 2012-1033 RIN 3038-AC99 COMMODITY FUTURES TRADING COMMISSION Final rule. The rules will become effective April 9, 2012. All parties must comply with the Part 22 rules by November 8, 2012. All parties must comply with the Part 190 rules by April 9, 2012. Prior to the compliance date for the Part 22 rules, the definition of 190.01(pp) (“Cleared Swap”) shall be limited to transactions where the rules or bylaws of a derivatives clearing organization require that such transactions, along with the money, securities, and other property margining, guaranteeing or securing such transactions, be held in a separate account for Cleared Swaps only. 17 CFR Parts 22 and 190 The Commodity Futures Trading Commission (the “Commission”) is adopting final regulations to implement new statutory provisions enacted by Title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act (the “Dodd-Frank Act”). Specifically, these regulations impose requirements on futures commission merchants (“FCMs”) and derivatives clearing organizations (“DCOs”) regarding the treatment of cleared swaps customer contracts (and related collateral), and make conforming amendments to bankruptcy provisions applicable to commodity brokers under the Commodity Exchange Act (the “CEA”).
GPO FDSys XML | Text type regulations.gov FR Doc. 2012-1033 RIN 3038-AC99 COMMODITY FUTURES TRADING COMMISSION Final rule. The rules will become effective April 9, 2012. All parties must comply with the Part 22 rules by November 8, 2012. All parties must comply with the Part 190 rules by April 9, 2012. Prior to the compliance date for the Part 22 rules, the definition of 190.01(pp) (“Cleared Swap”) shall be limited to transactions where the rules or bylaws of a derivatives clearing organization require that such transactions, along with the money, securities, and other property margining, guaranteeing or securing such transactions, be held in a separate account for Cleared Swaps only. 17 CFR Parts 22 and 190 The Commodity Futures Trading Commission (the “Commission”) is adopting final regulations to implement new statutory provisions enacted by Title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act (the “Dodd-Frank Act”). Specifically, these regulations impose requirements on futures commission merchants (“FCMs”) and derivatives clearing organizations (“DCOs”) regarding the treatment of cleared swaps customer contracts (and related collateral), and make conforming amendments to bankruptcy provisions applicable to commodity brokers under the Commodity Exchange Act (the “CEA”).
GPO FDSys XML | Text type regulations.gov FR Doc. 2012-1507 RIN 3038-AC95 COMMODITY FUTURES TRADING COMMISSION Final rules; correction. Effective March 19, 2012. 17 CFR Parts 3 and 23 This document corrects language in the final rules published in the Federal Register of Thursday, January 19, 2012, regarding the Registration of Swap Dealers and Major Swap Participants. The Commission adopted regulations under the Commodity Exchange Act (Act or CEA) that establish the process for the registration of swap dealers (SDs) and major swap participants (MSPs, and collectively with SDs, Swaps Entities) in accordance with section 4s of the CEA, which was added recently to the CEA by the Dodd-Frank Wall Street Reform and Consumer Protection Act.
GPO FDSys XML | Text type regulations.gov FR Doc. 2012-1507 RIN 3038-AC95 COMMODITY FUTURES TRADING COMMISSION Final rules; correction. Effective March 19, 2012. 17 CFR Parts 3 and 23 This document corrects language in the final rules published in the Federal Register of Thursday, January 19, 2012, regarding the Registration of Swap Dealers and Major Swap Participants. The Commission adopted regulations under the Commodity Exchange Act (Act or CEA) that establish the process for the registration of swap dealers (SDs) and major swap participants (MSPs, and collectively with SDs, Swaps Entities) in accordance with section 4s of the CEA, which was added recently to the CEA by the Dodd-Frank Wall Street Reform and Consumer Protection Act.
GPO FDSys XML | Text type regulations.gov FR Doc. 2012-1521 RIN 3235-AL20 File No. S7-31-11 Release No. 33-9295 SECURITIES AND EXCHANGE COMMISSION Final rule. Effective Date: February 24, 2012. 17 CFR Part 230 The Securities and Exchange Commission (“SEC” or “Commission”) is adopting an amendment to Rule 146 under Section 18 of the Securities Act of 1933, as amended, (“Securities Act”) to designate certain securities listed, or authorized for listing, on BATS Exchange, Inc. (“BATS” or “Exchange”) as covered securities for purposes of Section 18 of the Securities Act. Covered securities under Section 18 of the Securities Act are exempt from state law registration requirements. The Commission also is making corrections to the rule text to reflect name changes.
GPO FDSys XML | Text type regulations.gov FR Doc. 2012-1031 RIN 3038-AD08 COMMODITY FUTURES TRADING COMMISSION Final rule; correction. Effective March 9, 2012. 17 CFR Part 43 This document corrects language in the final rule published in the Federal Register of Monday, January 9, 2012, regarding the Real-Time Public Reporting of Swap Transaction Data. The Commission adopted rules to implement a framework for the real-time public reporting of swap transaction and pricing data for all swap transactions.
GPO FDSys XML | Text type regulations.gov FR Doc. 2012-792 RIN 3038-AC95 COMMODITY FUTURES TRADING COMMISSION Final rules. Effective March 19, 2012. 17 CFR Parts 1, 3, 23, and 170 The Commodity Futures Trading Commission (Commission or CFTC) is adopting regulations under the Commodity Exchange Act (Act or CEA) that establish the process for the registration of swap dealers (SDs) and major swap participants (MSPs, and collectively with SDs, Swaps Entities) and that require Swaps Entities to become and remain members of a registered futures association (RFA). The Commission is also adopting regulations that define an “associated person” of an SD or MSP as a natural person and that implement the prohibition on a Swaps Entity permitting an associated person who is statutorily disqualified from registration from effecting or being involved in effecting swaps on behalf of the Swaps Entity. The Commission is adopting these regulations in accordance with section 4s of the CEA, which was recently added to the CEA by the Dodd-Frank Wall Street Reform and Consumer Protection Act (Dodd-Frank Act).
GPO FDSys XML | Text type regulations.gov FR Doc. 2012-792 RIN 3038-AC95 COMMODITY FUTURES TRADING COMMISSION Final rules. Effective March 19, 2012. 17 CFR Parts 1, 3, 23, and 170 The Commodity Futures Trading Commission (Commission or CFTC) is adopting regulations under the Commodity Exchange Act (Act or CEA) that establish the process for the registration of swap dealers (SDs) and major swap participants (MSPs, and collectively with SDs, Swaps Entities) and that require Swaps Entities to become and remain members of a registered futures association (RFA). The Commission is also adopting regulations that define an “associated person” of an SD or MSP as a natural person and that implement the prohibition on a Swaps Entity permitting an associated person who is statutorily disqualified from registration from effecting or being involved in effecting swaps on behalf of the Swaps Entity. The Commission is adopting these regulations in accordance with section 4s of the CEA, which was recently added to the CEA by the Dodd-Frank Wall Street Reform and Consumer Protection Act (Dodd-Frank Act).
GPO FDSys XML | Text type regulations.gov FR Doc. 2012-792 RIN 3038-AC95 COMMODITY FUTURES TRADING COMMISSION Final rules. Effective March 19, 2012. 17 CFR Parts 1, 3, 23, and 170 The Commodity Futures Trading Commission (Commission or CFTC) is adopting regulations under the Commodity Exchange Act (Act or CEA) that establish the process for the registration of swap dealers (SDs) and major swap participants (MSPs, and collectively with SDs, Swaps Entities) and that require Swaps Entities to become and remain members of a registered futures association (RFA). The Commission is also adopting regulations that define an “associated person” of an SD or MSP as a natural person and that implement the prohibition on a Swaps Entity permitting an associated person who is statutorily disqualified from registration from effecting or being involved in effecting swaps on behalf of the Swaps Entity. The Commission is adopting these regulations in accordance with section 4s of the CEA, which was recently added to the CEA by the Dodd-Frank Wall Street Reform and Consumer Protection Act (Dodd-Frank Act).
GPO FDSys XML | Text type regulations.gov FR Doc. 2012-792 RIN 3038-AC95 COMMODITY FUTURES TRADING COMMISSION Final rules. Effective March 19, 2012. 17 CFR Parts 1, 3, 23, and 170 The Commodity Futures Trading Commission (Commission or CFTC) is adopting regulations under the Commodity Exchange Act (Act or CEA) that establish the process for the registration of swap dealers (SDs) and major swap participants (MSPs, and collectively with SDs, Swaps Entities) and that require Swaps Entities to become and remain members of a registered futures association (RFA). The Commission is also adopting regulations that define an “associated person” of an SD or MSP as a natural person and that implement the prohibition on a Swaps Entity permitting an associated person who is statutorily disqualified from registration from effecting or being involved in effecting swaps on behalf of the Swaps Entity. The Commission is adopting these regulations in accordance with section 4s of the CEA, which was recently added to the CEA by the Dodd-Frank Wall Street Reform and Consumer Protection Act (Dodd-Frank Act).
GPO FDSys XML | Text type regulations.gov FR Doc. 2011-33199 RIN 3038-AD19 COMMODITY FUTURES TRADING COMMISSION Final rule. The effective date of this rule is March 13, 2012. Compliance dates: (1) Swap execution facilities, designated contract markets, derivatives clearing organizations, swap data repositories, swap dealers, and major swap participants shall commence full compliance with this part with respect to credit swaps and interest rate swaps on the later of: July 16, 2012; or 60 calendar days after the publication in the Federal Register of the later of the Commission's final rule defining the term “swap” or the Commission's final rule defining the terms “swap dealer” and “major swap participant. ” (2) Swap execution facilities, designated contract markets, derivatives clearing organizations, swap data repositories, swap dealers, and major swap participants shall commence full compliance with this part with respect to equity swaps, foreign exchange swaps, and other commodity swaps on or before 90 days after the compliance date for credit swaps and interest rate swaps. (3) Non-SD/MSP counterparties shall commence full compliance with this part with respect to all swaps on or before 90 days after the compliance date applicable to swap execution facilities, designated contract markets, derivatives clearing organizations, swap data repositories, swap dealers, and major swap participants with respect to equity swaps, foreign exchange swaps, and other commodity swaps. 17 CFR Part 45 The Commodity Futures Trading Commission (“Commission” or “CFTC”) is adopting rules to implement the Commodity Exchange Act (“CEA” or “Act”) relating to swap data recordkeeping and reporting requirements. These sections of the CEA were added by the Dodd-Frank Wall Street Reform and Consumer Protection Act (“Dodd-Frank Act”). The rules being adopted apply to swap data recordkeeping and reporting requirements for swap data repositories, derivatives clearing organizations, designated contract markets, swap execution facilities, swap dealers, major swap participants, and swap counterparties who are neither swap dealers nor major swap participants. The recordkeeping and reporting requirements of this rule further the goals of the Dodd-Frank Act to reduce systemic risk, increase transparency and promote market integrity within the financial system.
GPO FDSys XML | Text type regulations.gov FR Doc. 2011-33173 RIN 3038-AD08 COMMODITY FUTURES TRADING COMMISSION Final rule. Effective date: March 9, 2012. 17 CFR Part 43 The Commodity Futures Trading Commission (“CFTC” or “Commission”) is adopting regulations to implement certain statutory provisions enacted by the Dodd-Frank Wall Street Reform and Consumer Protection Act (“Dodd-Frank Act”). Specifically, in accordance with the Dodd-Frank Act, the Commission is adopting rules to implement a framework for the real-time public reporting of swap transaction and pricing data for all swap transactions.
GPO FDSys XML | Text type regulations.gov FR Doc. 2011-33623 RIN 1557-AD44 Docket No. OCC-2011-0014 File No. S7-41-11 Docket No. 2011-1432 Release No. 34-66057 DEPARTMENT OF THE TREASURY, FEDERAL DEPOSIT INSURANCE CORPORATION, FEDERAL RESERVE SYSTEM, SECURITIES AND EXCHANGE COMMISSION, Office of the Comptroller of the Currency Proposed rule; extension of comment period. Comments on the proposed rule must be received on or before February 13, 2012. 12 CFR Part 44 On November 7, 2011, the OCC, Board, FDIC, and SEC (collectively, the “Agencies”) published in the Federal Register a joint notice of proposed rulemaking for public comment to implement section 619 of the Dodd-Frank Wall Street Reform and Consumer Protection Act (“Dodd-Frank Act”) which contains certain prohibitions and restrictions on the ability of a banking entity and nonbank financial company supervised by the Board to engage in proprietary trading and have certain interests in, or relationships with, a hedge fund or private equity fund (“proposed rule”). Due to the complexity of the issues involved and to facilitate coordination of the rulemaking among the responsible agencies as provided in section 619 of the Dodd-Frank Act, the Agencies have determined that an extension of the comment period until February 13, 2012 is appropriate. This action will allow interested persons additional time to analyze the proposed rules and prepare their comments.
GPO FDSys XML | Text type regulations.gov FR Doc. 2011-33614 RIN 3235-AL04 File No. S7-38-11 Release No. 34-66058 SECURITIES AND EXCHANGE COMMISSION Proposed rule; extension of comment period. Comments should be received on or before February 13, 2012. 17 CFR Part 230 The Securities and Exchange Commission is extending the comment period for a release proposing a new rule to implement Section 621 of the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010 (the “Dodd-Frank Act”) on material conflicts of interest in connection with certain securitizations (the “ABS Conflicts Proposal”). The original comment period for the ABS Conflicts Proposal was scheduled to end on December 19, 2011. On December 13, 2011, the comment period was extended until January 13, 2012. Today, the Commission is again extending the time period in which to provide the Commission with comments on the ABS Conflicts Proposal until February 13, 2012. This action will allow interested persons additional time to analyze the issues and prepare their comments.
GPO FDSys XML | Text type regulations.gov FR Doc. 2011-33333 RIN 3235-AK90 File No. S7-04-11 Release Nos. 33-9287 IA-3341 IC-29891 SECURITIES AND EXCHANGE COMMISSION Final rule. Effective date: February 27, 2012. 17 CFR Parts 230, 239, 270, and 275 We are adopting amendments to the accredited investor standards in our rules under the Securities Act of 1933 to implement the requirements of the Dodd-Frank Wall Street Reform and Consumer Protection Act. The Act requires the definitions of “accredited investor” in our Securities Act rules to exclude the value of a person's primary residence for purposes of determining whether the person qualifies as an “accredited investor” on the basis of having a net worth in excess of $1 million. This change to the net worth standard was effective upon enactment by operation of the Dodd-Frank Act, but it also requires us to revise our current Securities Act rules to conform to the new standard. We also are adopting technical amendments to Form D and a number of our rules to conform them to the requirements of the Act and to correct cross-references to former Section 4(6) of the Securities Act, which was renumbered Section 4(5) by Section 944 of the Dodd-Frank Act.
GPO FDSys XML | Text type regulations.gov FR Doc. 2011-33333 RIN 3235-AK90 File No. S7-04-11 Release Nos. 33-9287 IA-3341 IC-29891 SECURITIES AND EXCHANGE COMMISSION Final rule. Effective date: February 27, 2012. 17 CFR Parts 230, 239, 270, and 275 We are adopting amendments to the accredited investor standards in our rules under the Securities Act of 1933 to implement the requirements of the Dodd-Frank Wall Street Reform and Consumer Protection Act. The Act requires the definitions of “accredited investor” in our Securities Act rules to exclude the value of a person's primary residence for purposes of determining whether the person qualifies as an “accredited investor” on the basis of having a net worth in excess of $1 million. This change to the net worth standard was effective upon enactment by operation of the Dodd-Frank Act, but it also requires us to revise our current Securities Act rules to conform to the new standard. We also are adopting technical amendments to Form D and a number of our rules to conform them to the requirements of the Act and to correct cross-references to former Section 4(6) of the Securities Act, which was renumbered Section 4(5) by Section 944 of the Dodd-Frank Act.
GPO FDSys XML | Text type regulations.gov FR Doc. 2011-33333 RIN 3235-AK90 File No. S7-04-11 Release Nos. 33-9287 IA-3341 IC-29891 SECURITIES AND EXCHANGE COMMISSION Final rule. Effective date: February 27, 2012. 17 CFR Parts 230, 239, 270, and 275 We are adopting amendments to the accredited investor standards in our rules under the Securities Act of 1933 to implement the requirements of the Dodd-Frank Wall Street Reform and Consumer Protection Act. The Act requires the definitions of “accredited investor” in our Securities Act rules to exclude the value of a person's primary residence for purposes of determining whether the person qualifies as an “accredited investor” on the basis of having a net worth in excess of $1 million. This change to the net worth standard was effective upon enactment by operation of the Dodd-Frank Act, but it also requires us to revise our current Securities Act rules to conform to the new standard. We also are adopting technical amendments to Form D and a number of our rules to conform them to the requirements of the Act and to correct cross-references to former Section 4(6) of the Securities Act, which was renumbered Section 4(5) by Section 944 of the Dodd-Frank Act.
GPO FDSys XML | Text type regulations.gov FR Doc. 2011-33333 RIN 3235-AK90 File No. S7-04-11 Release Nos. 33-9287 IA-3341 IC-29891 SECURITIES AND EXCHANGE COMMISSION Final rule. Effective date: February 27, 2012. 17 CFR Parts 230, 239, 270, and 275 We are adopting amendments to the accredited investor standards in our rules under the Securities Act of 1933 to implement the requirements of the Dodd-Frank Wall Street Reform and Consumer Protection Act. The Act requires the definitions of “accredited investor” in our Securities Act rules to exclude the value of a person's primary residence for purposes of determining whether the person qualifies as an “accredited investor” on the basis of having a net worth in excess of $1 million. This change to the net worth standard was effective upon enactment by operation of the Dodd-Frank Act, but it also requires us to revise our current Securities Act rules to conform to the new standard. We also are adopting technical amendments to Form D and a number of our rules to conform them to the requirements of the Act and to correct cross-references to former Section 4(6) of the Securities Act, which was renumbered Section 4(5) by Section 944 of the Dodd-Frank Act.
GPO FDSys XML | Text type regulations.gov FR Doc. 2011-33148 RIN 3235-AK83 File No. S7-41-10 Release Nos. 33-9286 34-66019 SECURITIES AND EXCHANGE COMMISSION Final rule. Effective Date: January 27, 2012. 17 CFR Parts 229, 239 and 249 We are adopting amendments to our rules to implement Section 1503 of the Dodd-Frank 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 regarding specified health and safety violations, orders and citations, related assessments and legal actions, and mining-related fatalities. Section 1503(b) of the Act mandates the filing of a Form 8-K disclosing the receipt of certain orders and notices from the Mine Safety and Health Administration.
GPO FDSys XML | Text type regulations.gov FR Doc. 2011-33148 RIN 3235-AK83 File No. S7-41-10 Release Nos. 33-9286 34-66019 SECURITIES AND EXCHANGE COMMISSION Final rule. Effective Date: January 27, 2012. 17 CFR Parts 229, 239 and 249 We are adopting amendments to our rules to implement Section 1503 of the Dodd-Frank 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 regarding specified health and safety violations, orders and citations, related assessments and legal actions, and mining-related fatalities. Section 1503(b) of the Act mandates the filing of a Form 8-K disclosing the receipt of certain orders and notices from the Mine Safety and Health Administration.
GPO FDSys XML | Text type regulations.gov FR Doc. 2011-33148 RIN 3235-AK83 File No. S7-41-10 Release Nos. 33-9286 34-66019 SECURITIES AND EXCHANGE COMMISSION Final rule. Effective Date: January 27, 2012. 17 CFR Parts 229, 239 and 249 We are adopting amendments to our rules to implement Section 1503 of the Dodd-Frank 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 regarding specified health and safety violations, orders and citations, related assessments and legal actions, and mining-related fatalities. Section 1503(b) of the Act mandates the filing of a Form 8-K disclosing the receipt of certain orders and notices from the Mine Safety and Health Administration.
GPO FDSys XML | Text type regulations.gov FR Doc. 2011-33146 RIN 3235-AK69 Release No. 34-66020 File No. S7-19-10 SECURITIES AND EXCHANGE COMMISSION Interim final temporary rule; extension. Effective Date: December 31, 2011. The expiration of the effective period of interim final temporary Rule 15Ba2-6T (17 CFR 240.15Ba2-6T) is delayed from December 31, 2011, to September 30, 2012. 17 CFR Part 240 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 will sunset from December 31, 2011 to September 30, 2012. Under the amendment, all temporary registrations submitted pursuant to Rule 15Ba2-6T will expire no later than September 30, 2012.
GPO FDSys XML | Text type regulations.gov FR Doc. 2011-31637 RIN 3038-AD19 COMMODITY FUTURES TRADING COMMISSION Final rule. Effective Date —February 21, 2012. 17 CFR Part 48 The Commodity Futures Trading Commission (Commission or CFTC) is issuing final rules to implement new statutory provisions enacted by Title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act (Dodd-Frank Act). On November 19, 2010, the Commission requested comment on proposed rules that would establish a registration requirement that applies to foreign boards of trade (FBOT) that wish to provide their identified members or other participants located in the United States with direct access to their electronic trading and order matching systems. After reviewing the comments submitted in response to the proposed rules, the Commission has determined to issue these final FBOT registration rules substantially as originally proposed, with certain modifications.
GPO FDSys XML | Text type regulations.gov FR Doc. 2011-31689 RIN 3038-AC79 COMMODITY FUTURES TRADING COMMISSION Final rule. This rule is effective February 17, 2012. All persons shall be in compliance with this rule not later than June 18, 2012. 17 CFR Parts 1 and 30 The Commodity Futures Trading Commission (Commission or CFTC) is amending its regulations regarding the investment of customer segregated funds subject to Commission Regulation 1.25 (Regulation 1.25) and funds held in an account subject to Commission Regulation 30.7 (Regulation 30.7, and funds subject thereto, 30.7 funds). Certain amendments reflect the implementation of new statutory provisions enacted under Title IX of the Dodd-Frank Wall Street Reform and Consumer Protection Act. The amendments address: certain changes to the list of permitted investments (including the elimination of in-house transactions), a clarification of the liquidity requirement, the removal of rating requirements, and an expansion of concentration limits including asset-based, issuer-based, and counterparty concentration restrictions. They also address revisions to the acknowledgment letter requirement for investment in a money market mutual fund (MMMF), revisions to the list of exceptions to the next-day redemption requirement for MMMFs, the elimination of repurchase and reverse repurchase agreements with affiliates, the application of customer segregated funds investment limitations to 30.7 funds, the removal of ratings requirements for depositories of 30.7 funds, the elimination of the option to designate a depository for 30.7 funds, and certain technical changes.
GPO FDSys XML | Text type regulations.gov FR Doc. 2011-31689 RIN 3038-AC79 COMMODITY FUTURES TRADING COMMISSION Final rule. This rule is effective February 17, 2012. All persons shall be in compliance with this rule not later than June 18, 2012. 17 CFR Parts 1 and 30 The Commodity Futures Trading Commission (Commission or CFTC) is amending its regulations regarding the investment of customer segregated funds subject to Commission Regulation 1.25 (Regulation 1.25) and funds held in an account subject to Commission Regulation 30.7 (Regulation 30.7, and funds subject thereto, 30.7 funds). Certain amendments reflect the implementation of new statutory provisions enacted under Title IX of the Dodd-Frank Wall Street Reform and Consumer Protection Act. The amendments address: certain changes to the list of permitted investments (including the elimination of in-house transactions), a clarification of the liquidity requirement, the removal of rating requirements, and an expansion of concentration limits including asset-based, issuer-based, and counterparty concentration restrictions. They also address revisions to the acknowledgment letter requirement for investment in a money market mutual fund (MMMF), revisions to the list of exceptions to the next-day redemption requirement for MMMFs, the elimination of repurchase and reverse repurchase agreements with affiliates, the application of customer segregated funds investment limitations to 30.7 funds, the removal of ratings requirements for depositories of 30.7 funds, the elimination of the option to designate a depository for 30.7 funds, and certain technical changes.
GPO FDSys XML | Text type regulations.gov FR Doc. 2011-32228 RIN 3235-AL04 File No. S7-38-11 Release No. 34-65942 SECURITIES AND EXCHANGE COMMISSION Proposed rule; extension of comment period. Comments should be received on or before January 13, 2012. 17 CFR Part 230 The Securities and Exchange Commission is extending the comment period for a release proposing a new rule to implement Section 621 of the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010 (the “Dodd-Frank Act”) on material conflicts of interest in connection with certain securitizations (the “ABS Conflicts Proposal”). The original comment period for the ABS Conflicts Proposal is scheduled to end on December 19, 2011. The Commission is extending the time period in which to provide the Commission with comments on the ABS Conflicts Proposal until January 13, 2012. This action will allow interested persons additional time to analyze the issues and prepare their comments.
GPO FDSys XML | Text type regulations.gov FR Doc. 2011-31355 RIN 3038-AD64 COMMODITY FUTURES TRADING COMMISSION Interpretation; Request for comments. Effective December 14, 2011. Comments must be received by February 13, 2012. 17 CFR Part 1 The Commodity Futures Trading Commission (“Commission” or “CFTC”) is issuing this interpretation of the term “actual delivery” as set forth in section 2(c)(2)(D)(ii)(III)(aa) of the Commodity Exchange Act (“CEA”) pursuant to section 742(a) of the Dodd-Frank Wall Street Reform and Consumer Protection Act. The Commission requests comment on whether this interpretation accurately construes the statutory language. In the event that comments demonstrate a need to modify this interpretation, the Commission will take appropriate action.
GPO FDSys XML | Text type regulations.gov FR Doc. 2011-31646 RIN 3038-AD18 COMMODITY FUTURES TRADING COMMISSION Further notice of proposed rulemaking. Submit comments on or before February 13, 2012. 17 CFR Parts 37 and 38 The Commodity Futures Trading Commission (“Commission”) is proposing regulations that establish a process for a designated contract market (“DCM”) or swap execution facility (“SEF”) to make a swap “available to trade” as set forth in new Section 2(h)(8) of the Commodity Exchange Act (“CEA”) pursuant to Section 723 of the Dodd-Frank Wall Street Reform and Consumer Protection Act (“Dodd-Frank Act”). Only comments pertaining to the regulations proposed in this document will be considered as part of this further notice of proposed rulemaking (“Notice”).
GPO FDSys XML | Text type regulations.gov FR Doc. 2011-31646 RIN 3038-AD18 COMMODITY FUTURES TRADING COMMISSION Further notice of proposed rulemaking. Submit comments on or before February 13, 2012. 17 CFR Parts 37 and 38 The Commodity Futures Trading Commission (“Commission”) is proposing regulations that establish a process for a designated contract market (“DCM”) or swap execution facility (“SEF”) to make a swap “available to trade” as set forth in new Section 2(h)(8) of the Commodity Exchange Act (“CEA”) pursuant to Section 723 of the Dodd-Frank Wall Street Reform and Consumer Protection Act (“Dodd-Frank Act”). Only comments pertaining to the regulations proposed in this document will be considered as part of this further notice of proposed rulemaking (“Notice”).
GPO FDSys XML | Text type regulations.gov FR Doc. 2011-30591 RIN Release Nos. 33-9281 34-65803 39-2481 IC-29868 SECURITIES AND EXCHANGE COMMISSION Final rule. Effective Date: November 29, 2011. The incorporation by reference of the EDGAR Filer Manual is approved by the Director of the Federal Register as of November 29, 2011. 17 CFR Part 232 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 are being made primarily to support the updates to submission form types ABS-15G and ABS-15G/A; to support changes in XBRL validations for filings containing Exhibit 101 documents; to update the OMB information on EDGARLite Form TA-W; and to add a new applicant type to the Form ID. The EDGAR system is scheduled to be upgraded to support this functionality on November 21, 2011. The filer manual is also being revised to address changes previously made in EDGAR.
GPO FDSys XML | Text type regulations.gov FR Doc. 2011-29096 RIN Release Nos. 33-9273, 34-65686, 39-2480, IA-3310 and IC-29855 SECURITIES AND EXCHANGE COMMISSION Final rule. Effective Date: November 21, 2011. 17 CFR Parts 200, 201, 202, 210, 229, 230, 232, 239, 240, 243, 249, 250, 251, 256, 257, 259, 260, 270, 274 and 275 The Securities and Exchange Commission (“Commission”) is adopting amendments to Commission rules and forms to correct references and remove certain rules, forms, and interpretive releases, to conform to changes in federal securities laws.
GPO FDSys XML | Text type regulations.gov FR Doc. 2011-29096 RIN Release Nos. 33-9273, 34-65686, 39-2480, IA-3310 and IC-29855 SECURITIES AND EXCHANGE COMMISSION Final rule. Effective Date: November 21, 2011. 17 CFR Parts 200, 201, 202, 210, 229, 230, 232, 239, 240, 243, 249, 250, 251, 256, 257, 259, 260, 270, 274 and 275 The Securities and Exchange Commission (“Commission”) is adopting amendments to Commission rules and forms to correct references and remove certain rules, forms, and interpretive releases, to conform to changes in federal securities laws.
GPO FDSys XML | Text type regulations.gov FR Doc. 2011-29096 RIN Release Nos. 33-9273, 34-65686, 39-2480, IA-3310 and IC-29855 SECURITIES AND EXCHANGE COMMISSION Final rule. Effective Date: November 21, 2011. 17 CFR Parts 200, 201, 202, 210, 229, 230, 232, 239, 240, 243, 249, 250, 251, 256, 257, 259, 260, 270, 274 and 275 The Securities and Exchange Commission (“Commission”) is adopting amendments to Commission rules and forms to correct references and remove certain rules, forms, and interpretive releases, to conform to changes in federal securities laws.
GPO FDSys XML | Text type regulations.gov FR Doc. 2011-29096 RIN Release Nos. 33-9273, 34-65686, 39-2480, IA-3310 and IC-29855 SECURITIES AND EXCHANGE COMMISSION Final rule. Effective Date: November 21, 2011. 17 CFR Parts 200, 201, 202, 210, 229, 230, 232, 239, 240, 243, 249, 250, 251, 256, 257, 259, 260, 270, 274 and 275 The Securities and Exchange Commission (“Commission”) is adopting amendments to Commission rules and forms to correct references and remove certain rules, forms, and interpretive releases, to conform to changes in federal securities laws.
GPO FDSys XML | Text type regulations.gov FR Doc. 2011-29096 RIN Release Nos. 33-9273, 34-65686, 39-2480, IA-3310 and IC-29855 SECURITIES AND EXCHANGE COMMISSION Final rule. Effective Date: November 21, 2011. 17 CFR Parts 200, 201, 202, 210, 229, 230, 232, 239, 240, 243, 249, 250, 251, 256, 257, 259, 260, 270, 274 and 275 The Securities and Exchange Commission (“Commission”) is adopting amendments to Commission rules and forms to correct references and remove certain rules, forms, and interpretive releases, to conform to changes in federal securities laws.
GPO FDSys XML | Text type regulations.gov FR Doc. 2011-29096 RIN Release Nos. 33-9273, 34-65686, 39-2480, IA-3310 and IC-29855 SECURITIES AND EXCHANGE COMMISSION Final rule. Effective Date: November 21, 2011. 17 CFR Parts 200, 201, 202, 210, 229, 230, 232, 239, 240, 243, 249, 250, 251, 256, 257, 259, 260, 270, 274 and 275 The Securities and Exchange Commission (“Commission”) is adopting amendments to Commission rules and forms to correct references and remove certain rules, forms, and interpretive releases, to conform to changes in federal securities laws.
GPO FDSys XML | Text type regulations.gov FR Doc. 2011-29096 RIN Release Nos. 33-9273, 34-65686, 39-2480, IA-3310 and IC-29855 SECURITIES AND EXCHANGE COMMISSION Final rule. Effective Date: November 21, 2011. 17 CFR Parts 200, 201, 202, 210, 229, 230, 232, 239, 240, 243, 249, 250, 251, 256, 257, 259, 260, 270, 274 and 275 The Securities and Exchange Commission (“Commission”) is adopting amendments to Commission rules and forms to correct references and remove certain rules, forms, and interpretive releases, to conform to changes in federal securities laws.
GPO FDSys XML | Text type regulations.gov FR Doc. 2011-29096 RIN Release Nos. 33-9273, 34-65686, 39-2480, IA-3310 and IC-29855 SECURITIES AND EXCHANGE COMMISSION Final rule. Effective Date: November 21, 2011. 17 CFR Parts 200, 201, 202, 210, 229, 230, 232, 239, 240, 243, 249, 250, 251, 256, 257, 259, 260, 270, 274 and 275 The Securities and Exchange Commission (“Commission”) is adopting amendments to Commission rules and forms to correct references and remove certain rules, forms, and interpretive releases, to conform to changes in federal securities laws.
GPO FDSys XML | Text type regulations.gov FR Doc. 2011-29096 RIN Release Nos. 33-9273, 34-65686, 39-2480, IA-3310 and IC-29855 SECURITIES AND EXCHANGE COMMISSION Final rule. Effective Date: November 21, 2011. 17 CFR Parts 200, 201, 202, 210, 229, 230, 232, 239, 240, 243, 249, 250, 251, 256, 257, 259, 260, 270, 274 and 275 The Securities and Exchange Commission (“Commission”) is adopting amendments to Commission rules and forms to correct references and remove certain rules, forms, and interpretive releases, to conform to changes in federal securities laws.
GPO FDSys XML | Text type regulations.gov FR Doc. 2011-29096 RIN Release Nos. 33-9273, 34-65686, 39-2480, IA-3310 and IC-29855 SECURITIES AND EXCHANGE COMMISSION Final rule. Effective Date: November 21, 2011. 17 CFR Parts 200, 201, 202, 210, 229, 230, 232, 239, 240, 243, 249, 250, 251, 256, 257, 259, 260, 270, 274 and 275 The Securities and Exchange Commission (“Commission”) is adopting amendments to Commission rules and forms to correct references and remove certain rules, forms, and interpretive releases, to conform to changes in federal securities laws.
GPO FDSys XML | Text type regulations.gov FR Doc. 2011-29096 RIN Release Nos. 33-9273, 34-65686, 39-2480, IA-3310 and IC-29855 SECURITIES AND EXCHANGE COMMISSION Final rule. Effective Date: November 21, 2011. 17 CFR Parts 200, 201, 202, 210, 229, 230, 232, 239, 240, 243, 249, 250, 251, 256, 257, 259, 260, 270, 274 and 275 The Securities and Exchange Commission (“Commission”) is adopting amendments to Commission rules and forms to correct references and remove certain rules, forms, and interpretive releases, to conform to changes in federal securities laws.
GPO FDSys XML | Text type regulations.gov FR Doc. 2011-29096 RIN Release Nos. 33-9273, 34-65686, 39-2480, IA-3310 and IC-29855 SECURITIES AND EXCHANGE COMMISSION Final rule. Effective Date: November 21, 2011. 17 CFR Parts 200, 201, 202, 210, 229, 230, 232, 239, 240, 243, 249, 250, 251, 256, 257, 259, 260, 270, 274 and 275 The Securities and Exchange Commission (“Commission”) is adopting amendments to Commission rules and forms to correct references and remove certain rules, forms, and interpretive releases, to conform to changes in federal securities laws.
GPO FDSys XML | Text type regulations.gov FR Doc. 2011-29096 RIN Release Nos. 33-9273, 34-65686, 39-2480, IA-3310 and IC-29855 SECURITIES AND EXCHANGE COMMISSION Final rule. Effective Date: November 21, 2011. 17 CFR Parts 200, 201, 202, 210, 229, 230, 232, 239, 240, 243, 249, 250, 251, 256, 257, 259, 260, 270, 274 and 275 The Securities and Exchange Commission (“Commission”) is adopting amendments to Commission rules and forms to correct references and remove certain rules, forms, and interpretive releases, to conform to changes in federal securities laws.
GPO FDSys XML | Text type regulations.gov FR Doc. 2011-29096 RIN Release Nos. 33-9273, 34-65686, 39-2480, IA-3310 and IC-29855 SECURITIES AND EXCHANGE COMMISSION Final rule. Effective Date: November 21, 2011. 17 CFR Parts 200, 201, 202, 210, 229, 230, 232, 239, 240, 243, 249, 250, 251, 256, 257, 259, 260, 270, 274 and 275 The Securities and Exchange Commission (“Commission”) is adopting amendments to Commission rules and forms to correct references and remove certain rules, forms, and interpretive releases, to conform to changes in federal securities laws.
GPO FDSys XML | Text type regulations.gov FR Doc. 2011-29096 RIN Release Nos. 33-9273, 34-65686, 39-2480, IA-3310 and IC-29855 SECURITIES AND EXCHANGE COMMISSION Final rule. Effective Date: November 21, 2011. 17 CFR Parts 200, 201, 202, 210, 229, 230, 232, 239, 240, 243, 249, 250, 251, 256, 257, 259, 260, 270, 274 and 275 The Securities and Exchange Commission (“Commission”) is adopting amendments to Commission rules and forms to correct references and remove certain rules, forms, and interpretive releases, to conform to changes in federal securities laws.
GPO FDSys XML | Text type regulations.gov FR Doc. 2011-29096 RIN Release Nos. 33-9273, 34-65686, 39-2480, IA-3310 and IC-29855 SECURITIES AND EXCHANGE COMMISSION Final rule. Effective Date: November 21, 2011. 17 CFR Parts 200, 201, 202, 210, 229, 230, 232, 239, 240, 243, 249, 250, 251, 256, 257, 259, 260, 270, 274 and 275 The Securities and Exchange Commission (“Commission”) is adopting amendments to Commission rules and forms to correct references and remove certain rules, forms, and interpretive releases, to conform to changes in federal securities laws.
GPO FDSys XML | Text type regulations.gov FR Doc. 2011-29096 RIN Release Nos. 33-9273, 34-65686, 39-2480, IA-3310 and IC-29855 SECURITIES AND EXCHANGE COMMISSION Final rule. Effective Date: November 21, 2011. 17 CFR Parts 200, 201, 202, 210, 229, 230, 232, 239, 240, 243, 249, 250, 251, 256, 257, 259, 260, 270, 274 and 275 The Securities and Exchange Commission (“Commission”) is adopting amendments to Commission rules and forms to correct references and remove certain rules, forms, and interpretive releases, to conform to changes in federal securities laws.
GPO FDSys XML | Text type regulations.gov FR Doc. 2011-29096 RIN Release Nos. 33-9273, 34-65686, 39-2480, IA-3310 and IC-29855 SECURITIES AND EXCHANGE COMMISSION Final rule. Effective Date: November 21, 2011. 17 CFR Parts 200, 201, 202, 210, 229, 230, 232, 239, 240, 243, 249, 250, 251, 256, 257, 259, 260, 270, 274 and 275 The Securities and Exchange Commission (“Commission”) is adopting amendments to Commission rules and forms to correct references and remove certain rules, forms, and interpretive releases, to conform to changes in federal securities laws.
GPO FDSys XML | Text type regulations.gov FR Doc. 2011-29096 RIN Release Nos. 33-9273, 34-65686, 39-2480, IA-3310 and IC-29855 SECURITIES AND EXCHANGE COMMISSION Final rule. Effective Date: November 21, 2011. 17 CFR Parts 200, 201, 202, 210, 229, 230, 232, 239, 240, 243, 249, 250, 251, 256, 257, 259, 260, 270, 274 and 275 The Securities and Exchange Commission (“Commission”) is adopting amendments to Commission rules and forms to correct references and remove certain rules, forms, and interpretive releases, to conform to changes in federal securities laws.
GPO FDSys XML | Text type regulations.gov FR Doc. 2011-29096 RIN Release Nos. 33-9273, 34-65686, 39-2480, IA-3310 and IC-29855 SECURITIES AND EXCHANGE COMMISSION Final rule. Effective Date: November 21, 2011. 17 CFR Parts 200, 201, 202, 210, 229, 230, 232, 239, 240, 243, 249, 250, 251, 256, 257, 259, 260, 270, 274 and 275 The Securities and Exchange Commission (“Commission”) is adopting amendments to Commission rules and forms to correct references and remove certain rules, forms, and interpretive releases, to conform to changes in federal securities laws.
GPO FDSys XML | Text type regulations.gov FR Doc. 2011-29802 RIN Release No. 34-65742 SECURITIES AND EXCHANGE COMMISSION Final rule. Effective Date: November 18, 2011. 17 CFR Part 200 The Securities and Exchange Commission (“Commission”) is amending its rules to reflect that the Commission's Office of the Ethics Counsel is now a stand-alone Office of the Commission and that the head of the Office, the Ethics Counsel, reports directly to the Chairman of the Commission.
GPO FDSys XML | Text type regulations.gov FR Doc. 2011-28809 RIN 3038-AD17 COMMODITY FUTURES TRADING COMMISSION Final rule and interim final rule. Effective date: The effective date for this final rule and the interim rule at § 151.4(a)(2) is January 17, 2012. Comment date: The comment period for the interim final rule will close January 17, 2012. Compliance dates: For compliance dates for these final rules, see SUPPLEMENTARY INFORMATION. 17 CFR Parts 1, 150 and 151 On January 26, 2011, the Commodity Futures Trading Commission (“Commission” or “CFTC”) published in the Federal Register a notice of proposed rulemaking (“proposal” or “Proposed Rules”), which establishes a position limits regime for 28 exempt and agricultural commodity futures and options contracts and the physical commodity swaps that are economically equivalent to such contracts. The Commission is adopting the Proposed Rules, with modifications.
GPO FDSys XML | Text type regulations.gov FR Doc. 2011-28809 RIN 3038-AD17 COMMODITY FUTURES TRADING COMMISSION Final rule and interim final rule. Effective date: The effective date for this final rule and the interim rule at § 151.4(a)(2) is January 17, 2012. Comment date: The comment period for the interim final rule will close January 17, 2012. Compliance dates: For compliance dates for these final rules, see SUPPLEMENTARY INFORMATION. 17 CFR Parts 1, 150 and 151 On January 26, 2011, the Commodity Futures Trading Commission (“Commission” or “CFTC”) published in the Federal Register a notice of proposed rulemaking (“proposal” or “Proposed Rules”), which establishes a position limits regime for 28 exempt and agricultural commodity futures and options contracts and the physical commodity swaps that are economically equivalent to such contracts. The Commission is adopting the Proposed Rules, with modifications.
GPO FDSys XML | Text type regulations.gov FR Doc. 2011-28809 RIN 3038-AD17 COMMODITY FUTURES TRADING COMMISSION Final rule and interim final rule. Effective date: The effective date for this final rule and the interim rule at § 151.4(a)(2) is January 17, 2012. Comment date: The comment period for the interim final rule will close January 17, 2012. Compliance dates: For compliance dates for these final rules, see SUPPLEMENTARY INFORMATION. 17 CFR Parts 1, 150 and 151 On January 26, 2011, the Commodity Futures Trading Commission (“Commission” or “CFTC”) published in the Federal Register a notice of proposed rulemaking (“proposal” or “Proposed Rules”), which establishes a position limits regime for 28 exempt and agricultural commodity futures and options contracts and the physical commodity swaps that are economically equivalent to such contracts. The Commission is adopting the Proposed Rules, with modifications.
GPO FDSys XML | Text type regulations.gov FR Doc. 2011-28549 RIN 3038-AD03 File No. S7-05-11 Release No. IA-3308 SECURITIES AND EXCHANGE COMMISSION, COMMODITY FUTURES TRADING COMMISSION Joint final rules. The effective date for the addition of 17 CFR 4.27 (rule 4.27 under the Commodity Exchange Act), 17 CFR 275.204(b)-1 (rule 204(b)-1 under the Investment Advisers Act of 1940) and 17 CFR 279.9 (Form PF), as well as the revision to the authority citation for 17 CFR part 4, is March 31, 2012. See section III of this Release for compliance dates. 17 CFR Part 4 The Commodity Futures Trading Commission (“CFTC”) and the Securities and Exchange Commission (“SEC”) (collectively, “we” or the “Commissions”) are adopting new rules under the Commodity Exchange Act and the Investment Advisers Act of 1940 to implement provisions of Title IV of the Dodd-Frank Wall Street Reform and Consumer Protection Act. The new SEC rule requires investment advisers registered with the SEC that advise one or more private funds and have at least $150 million in private fund assets under management to file Form PF with the SEC. The new CFTC rule requires commodity pool operators (“CPOs”) and commodity trading advisors (“CTAs”) registered with the CFTC to satisfy certain CFTC filing requirements with respect to private funds, should the CFTC adopt such requirements, by filing Form PF with the SEC, but only if those CPOs and CTAs are also registered with the SEC as investment advisers and are required to file Form PF under the Advisers Act. The new CFTC rule also allows such CPOs and CTAs to satisfy certain CFTC filing requirements with respect to commodity pools that are not private funds, should the CFTC adopt such requirements, by filing Form PF with the SEC. Advisers must file Form PF electronically, on a confidential basis. The information contained in Form PF is designed, among other things, to assist the Financial Stability Oversight Council in its assessment of systemic risk in the U.S. financial system.
GPO FDSys XML | Text type regulations.gov FR Doc. 2011-28549 RIN 3038-AD03 File No. S7-05-11 Release No. IA-3308 SECURITIES AND EXCHANGE COMMISSION, COMMODITY FUTURES TRADING COMMISSION Joint final rules. The effective date for the addition of 17 CFR 4.27 (rule 4.27 under the Commodity Exchange Act), 17 CFR 275.204(b)-1 (rule 204(b)-1 under the Investment Advisers Act of 1940) and 17 CFR 279.9 (Form PF), as well as the revision to the authority citation for 17 CFR part 4, is March 31, 2012. See section III of this Release for compliance dates. 17 CFR Part 4 The Commodity Futures Trading Commission (“CFTC”) and the Securities and Exchange Commission (“SEC”) (collectively, “we” or the “Commissions”) are adopting new rules under the Commodity Exchange Act and the Investment Advisers Act of 1940 to implement provisions of Title IV of the Dodd-Frank Wall Street Reform and Consumer Protection Act. The new SEC rule requires investment advisers registered with the SEC that advise one or more private funds and have at least $150 million in private fund assets under management to file Form PF with the SEC. The new CFTC rule requires commodity pool operators (“CPOs”) and commodity trading advisors (“CTAs”) registered with the CFTC to satisfy certain CFTC filing requirements with respect to private funds, should the CFTC adopt such requirements, by filing Form PF with the SEC, but only if those CPOs and CTAs are also registered with the SEC as investment advisers and are required to file Form PF under the Advisers Act. The new CFTC rule also allows such CPOs and CTAs to satisfy certain CFTC filing requirements with respect to commodity pools that are not private funds, should the CFTC adopt such requirements, by filing Form PF with the SEC. Advisers must file Form PF electronically, on a confidential basis. The information contained in Form PF is designed, among other things, to assist the Financial Stability Oversight Council in its assessment of systemic risk in the U.S. financial system.
GPO FDSys XML | Text type regulations.gov FR Doc. 2011-28549 RIN 3038-AD03 File No. S7-05-11 Release No. IA-3308 SECURITIES AND EXCHANGE COMMISSION, COMMODITY FUTURES TRADING COMMISSION Joint final rules. The effective date for the addition of 17 CFR 4.27 (rule 4.27 under the Commodity Exchange Act), 17 CFR 275.204(b)-1 (rule 204(b)-1 under the Investment Advisers Act of 1940) and 17 CFR 279.9 (Form PF), as well as the revision to the authority citation for 17 CFR part 4, is March 31, 2012. See section III of this Release for compliance dates. 17 CFR Part 4 The Commodity Futures Trading Commission (“CFTC”) and the Securities and Exchange Commission (“SEC”) (collectively, “we” or the “Commissions”) are adopting new rules under the Commodity Exchange Act and the Investment Advisers Act of 1940 to implement provisions of Title IV of the Dodd-Frank Wall Street Reform and Consumer Protection Act. The new SEC rule requires investment advisers registered with the SEC that advise one or more private funds and have at least $150 million in private fund assets under management to file Form PF with the SEC. The new CFTC rule requires commodity pool operators (“CPOs”) and commodity trading advisors (“CTAs”) registered with the CFTC to satisfy certain CFTC filing requirements with respect to private funds, should the CFTC adopt such requirements, by filing Form PF with the SEC, but only if those CPOs and CTAs are also registered with the SEC as investment advisers and are required to file Form PF under the Advisers Act. The new CFTC rule also allows such CPOs and CTAs to satisfy certain CFTC filing requirements with respect to commodity pools that are not private funds, should the CFTC adopt such requirements, by filing Form PF with the SEC. Advisers must file Form PF electronically, on a confidential basis. The information contained in Form PF is designed, among other things, to assist the Financial Stability Oversight Council in its assessment of systemic risk in the U.S. financial system.
GPO FDSys XML | Text type regulations.gov FR Doc. 2011-27536 RIN 3038-AC98 COMMODITY FUTURES TRADING COMMISSION Final rule. The rules will become effective January 9, 2012. DCOs must comply with §§ 39.11; 39.12; 39.13 (except for 39.13(g)(8)(i)); and 39.14 by May 7, 2012; with §§ 39.10(c); 39.13(g)(8)(i); 39.18; 39.19; and 39.20 by November 8, 2012; and all other provisions of these rules by January 9, 2012. 17 CFR Parts 1, 21, 39, and 140 The Commodity Futures Trading Commission (Commission) is adopting final regulations to implement certain provisions of Title VII and Title VIII of the Dodd-Frank Wall Street Reform and Consumer Protection Act (Dodd-Frank Act) governing derivatives clearing organization (DCO) activities. More specifically, the regulations establish the regulatory standards for compliance with DCO Core Principles A (Compliance), B (Financial Resources), C (Participant and Product Eligibility), D (Risk Management), E (Settlement Procedures), F (Treatment of Funds), G (Default Rules and Procedures), H (Rule Enforcement), I (System Safeguards), J (Reporting), K (Recordkeeping), L (Public Information), M (Information Sharing), N (Antitrust Considerations), and R (Legal Risk) set forth in Section 5b of the Commodity Exchange Act (CEA). The Commission also is updating and adding related definitions; adopting implementing rules for DCO chief compliance officers (CCOs); revising procedures for DCO applications including the required use of a new Form DCO; adopting procedural rules applicable to the transfer of a DCO registration; and adding requirements for approval of DCO rules establishing a portfolio margining program for customer accounts carried by a futures commission merchant (FCM) that is also registered as a securities broker-dealer (FCM/BD). In addition, the Commission is adopting certain technical amendments to parts 21 and 39, and is adopting certain delegation provisions under part 140.
GPO FDSys XML | Text type regulations.gov FR Doc. 2011-27536 RIN 3038-AC98 COMMODITY FUTURES TRADING COMMISSION Final rule. The rules will become effective January 9, 2012. DCOs must comply with §§ 39.11; 39.12; 39.13 (except for 39.13(g)(8)(i)); and 39.14 by May 7, 2012; with §§ 39.10(c); 39.13(g)(8)(i); 39.18; 39.19; and 39.20 by November 8, 2012; and all other provisions of these rules by January 9, 2012. 17 CFR Parts 1, 21, 39, and 140 The Commodity Futures Trading Commission (Commission) is adopting final regulations to implement certain provisions of Title VII and Title VIII of the Dodd-Frank Wall Street Reform and Consumer Protection Act (Dodd-Frank Act) governing derivatives clearing organization (DCO) activities. More specifically, the regulations establish the regulatory standards for compliance with DCO Core Principles A (Compliance), B (Financial Resources), C (Participant and Product Eligibility), D (Risk Management), E (Settlement Procedures), F (Treatment of Funds), G (Default Rules and Procedures), H (Rule Enforcement), I (System Safeguards), J (Reporting), K (Recordkeeping), L (Public Information), M (Information Sharing), N (Antitrust Considerations), and R (Legal Risk) set forth in Section 5b of the Commodity Exchange Act (CEA). The Commission also is updating and adding related definitions; adopting implementing rules for DCO chief compliance officers (CCOs); revising procedures for DCO applications including the required use of a new Form DCO; adopting procedural rules applicable to the transfer of a DCO registration; and adding requirements for approval of DCO rules establishing a portfolio margining program for customer accounts carried by a futures commission merchant (FCM) that is also registered as a securities broker-dealer (FCM/BD). In addition, the Commission is adopting certain technical amendments to parts 21 and 39, and is adopting certain delegation provisions under part 140.
GPO FDSys XML | Text type regulations.gov FR Doc. 2011-27536 RIN 3038-AC98 COMMODITY FUTURES TRADING COMMISSION Final rule. The rules will become effective January 9, 2012. DCOs must comply with §§ 39.11; 39.12; 39.13 (except for 39.13(g)(8)(i)); and 39.14 by May 7, 2012; with §§ 39.10(c); 39.13(g)(8)(i); 39.18; 39.19; and 39.20 by November 8, 2012; and all other provisions of these rules by January 9, 2012. 17 CFR Parts 1, 21, 39, and 140 The Commodity Futures Trading Commission (Commission) is adopting final regulations to implement certain provisions of Title VII and Title VIII of the Dodd-Frank Wall Street Reform and Consumer Protection Act (Dodd-Frank Act) governing derivatives clearing organization (DCO) activities. More specifically, the regulations establish the regulatory standards for compliance with DCO Core Principles A (Compliance), B (Financial Resources), C (Participant and Product Eligibility), D (Risk Management), E (Settlement Procedures), F (Treatment of Funds), G (Default Rules and Procedures), H (Rule Enforcement), I (System Safeguards), J (Reporting), K (Recordkeeping), L (Public Information), M (Information Sharing), N (Antitrust Considerations), and R (Legal Risk) set forth in Section 5b of the Commodity Exchange Act (CEA). The Commission also is updating and adding related definitions; adopting implementing rules for DCO chief compliance officers (CCOs); revising procedures for DCO applications including the required use of a new Form DCO; adopting procedural rules applicable to the transfer of a DCO registration; and adding requirements for approval of DCO rules establishing a portfolio margining program for customer accounts carried by a futures commission merchant (FCM) that is also registered as a securities broker-dealer (FCM/BD). In addition, the Commission is adopting certain technical amendments to parts 21 and 39, and is adopting certain delegation provisions under part 140.
GPO FDSys XML | Text type regulations.gov FR Doc. 2011-27536 RIN 3038-AC98 COMMODITY FUTURES TRADING COMMISSION Final rule. The rules will become effective January 9, 2012. DCOs must comply with §§ 39.11; 39.12; 39.13 (except for 39.13(g)(8)(i)); and 39.14 by May 7, 2012; with §§ 39.10(c); 39.13(g)(8)(i); 39.18; 39.19; and 39.20 by November 8, 2012; and all other provisions of these rules by January 9, 2012. 17 CFR Parts 1, 21, 39, and 140 The Commodity Futures Trading Commission (Commission) is adopting final regulations to implement certain provisions of Title VII and Title VIII of the Dodd-Frank Wall Street Reform and Consumer Protection Act (Dodd-Frank Act) governing derivatives clearing organization (DCO) activities. More specifically, the regulations establish the regulatory standards for compliance with DCO Core Principles A (Compliance), B (Financial Resources), C (Participant and Product Eligibility), D (Risk Management), E (Settlement Procedures), F (Treatment of Funds), G (Default Rules and Procedures), H (Rule Enforcement), I (System Safeguards), J (Reporting), K (Recordkeeping), L (Public Information), M (Information Sharing), N (Antitrust Considerations), and R (Legal Risk) set forth in Section 5b of the Commodity Exchange Act (CEA). The Commission also is updating and adding related definitions; adopting implementing rules for DCO chief compliance officers (CCOs); revising procedures for DCO applications including the required use of a new Form DCO; adopting procedural rules applicable to the transfer of a DCO registration; and adding requirements for approval of DCO rules establishing a portfolio margining program for customer accounts carried by a futures commission merchant (FCM) that is also registered as a securities broker-dealer (FCM/BD). In addition, the Commission is adopting certain technical amendments to parts 21 and 39, and is adopting certain delegation provisions under part 140.
GPO FDSys XML | Text type regulations.gov FR Doc. 2011-27184 RIN 1557-AD44 Docket No. OCC-2011-0014 Docket No. R-1432 Release No. 34-65545 File No. S7-41-11 FEDERAL DEPOSIT INSURANCE CORPORATION, BOARD OF GOVERNORS OF THE FEDERAL RESERVE SYSTEM, SECURITIES AND EXCHANGE COMMISSION, DEPARTMENT OF THE TREASURY, Office of the Comptroller of the Currency Notice of proposed rulemaking. Comments should be received on or before January 13, 2012. 12 CFR Part 44 The OCC, Board, FDIC, and SEC (individually, an “Agency,” and collectively, “the Agencies”) are requesting comment on a proposed rule that would implement Section 619 of the Dodd-Frank Wall Street Reform and Consumer Protection Act (“Dodd-Frank Act”) which contains certain prohibitions and restrictions on the ability of a banking entity and nonbank financial company supervised by the Board to engage in proprietary trading and have certain interests in, or relationships with, a hedge fund or private equity fund.
GPO FDSys XML | Text type regulations.gov FR Doc. 2011-28313 RIN Release No. 34-65628 SECURITIES AND EXCHANGE COMMISSION Final rule; technical amendment. Effective Date: November 2, 2011. 17 CFR Part 200 The Securities and Exchange Commission (“Commission”) is making a technical amendment to the rule that delegates authority to the Director of the Division of Trading and Markets to grant exemptions upon specified terms, conditions, and periods to persons subject to Rule 17f-2 under the Securities Exchange Act of 1934 (“Exchange Act”).
GPO FDSys XML | Text type regulations.gov FR Doc. 2011-26889 RIN 3235-AL05 Release No. 34-65543 File No. S7-40-11 SECURITIES AND EXCHANGE COMMISSION Proposed rule. Comments should be received on or before December 19, 2011. 17 CFR Parts 240 and 249 Section 764(a) of Title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act (“Dodd-Frank Act”) requires the Securities and Exchange Commission (“Commission”) to issue rules to provide for the registration of security-based swap dealers (“SBS Dealers”) and major security-based swap participants (collectively, “SBS Entities”). Pursuant to this requirement, the Commission is proposing new Rules 15Fb1-1 through 15Fb6-1 under the Securities Exchange Act of 1934, as amended (the “Exchange Act”), to provide for the registration of SBS Entities. The Commission is also proposing forms to facilitate registration (and withdrawal from registration) of these entities.
GPO FDSys XML | Text type regulations.gov FR Doc. 2011-26889 RIN 3235-AL05 Release No. 34-65543 File No. S7-40-11 SECURITIES AND EXCHANGE COMMISSION Proposed rule. Comments should be received on or before December 19, 2011. 17 CFR Parts 240 and 249 Section 764(a) of Title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act (“Dodd-Frank Act”) requires the Securities and Exchange Commission (“Commission”) to issue rules to provide for the registration of security-based swap dealers (“SBS Dealers”) and major security-based swap participants (collectively, “SBS Entities”). Pursuant to this requirement, the Commission is proposing new Rules 15Fb1-1 through 15Fb6-1 under the Securities Exchange Act of 1934, as amended (the “Exchange Act”), to provide for the registration of SBS Entities. The Commission is also proposing forms to facilitate registration (and withdrawal from registration) of these entities.
GPO FDSys XML | Text type regulations.gov FR Doc. 2011-26431 RIN File No. S7-40-10 Release No. 34-65508 SECURITIES AND EXCHANGE COMMISSION Notice of roundtable discussion; request for comment. The roundtable discussion will take place on October 18, 2011. The Commission will accept comments regarding the issues to be addressed in the roundtable and otherwise regarding the proposed rule amendments until November 1, 2011. 17 CFR Parts 229 and 249 On October 18, 2011, the Commission will hold a public roundtable at which invited participants will discuss various issues related to the Commission's required rulemaking under Section 1502 of the Dodd-Frank Wall Street Reform and Consumer Protection Act (the “Act”), which relates to reporting requirements regarding conflict minerals originating in the Democratic Republic of the Congo and adjoining countries. Roundtable panelists are expected to reflect the views of different constituencies, including investors, affected issuers, human rights organizations, and other stakeholders. The roundtable will consist of a series of panels that are designed to provide a forum for various stakeholders to exchange views and provide input on issues related to the Commission's required rulemaking.
GPO FDSys XML | Text type regulations.gov FR Doc. 2011-26431 RIN File No. S7-40-10 Release No. 34-65508 SECURITIES AND EXCHANGE COMMISSION Notice of roundtable discussion; request for comment. The roundtable discussion will take place on October 18, 2011. The Commission will accept comments regarding the issues to be addressed in the roundtable and otherwise regarding the proposed rule amendments until November 1, 2011. 17 CFR Parts 229 and 249 On October 18, 2011, the Commission will hold a public roundtable at which invited participants will discuss various issues related to the Commission's required rulemaking under Section 1502 of the Dodd-Frank Wall Street Reform and Consumer Protection Act (the “Act”), which relates to reporting requirements regarding conflict minerals originating in the Democratic Republic of the Congo and adjoining countries. Roundtable panelists are expected to reflect the views of different constituencies, including investors, affected issuers, human rights organizations, and other stakeholders. The roundtable will consist of a series of panels that are designed to provide a forum for various stakeholders to exchange views and provide input on issues related to the Commission's required rulemaking.
GPO FDSys XML | Text type regulations.gov FR Doc. 2011-25898 RIN COMMODITY FUTURES TRADING COMMISSION Final rule. Effective Date: October 12, 2011. 17 CFR Part 12 The Commodity Futures Trading Commission (“Commission”) is amending its regulations to authorize any Commission Judgment Officer to conduct formal decisional proceedings. This action will promote the efficient use of the Commission's budget and personnel resources.
GPO FDSys XML | Text type regulations.gov FR Doc. 2011-24964 RIN Release No. 34-65385 SECURITIES AND EXCHANGE COMMISSION Final rule. Effective Date: September 29, 2011. 17 CFR Parts 200, 201, and 204 The Securities and Exchange Commission (“Commission”) is amending its rules to reflect the consolidation of the Office of the Executive Director with the Office of the Chief Operating Officer, including amendments to replace references to the Executive Director with references to the Chief Operating Officer.
GPO FDSys XML | Text type regulations.gov FR Doc. 2011-24964 RIN Release No. 34-65385 SECURITIES AND EXCHANGE COMMISSION Final rule. Effective Date: September 29, 2011. 17 CFR Parts 200, 201, and 204 The Securities and Exchange Commission (“Commission”) is amending its rules to reflect the consolidation of the Office of the Executive Director with the Office of the Chief Operating Officer, including amendments to replace references to the Executive Director with references to the Chief Operating Officer.
GPO FDSys XML | Text type regulations.gov FR Doc. 2011-24964 RIN Release No. 34-65385 SECURITIES AND EXCHANGE COMMISSION Final rule. Effective Date: September 29, 2011. 17 CFR Parts 200, 201, and 204 The Securities and Exchange Commission (“Commission”) is amending its rules to reflect the consolidation of the Office of the Executive Director with the Office of the Chief Operating Officer, including amendments to replace references to the Executive Director with references to the Chief Operating Officer.
GPO FDSys XML | Text type regulations.gov FR Doc. 2011-24404 RIN 3235-AL04 Release No. 34-65355 File No. S7-38-11 SECURITIES AND EXCHANGE COMMISSION Proposed rule. Comments should be received on or before December 19, 2011. 17 CFR Part 230 The Securities and Exchange Commission (“Commission”) is proposing for comment a new rule under the Securities Act of 1933 (“Securities Act”) to implement the prohibition under Section 621 of the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010 (“Dodd-Frank Act”) on material conflicts of interest in connection with certain securitizations. Proposed Rule 127B under the Securities Act would prohibit certain persons who create and distribute an asset-backed security, including a synthetic asset-backed security, from engaging in transactions, within one year after the date of the first closing of the sale of the asset-backed security, that would involve or result in a material conflict of interest with respect to any investor in the asset-backed security. The proposed rule also would provide exceptions from this prohibition for certain risk-mitigating hedging activities, liquidity commitments, and bona fide market-making.
GPO FDSys XML | Text type regulations.gov FR Doc. 2011-24785 RIN 1535-AA02 Docket No. BPD GSRS 11-01 DEPARTMENT OF THE TREASURY, Office of the Assistant Secretary for Financial Markets Proposed rule. Submit comments on or before November 28, 2011. 17 CFR Parts 400, 401, 402, 403, 405, and 420 The Department of the Treasury (“Treasury” or “We”) is issuing this proposed rule to solicit public comment on a proposed amendment to the regulations issued under the Government Securities Act of 1986, as amended (“GSA”), to replace references to credit ratings in our rules with alternative requirements. Section 939A of the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010 requires Federal agencies to remove from their applicable regulations any reference to or requirement of reliance on credit ratings and to substitute a standard of creditworthiness as the agency determines appropriate for such regulations. In this release Treasury is requesting comment on a substitute standard of creditworthiness for use in the liquid capital rule required by GSA regulations. Separately, we are proposing in this release several non-substantive, technical amendments to Treasury's GSA regulations to update certain information or to delete certain requirements that are no longer applicable.
GPO FDSys XML | Text type regulations.gov FR Doc. 2011-24785 RIN 1535-AA02 Docket No. BPD GSRS 11-01 DEPARTMENT OF THE TREASURY, Office of the Assistant Secretary for Financial Markets Proposed rule. Submit comments on or before November 28, 2011. 17 CFR Parts 400, 401, 402, 403, 405, and 420 The Department of the Treasury (“Treasury” or “We”) is issuing this proposed rule to solicit public comment on a proposed amendment to the regulations issued under the Government Securities Act of 1986, as amended (“GSA”), to replace references to credit ratings in our rules with alternative requirements. Section 939A of the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010 requires Federal agencies to remove from their applicable regulations any reference to or requirement of reliance on credit ratings and to substitute a standard of creditworthiness as the agency determines appropriate for such regulations. In this release Treasury is requesting comment on a substitute standard of creditworthiness for use in the liquid capital rule required by GSA regulations. Separately, we are proposing in this release several non-substantive, technical amendments to Treasury's GSA regulations to update certain information or to delete certain requirements that are no longer applicable.
GPO FDSys XML | Text type regulations.gov FR Doc. 2011-24785 RIN 1535-AA02 Docket No. BPD GSRS 11-01 DEPARTMENT OF THE TREASURY, Office of the Assistant Secretary for Financial Markets Proposed rule. Submit comments on or before November 28, 2011. 17 CFR Parts 400, 401, 402, 403, 405, and 420 The Department of the Treasury (“Treasury” or “We”) is issuing this proposed rule to solicit public comment on a proposed amendment to the regulations issued under the Government Securities Act of 1986, as amended (“GSA”), to replace references to credit ratings in our rules with alternative requirements. Section 939A of the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010 requires Federal agencies to remove from their applicable regulations any reference to or requirement of reliance on credit ratings and to substitute a standard of creditworthiness as the agency determines appropriate for such regulations. In this release Treasury is requesting comment on a substitute standard of creditworthiness for use in the liquid capital rule required by GSA regulations. Separately, we are proposing in this release several non-substantive, technical amendments to Treasury's GSA regulations to update certain information or to delete certain requirements that are no longer applicable.
GPO FDSys XML | Text type regulations.gov FR Doc. 2011-24785 RIN 1535-AA02 Docket No. BPD GSRS 11-01 DEPARTMENT OF THE TREASURY, Office of the Assistant Secretary for Financial Markets Proposed rule. Submit comments on or before November 28, 2011. 17 CFR Parts 400, 401, 402, 403, 405, and 420 The Department of the Treasury (“Treasury” or “We”) is issuing this proposed rule to solicit public comment on a proposed amendment to the regulations issued under the Government Securities Act of 1986, as amended (“GSA”), to replace references to credit ratings in our rules with alternative requirements. Section 939A of the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010 requires Federal agencies to remove from their applicable regulations any reference to or requirement of reliance on credit ratings and to substitute a standard of creditworthiness as the agency determines appropriate for such regulations. In this release Treasury is requesting comment on a substitute standard of creditworthiness for use in the liquid capital rule required by GSA regulations. Separately, we are proposing in this release several non-substantive, technical amendments to Treasury's GSA regulations to update certain information or to delete certain requirements that are no longer applicable.
GPO FDSys XML | Text type regulations.gov FR Doc. 2011-24785 RIN 1535-AA02 Docket No. BPD GSRS 11-01 DEPARTMENT OF THE TREASURY, Office of the Assistant Secretary for Financial Markets Proposed rule. Submit comments on or before November 28, 2011. 17 CFR Parts 400, 401, 402, 403, 405, and 420 The Department of the Treasury (“Treasury” or “We”) is issuing this proposed rule to solicit public comment on a proposed amendment to the regulations issued under the Government Securities Act of 1986, as amended (“GSA”), to replace references to credit ratings in our rules with alternative requirements. Section 939A of the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010 requires Federal agencies to remove from their applicable regulations any reference to or requirement of reliance on credit ratings and to substitute a standard of creditworthiness as the agency determines appropriate for such regulations. In this release Treasury is requesting comment on a substitute standard of creditworthiness for use in the liquid capital rule required by GSA regulations. Separately, we are proposing in this release several non-substantive, technical amendments to Treasury's GSA regulations to update certain information or to delete certain requirements that are no longer applicable.
GPO FDSys XML | Text type regulations.gov FR Doc. 2011-24785 RIN 1535-AA02 Docket No. BPD GSRS 11-01 DEPARTMENT OF THE TREASURY, Office of the Assistant Secretary for Financial Markets Proposed rule. Submit comments on or before November 28, 2011. 17 CFR Parts 400, 401, 402, 403, 405, and 420 The Department of the Treasury (“Treasury” or “We”) is issuing this proposed rule to solicit public comment on a proposed amendment to the regulations issued under the Government Securities Act of 1986, as amended (“GSA”), to replace references to credit ratings in our rules with alternative requirements. Section 939A of the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010 requires Federal agencies to remove from their applicable regulations any reference to or requirement of reliance on credit ratings and to substitute a standard of creditworthiness as the agency determines appropriate for such regulations. In this release Treasury is requesting comment on a substitute standard of creditworthiness for use in the liquid capital rule required by GSA regulations. Separately, we are proposing in this release several non-substantive, technical amendments to Treasury's GSA regulations to update certain information or to delete certain requirements that are no longer applicable.
GPO FDSys XML | Text type regulations.gov FR Doc. 2011-24609 RIN 3038-AC54 COMMODITY FUTURES TRADING COMMISSION Final rule. Effective Date: October 26, 2011. 17 CFR Part 30 The Commodity Futures Trading Commission (“Commission”) is adopting a new rule, which establishes a Commission certification procedure applicable to the offer or sale, to persons in the U.S., of a non-narrow-based security index futures contract traded on a foreign board of trade; the new certification procedure will replace the existing staff no-action process. Additionally, the new rule establishes a procedure for a foreign board of trade to request and receive a Commission certification on an expedited basis. Under this expedited procedure, a non-narrow-based security index futures contract of qualifying foreign boards of trade could be offered or sold in the U.S. forty-five (45) days after submission of such request, absent a notification by the Commission.
GPO FDSys XML | Text type regulations.gov FR Doc. 2011-24118 RIN 3235-AK27 Release Nos. 33-9259 34-65343 IC-29788 File No. S7-10-09 SECURITIES AND EXCHANGE COMMISSION Final rule; notice of effective date. The effective date of the additions of § 200.82a, § 240.14a-18, § 240.14n-1 through § 240.14n-3, and § 240.14n-101, and the amendments to § 232.13, § 240.13a-11, § 240.13d-1, § 240.14a-2, § 240.14a-4, § 240.14a-5, § 240.14a-6, § 240.14a-8, § 240.14a-9, § 240.14a-12, § 240.15d-11, § 240.13d-102, § 240.14a-101, and § 249.308, published on September 16, 2010 (75 FR 56668), is September 20, 2011. Section 240.14a-11 was vacated by the United States Court of Appeals for the District of Columbia Circuit (No. 10-1305, July 22, 2011) and therefore is not effective. 17 CFR parts 200, 232, 240 and 249 This release provides notice of the effective date of the amendment to Exchange Act Rule 14a-8, the shareholder proposal rule, which will require companies to include in their proxy materials, under certain circumstances, shareholder proposals that seek to establish a procedure in the company's governing documents for the inclusion of one or more shareholder director nominees in the company's proxy materials. This release also provides notice of the effective date of related rule changes adopted concurrently with the amendment to Rule 14a-8.
GPO FDSys XML | Text type regulations.gov FR Doc. 2011-24118 RIN 3235-AK27 Release Nos. 33-9259 34-65343 IC-29788 File No. S7-10-09 SECURITIES AND EXCHANGE COMMISSION Final rule; notice of effective date. The effective date of the additions of § 200.82a, § 240.14a-18, § 240.14n-1 through § 240.14n-3, and § 240.14n-101, and the amendments to § 232.13, § 240.13a-11, § 240.13d-1, § 240.14a-2, § 240.14a-4, § 240.14a-5, § 240.14a-6, § 240.14a-8, § 240.14a-9, § 240.14a-12, § 240.15d-11, § 240.13d-102, § 240.14a-101, and § 249.308, published on September 16, 2010 (75 FR 56668), is September 20, 2011. Section 240.14a-11 was vacated by the United States Court of Appeals for the District of Columbia Circuit (No. 10-1305, July 22, 2011) and therefore is not effective. 17 CFR parts 200, 232, 240 and 249 This release provides notice of the effective date of the amendment to Exchange Act Rule 14a-8, the shareholder proposal rule, which will require companies to include in their proxy materials, under certain circumstances, shareholder proposals that seek to establish a procedure in the company's governing documents for the inclusion of one or more shareholder director nominees in the company's proxy materials. This release also provides notice of the effective date of related rule changes adopted concurrently with the amendment to Rule 14a-8.
GPO FDSys XML | Text type regulations.gov FR Doc. 2011-24118 RIN 3235-AK27 Release Nos. 33-9259 34-65343 IC-29788 File No. S7-10-09 SECURITIES AND EXCHANGE COMMISSION Final rule; notice of effective date. The effective date of the additions of § 200.82a, § 240.14a-18, § 240.14n-1 through § 240.14n-3, and § 240.14n-101, and the amendments to § 232.13, § 240.13a-11, § 240.13d-1, § 240.14a-2, § 240.14a-4, § 240.14a-5, § 240.14a-6, § 240.14a-8, § 240.14a-9, § 240.14a-12, § 240.15d-11, § 240.13d-102, § 240.14a-101, and § 249.308, published on September 16, 2010 (75 FR 56668), is September 20, 2011. Section 240.14a-11 was vacated by the United States Court of Appeals for the District of Columbia Circuit (No. 10-1305, July 22, 2011) and therefore is not effective. 17 CFR parts 200, 232, 240 and 249 This release provides notice of the effective date of the amendment to Exchange Act Rule 14a-8, the shareholder proposal rule, which will require companies to include in their proxy materials, under certain circumstances, shareholder proposals that seek to establish a procedure in the company's governing documents for the inclusion of one or more shareholder director nominees in the company's proxy materials. This release also provides notice of the effective date of related rule changes adopted concurrently with the amendment to Rule 14a-8.
GPO FDSys XML | Text type regulations.gov FR Doc. 2011-24118 RIN 3235-AK27 Release Nos. 33-9259 34-65343 IC-29788 File No. S7-10-09 SECURITIES AND EXCHANGE COMMISSION Final rule; notice of effective date. The effective date of the additions of § 200.82a, § 240.14a-18, § 240.14n-1 through § 240.14n-3, and § 240.14n-101, and the amendments to § 232.13, § 240.13a-11, § 240.13d-1, § 240.14a-2, § 240.14a-4, § 240.14a-5, § 240.14a-6, § 240.14a-8, § 240.14a-9, § 240.14a-12, § 240.15d-11, § 240.13d-102, § 240.14a-101, and § 249.308, published on September 16, 2010 (75 FR 56668), is September 20, 2011. Section 240.14a-11 was vacated by the United States Court of Appeals for the District of Columbia Circuit (No. 10-1305, July 22, 2011) and therefore is not effective. 17 CFR parts 200, 232, 240 and 249 This release provides notice of the effective date of the amendment to Exchange Act Rule 14a-8, the shareholder proposal rule, which will require companies to include in their proxy materials, under certain circumstances, shareholder proposals that seek to establish a procedure in the company's governing documents for the inclusion of one or more shareholder director nominees in the company's proxy materials. This release also provides notice of the effective date of related rule changes adopted concurrently with the amendment to Rule 14a-8.
GPO FDSys XML | Text type regulations.gov FR Doc. 2011-24128 RIN 3038-AC96 COMMODITY FUTURES TRADING COMMISSION Further notice of proposed rulemaking. Submit comments on or before November 4, 2011. 17 CFR Part 23 The Commodity Futures Trading Commission (Commission or CFTC) is proposing regulations that would establish a schedule to phase in compliance with previously proposed requirements, including the swap trading relationship documentation requirement under proposed 17 CFR 23.504, 76 FR 6715 (Feb. 8, 2011) and the margin requirements for uncleared swaps under proposed 17 CFR 23.150 through 23.158, 76 FR 23732 (Apr. 28, 2011). This release is a continuation of those rulemakings. The proposed schedules would provide relief in the form of additional time for compliance with these requirements. This relief is intended to facilitate the transition to the new regulatory regime established by the Dodd-Frank Act in an orderly manner that does not unduly disrupt markets and transactions. The Commission is requesting comment on the proposed compliance schedules, §§ 23.175 and 23.575, described in this release.
GPO FDSys XML | Text type regulations.gov FR Doc. 2011-24124 RIN 3038-AD60 COMMODITY FUTURES TRADING COMMISSION Notice of proposed rulemaking. Submit comments on or before November 4, 2011. 17 CFR Parts 37, 38, and 39 The Commodity Futures Trading Commission (Commission or CFTC) is proposing regulations that would establish a schedule to phase in compliance with certain new statutory provisions enacted under Title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act (Dodd-Frank Act). These provisions include the clearing requirement under new section 2(h)(1)(A) of the Commodity Exchange Act (CEA or Act), and the trade execution requirement under new section 2(h)(8)(A) of the CEA. The proposed schedules would provide relief in the form of additional time for compliance with these requirements. This relief is intended to facilitate the transition to the new regulatory regime established by the Dodd-Frank Act in an orderly manner that does not unduly disrupt markets and transactions. The Commission requests comment on the proposed compliance schedules for these clearing and trade execution requirements.
GPO FDSys XML | Text type regulations.gov FR Doc. 2011-24124 RIN 3038-AD60 COMMODITY FUTURES TRADING COMMISSION Notice of proposed rulemaking. Submit comments on or before November 4, 2011. 17 CFR Parts 37, 38, and 39 The Commodity Futures Trading Commission (Commission or CFTC) is proposing regulations that would establish a schedule to phase in compliance with certain new statutory provisions enacted under Title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act (Dodd-Frank Act). These provisions include the clearing requirement under new section 2(h)(1)(A) of the Commodity Exchange Act (CEA or Act), and the trade execution requirement under new section 2(h)(8)(A) of the CEA. The proposed schedules would provide relief in the form of additional time for compliance with these requirements. This relief is intended to facilitate the transition to the new regulatory regime established by the Dodd-Frank Act in an orderly manner that does not unduly disrupt markets and transactions. The Commission requests comment on the proposed compliance schedules for these clearing and trade execution requirements.
GPO FDSys XML | Text type regulations.gov FR Doc. 2011-24124 RIN 3038-AD60 COMMODITY FUTURES TRADING COMMISSION Notice of proposed rulemaking. Submit comments on or before November 4, 2011. 17 CFR Parts 37, 38, and 39 The Commodity Futures Trading Commission (Commission or CFTC) is proposing regulations that would establish a schedule to phase in compliance with certain new statutory provisions enacted under Title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act (Dodd-Frank Act). These provisions include the clearing requirement under new section 2(h)(1)(A) of the Commodity Exchange Act (CEA or Act), and the trade execution requirement under new section 2(h)(8)(A) of the CEA. The proposed schedules would provide relief in the form of additional time for compliance with these requirements. This relief is intended to facilitate the transition to the new regulatory regime established by the Dodd-Frank Act in an orderly manner that does not unduly disrupt markets and transactions. The Commission requests comment on the proposed compliance schedules for these clearing and trade execution requirements.
GPO FDSys XML | Text type regulations.gov FR Doc. 2011-23732 RIN File No. S7-19-11 Release No. PA-47 SECURITIES AND EXCHANGE COMMISSION Final rule. Effective Date: October 17, 2011. 17 CFR Part 200 The Securities and Exchange Commission (“SEC” or “Commission”) is adopting a rule to amend its Privacy Act regulations to exempt portions of three new systems of records and to make technical amendments to its current inventory of exempted systems of records. Specifically, application of the exemptions to the three new systems of records is necessary to protect information compiled for law enforcement purposes.
GPO FDSys XML | Text type regulations.gov FR Doc. 2011-23155 RIN COMMODITY FUTURES TRADING COMMISSION Final rules; interpretation. Effective September 12, 2011. 17 CFR Part 5 The Commodity Futures Trading Commission (Commission or CFTC) is amending its regulations governing off-exchange foreign currency transactions with members of the retail public ( i.e., retail forex transactions). These amendments (Amendments) are necessary to incorporate into Part 5 of the Commission's regulations changes made to the Commodity Exchange Act (CEA) by the Dodd-Frank Wall Street Reform and Consumer Protection Act (Dodd-Frank Act). The Commission is also issuing certain related technical interpretations of various provisions of the CEA as amended by the Dodd-Frank Act with respect to retail forex transactions.
GPO FDSys XML | Text type regulations.gov FR Doc. 2011-22895 RIN Release Nos. 33-9256 34-65244 39-2478 IC-29780 SECURITIES AND EXCHANGE COMMISSION Final rule amendments. Effective Date: September 9, 2011. 17 CFR Parts 239, 249, 269 and 274 The Securities and Exchange Commission (“Commission”) is amending Form ID to include additional applicant types in order to facilitate processing of the form. Form ID is the application for access codes to file on the Commission's Electronic Data Gathering, Analysis, and Retrieval (“EDGAR”) system. The purpose of introducing these new applicant types is to improve the Commission's internal procedures for processing filings, including by routing Form ID filings to the appropriate internal office or division.
GPO FDSys XML | Text type regulations.gov FR Doc. 2011-22895 RIN Release Nos. 33-9256 34-65244 39-2478 IC-29780 SECURITIES AND EXCHANGE COMMISSION Final rule amendments. Effective Date: September 9, 2011. 17 CFR Parts 239, 249, 269 and 274 The Securities and Exchange Commission (“Commission”) is amending Form ID to include additional applicant types in order to facilitate processing of the form. Form ID is the application for access codes to file on the Commission's Electronic Data Gathering, Analysis, and Retrieval (“EDGAR”) system. The purpose of introducing these new applicant types is to improve the Commission's internal procedures for processing filings, including by routing Form ID filings to the appropriate internal office or division.
GPO FDSys XML | Text type regulations.gov FR Doc. 2011-22895 RIN Release Nos. 33-9256 34-65244 39-2478 IC-29780 SECURITIES AND EXCHANGE COMMISSION Final rule amendments. Effective Date: September 9, 2011. 17 CFR Parts 239, 249, 269 and 274 The Securities and Exchange Commission (“Commission”) is amending Form ID to include additional applicant types in order to facilitate processing of the form. Form ID is the application for access codes to file on the Commission's Electronic Data Gathering, Analysis, and Retrieval (“EDGAR”) system. The purpose of introducing these new applicant types is to improve the Commission's internal procedures for processing filings, including by routing Form ID filings to the appropriate internal office or division.
GPO FDSys XML | Text type regulations.gov FR Doc. 2011-22895 RIN Release Nos. 33-9256 34-65244 39-2478 IC-29780 SECURITIES AND EXCHANGE COMMISSION Final rule amendments. Effective Date: September 9, 2011. 17 CFR Parts 239, 249, 269 and 274 The Securities and Exchange Commission (“Commission”) is amending Form ID to include additional applicant types in order to facilitate processing of the form. Form ID is the application for access codes to file on the Commission's Electronic Data Gathering, Analysis, and Retrieval (“EDGAR”) system. The purpose of introducing these new applicant types is to improve the Commission's internal procedures for processing filings, including by routing Form ID filings to the appropriate internal office or division.
GPO FDSys XML | Text type regulations.gov FR Doc. 2011-22724 RIN 3235-AL22 Release No. IC-29776 File No. S7-33-11 SECURITIES AND EXCHANGE COMMISSION Concept release; request for comments. Comments should be received on or before November 7, 2011. 17 CFR Part 271 The Securities and Exchange Commission (the “Commission”) and its staff are reviewing the use of derivatives by management investment companies registered under the Investment Company Act of 1940 (the “Investment Company Act” or “Act”) and companies that have elected to be treated as business development companies (“BDCs”) under the Act (collectively, “funds”). To assist in this review, the Commission is issuing this concept release and request for comments on a wide range of issues relevant to the use of derivatives by funds, including the potential implications for fund leverage, diversification, exposure to certain securities-related issuers, portfolio concentration, valuation, and related matters. In addition to the specific issues highlighted for comment, the Commission invites members of the public to address any other matters that they believe are relevant to the use of derivatives by funds. The Commission intends to consider the comments to help determine whether regulatory initiatives or guidance are needed to improve the current regulatory regime for funds and, if so, the nature of any such initiatives or guidance.
GPO FDSys XML | Text type regulations.gov FR Doc. 2011-22771 RIN 3235-AL21 Release No. IC-29778 File No. S7-34-11 SECURITIES AND EXCHANGE COMMISSION Concept release; request for comments. Comments should be received on or before November 7, 2011. 17 CFR Part 270 The Securities and Exchange Commission (“Commission”) and its staff (“Commission staff” or “staff”) are reviewing interpretive issues under the Investment Company Act of 1940 (“Investment Company Act” or “Act”) relating to the status under the Act of companies that are engaged in the business of acquiring mortgages and mortgage-related instruments and that rely on the exclusion from the definition of investment company in Section 3(c)(5)(C) of the Act (together, “mortgage-related pools”). This review is focusing, among others, on certain real estate investment trusts (“REITs”). To help facilitate this review, the Commission requests information about these companies and how Section 3(c)(5)(C) of the Act is interpreted by, and affects investors in, these companies. The Commission solicits commenters' views about the application of the Investment Company Act to mortgage-related pools, including suggestions on the steps that the Commission should take to provide greater clarity, consistency or regulatory certainty with respect to Section 3(c)(5)(C).
GPO FDSys XML | Text type regulations.gov FR Doc. 2011-22772 RIN 3235-AL03 Release No. IC-29779 File Nos. S7-35-11 SECURITIES AND EXCHANGE COMMISSION Advance notice of proposed rulemaking; withdrawal. Comments should be received on or before November 7, 2011. 17 CFR Part 270 The Commission is considering proposing amendments to Rule 3a-7 under the Investment Company Act of 1940 (“Investment Company Act” or “Act”), the rule that provides certain asset-backed issuers with a conditional exclusion from the definition of investment company. Amendments to Rule 3a-7 that the Commission may consider could reflect market developments since 1992, when Rule 3a-7 was adopted, and recent developments affecting asset-backed issuers, including the passage of the Dodd-Frank Wall Street Reform and Consumer Protection Act (the “Dodd-Frank Act”) and the Commission's recent rulemakings regarding the asset-backed securities markets. The Commission is withdrawing its 2008 proposal to amend Rule 3a-7, which was published July 11, 2008.
GPO FDSys XML | Text type regulations.gov FR Doc. 2011-22257 RIN 3235-AK75 File No. S7-24-10 Release Nos. 33-9175A 34-63741A SECURITIES AND EXCHANGE COMMISSION Final rule; correcting amendment. Effective Date: September 1, 2011. 17 CFR PART 240 We are making a technical correction to Rule 15Ga-1 adopted in Release No. 33-9175 (January 20, 2011), which was published in the Federal Register on January 26, 2011. The document contained an incorrect paragraph reference in an instruction to Rule 15Ga-1. This correction is being published to correct the paragraph reference.
GPO FDSys XML | Text type regulations.gov FR Doc. 2011-20817 RIN 3038-AD20 COMMODITY FUTURES TRADING COMMISSION Final rule. Effective date is October 31, 2011. Applicants at that time may apply for registration as SDRs but are not required to do so. Mandatory registration and compliance with the registration rules will occur upon the effective date of the swap definition rulemaking, which the Commission will publish at a later date. 17 CFR Part 49 The Commodity Futures Trading Commission (“CFTC” or “Commission”) is adopting its regulations to implement section 21 of the Commodity Exchange Act (“CEA” or “Act”), which establishes registration requirements, statutory duties, core principles and certain compliance obligations for registered swap data repositories (“SDRs”). Section 21 of the CEA was added by section 728 of the Dodd-Frank Wall Street Reform and Consumer Protection Act (“Dodd-Frank Act”).
GPO FDSys XML | Text type regulations.gov FR Doc. 2011-20423 RIN 3038-AD04 COMMODITY FUTURES TRADING COMMISSION Final rules. Effective Date: These Final Rules will become effective upon October 24, 2011. 17 CFR Part 165 The Commission is adopting Final Rules and new forms to implement Section 23 of the Commodity Exchange Act (“CEA” or “Act”) entitled “Commodity Whistleblower Incentives and Protection.” The Dodd-Frank Wall Street Reform and Consumer Protection Act, enacted on July 21, 2010 (“Dodd-Frank Act”), established a whistleblower program that requires the Commission to pay an award, under regulations prescribed by the Commission and subject to certain limitations, to eligible whistleblowers who voluntarily provide the Commission with original information about a violation of the CEA that leads to the successful enforcement of a covered judicial or administrative action, or a related action. The Dodd-Frank Act also prohibits retaliation by employers against individuals who provide the Commission with information about possible CEA violations.
GPO FDSys XML | Text type regulations.gov FR Doc. 2011-21500 RIN 3235-AK89 File No. S7-02-11 Release No. 34-65148 SECURITIES AND EXCHANGE COMMISSION Final rule. Effective Date: September 22, 2011. 17 CFR Parts 240 and 249 Section 942(a) of the Dodd-Frank Wall Street Reform and Consumer Protection Act eliminated the automatic suspension of the duty to file under Section 15(d) of the Securities Exchange Act of 1934 for asset-backed securities issuers and granted the Commission the authority to issue rules providing for the suspension or termination of such duty. We are adopting rules to provide certain thresholds for suspension of the reporting obligations for asset-backed securities issuers. We are also amending our rules relating to the Exchange Act reporting obligations of asset-backed securities issuers in light of these statutory changes.
GPO FDSys XML | Text type regulations.gov FR Doc. 2011-21500 RIN 3235-AK89 File No. S7-02-11 Release No. 34-65148 SECURITIES AND EXCHANGE COMMISSION Final rule. Effective Date: September 22, 2011. 17 CFR Parts 240 and 249 Section 942(a) of the Dodd-Frank Wall Street Reform and Consumer Protection Act eliminated the automatic suspension of the duty to file under Section 15(d) of the Securities Exchange Act of 1934 for asset-backed securities issuers and granted the Commission the authority to issue rules providing for the suspension or termination of such duty. We are adopting rules to provide certain thresholds for suspension of the reporting obligations for asset-backed securities issuers. We are also amending our rules relating to the Exchange Act reporting obligations of asset-backed securities issuers in light of these statutory changes.
GPO FDSys XML | Text type regulations.gov FR Doc. 2011-20413 RIN Release Nos. 33-9250 34-65052 IC-29748 SECURITIES AND EXCHANGE COMMISSION Final rule; technical amendments. Effective Date: August 12, 2011. 17 CFR Parts 210, 229, 230, 239, 240, 249, 270, and 274 The Securities and Exchange Commission (“Commission”) is adopting technical amendments to various rules and forms under the Securities Act of 1933, the Securities Exchange Act of 1934, and the Investment Company Act of 1940. These revisions are necessary to conform those rules and forms to the FASB Accounting Standards Codification TM (“FASB Codification”). 1 The technical amendments include revision of certain rules in Regulation S-X, certain items in Regulation S-K, and various rules and forms prescribed under the Securities Act, Exchange Act and Investment Company Act. 1 “FASB Accounting Standards Codification” is a registered trademark of the Financial Accounting Foundation.
GPO FDSys XML | Text type regulations.gov FR Doc. 2011-20413 RIN Release Nos. 33-9250 34-65052 IC-29748 SECURITIES AND EXCHANGE COMMISSION Final rule; technical amendments. Effective Date: August 12, 2011. 17 CFR Parts 210, 229, 230, 239, 240, 249, 270, and 274 The Securities and Exchange Commission (“Commission”) is adopting technical amendments to various rules and forms under the Securities Act of 1933, the Securities Exchange Act of 1934, and the Investment Company Act of 1940. These revisions are necessary to conform those rules and forms to the FASB Accounting Standards Codification TM (“FASB Codification”). 1 The technical amendments include revision of certain rules in Regulation S-X, certain items in Regulation S-K, and various rules and forms prescribed under the Securities Act, Exchange Act and Investment Company Act. 1 “FASB Accounting Standards Codification” is a registered trademark of the Financial Accounting Foundation.
GPO FDSys XML | Text type regulations.gov FR Doc. 2011-20413 RIN Release Nos. 33-9250 34-65052 IC-29748 SECURITIES AND EXCHANGE COMMISSION Final rule; technical amendments. Effective Date: August 12, 2011. 17 CFR Parts 210, 229, 230, 239, 240, 249, 270, and 274 The Securities and Exchange Commission (“Commission”) is adopting technical amendments to various rules and forms under the Securities Act of 1933, the Securities Exchange Act of 1934, and the Investment Company Act of 1940. These revisions are necessary to conform those rules and forms to the FASB Accounting Standards Codification TM (“FASB Codification”). 1 The technical amendments include revision of certain rules in Regulation S-X, certain items in Regulation S-K, and various rules and forms prescribed under the Securities Act, Exchange Act and Investment Company Act. 1 “FASB Accounting Standards Codification” is a registered trademark of the Financial Accounting Foundation.
GPO FDSys XML | Text type regulations.gov FR Doc. 2011-20413 RIN Release Nos. 33-9250 34-65052 IC-29748 SECURITIES AND EXCHANGE COMMISSION Final rule; technical amendments. Effective Date: August 12, 2011. 17 CFR Parts 210, 229, 230, 239, 240, 249, 270, and 274 The Securities and Exchange Commission (“Commission”) is adopting technical amendments to various rules and forms under the Securities Act of 1933, the Securities Exchange Act of 1934, and the Investment Company Act of 1940. These revisions are necessary to conform those rules and forms to the FASB Accounting Standards Codification TM (“FASB Codification”). 1 The technical amendments include revision of certain rules in Regulation S-X, certain items in Regulation S-K, and various rules and forms prescribed under the Securities Act, Exchange Act and Investment Company Act. 1 “FASB Accounting Standards Codification” is a registered trademark of the Financial Accounting Foundation.
GPO FDSys XML | Text type regulations.gov FR Doc. 2011-20413 RIN Release Nos. 33-9250 34-65052 IC-29748 SECURITIES AND EXCHANGE COMMISSION Final rule; technical amendments. Effective Date: August 12, 2011. 17 CFR Parts 210, 229, 230, 239, 240, 249, 270, and 274 The Securities and Exchange Commission (“Commission”) is adopting technical amendments to various rules and forms under the Securities Act of 1933, the Securities Exchange Act of 1934, and the Investment Company Act of 1940. These revisions are necessary to conform those rules and forms to the FASB Accounting Standards Codification TM (“FASB Codification”). 1 The technical amendments include revision of certain rules in Regulation S-X, certain items in Regulation S-K, and various rules and forms prescribed under the Securities Act, Exchange Act and Investment Company Act. 1 “FASB Accounting Standards Codification” is a registered trademark of the Financial Accounting Foundation.
GPO FDSys XML | Text type regulations.gov FR Doc. 2011-20413 RIN Release Nos. 33-9250 34-65052 IC-29748 SECURITIES AND EXCHANGE COMMISSION Final rule; technical amendments. Effective Date: August 12, 2011. 17 CFR Parts 210, 229, 230, 239, 240, 249, 270, and 274 The Securities and Exchange Commission (“Commission”) is adopting technical amendments to various rules and forms under the Securities Act of 1933, the Securities Exchange Act of 1934, and the Investment Company Act of 1940. These revisions are necessary to conform those rules and forms to the FASB Accounting Standards Codification TM (“FASB Codification”). 1 The technical amendments include revision of certain rules in Regulation S-X, certain items in Regulation S-K, and various rules and forms prescribed under the Securities Act, Exchange Act and Investment Company Act. 1 “FASB Accounting Standards Codification” is a registered trademark of the Financial Accounting Foundation.
GPO FDSys XML | Text type regulations.gov FR Doc. 2011-20413 RIN Release Nos. 33-9250 34-65052 IC-29748 SECURITIES AND EXCHANGE COMMISSION Final rule; technical amendments. Effective Date: August 12, 2011. 17 CFR Parts 210, 229, 230, 239, 240, 249, 270, and 274 The Securities and Exchange Commission (“Commission”) is adopting technical amendments to various rules and forms under the Securities Act of 1933, the Securities Exchange Act of 1934, and the Investment Company Act of 1940. These revisions are necessary to conform those rules and forms to the FASB Accounting Standards Codification TM (“FASB Codification”). 1 The technical amendments include revision of certain rules in Regulation S-X, certain items in Regulation S-K, and various rules and forms prescribed under the Securities Act, Exchange Act and Investment Company Act. 1 “FASB Accounting Standards Codification” is a registered trademark of the Financial Accounting Foundation.
GPO FDSys XML | Text type regulations.gov FR Doc. 2011-20413 RIN Release Nos. 33-9250 34-65052 IC-29748 SECURITIES AND EXCHANGE COMMISSION Final rule; technical amendments. Effective Date: August 12, 2011. 17 CFR Parts 210, 229, 230, 239, 240, 249, 270, and 274 The Securities and Exchange Commission (“Commission”) is adopting technical amendments to various rules and forms under the Securities Act of 1933, the Securities Exchange Act of 1934, and the Investment Company Act of 1940. These revisions are necessary to conform those rules and forms to the FASB Accounting Standards Codification TM (“FASB Codification”). 1 The technical amendments include revision of certain rules in Regulation S-X, certain items in Regulation S-K, and various rules and forms prescribed under the Securities Act, Exchange Act and Investment Company Act. 1 “FASB Accounting Standards Codification” is a registered trademark of the Financial Accounting Foundation.
GPO FDSys XML | Text type regulations.gov FR Doc. 2011-20445 RIN 3235-AL20 Release No. 33-9251 File No. S7-31-11 SECURITIES AND EXCHANGE COMMISSION Proposed rule. Comments should be received on or before September 12, 2011. 17 CFR Part 230 The Securities and Exchange Commission (“SEC” or “Commission”) proposes for comment an amendment to Rule 146 under Section 18 of the Securities Act of 1933 (“Securities Act”), as amended, to designate certain securities on BATS Exchange, Inc. (“BATS” or “Exchange”) as covered securities for purposes of Section 18 of the Securities Act. Covered securities under Section 18 of the Securities Act are exempt from state law registration requirements.
GPO FDSys XML | Text type regulations.gov FR Doc. 2011-20337 RIN 3038-AD21 COMMODITY FUTURES TRADING COMMISSION Final rule. Effective Date —December 31, 2011. 17 CFR Part 35 The Commodity Futures Trading Commission (“Commission” or “CFTC”) is charged with proposing rules to implement new statutory provisions enacted by Title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act (“Dodd-Frank Act”). The Dodd-Frank Act provides that swaps in an agricultural commodity (as defined by the Commission) are prohibited unless entered into pursuant to a rule, regulation or order of the Commission adopted pursuant to certain provisions of the Commodity Exchange Act (“CEA” or “Act”). On February 3, 2011, the Commission requested comment on a set of proposed rules that would, among other things, implement regulations whereby swaps in agricultural commodities may transact subject to the same rules as all other swaps. The proposed rules for swaps in an agricultural commodity would repeal and replace the Commission's current regulations concerning the exemption of swap agreements. After reviewing the comments submitted in response to the proposed rules, the Commission has determined to issue these final rules for swaps in an agricultural commodity in the form as originally proposed. The February 3, 2011, proposed rules also included provisions that would substantially amend the Commission's regulations regarding commodity option transactions. However, in this final rule the Commission is only issuing the rules for swaps in an agricultural commodity. The proposed rules for commodity option transactions will be addressed at a later date.
GPO FDSys XML | Text type regulations.gov FR Doc. 2011-19824 RIN Release Nos. 33-9246 34-64996 39-2477 IC-29740 SECURITIES AND EXCHANGE COMMISSION Final rule. Effective Date: August 5, 2011. The incorporation by reference of the EDGAR Filer Manual is approved by the Director of the Federal Register as of August 5, 2011. 17 CFR Part 232 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 are being made primarily to retire the offline EDGARLink tool and the associated templates; to support the electronic filing of submission form types 13H, 13H-A, 13H-Q, 13H-I, 13H-T, 13H-R, for large trader registration, and N-PX-CR, N-PX-FM, N-PX-NT, N-PX-VR and their amendments; to update submission form types N-PX and N-PX/A; to update the OMB information on Forms 3, 4, 5, and 25-NSE; to support minor validation updates for Form N-MFP submissions; and to add four new applicant types to the Form ID. The EDGAR system is scheduled to be upgraded to support this functionality on August 1, 2011. The filer manual is also being revised to address changes previously made in EDGAR.
GPO FDSys XML | Text type regulations.gov FR Doc. 2011-19874 RIN 3038-AD51 COMMODITY FUTURES TRADING COMMISSION Notice of proposed rulemaking; Correction. 17 CFR Parts 1, 23, and 39 This document corrects incorrect text published in the Federal Register of August 1, 2011, regarding Customer Clearing Documentation and Timing of Acceptance for Clearing.
GPO FDSys XML | Text type regulations.gov FR Doc. 2011-19874 RIN 3038-AD51 COMMODITY FUTURES TRADING COMMISSION Notice of proposed rulemaking; Correction. 17 CFR Parts 1, 23, and 39 This document corrects incorrect text published in the Federal Register of August 1, 2011, regarding Customer Clearing Documentation and Timing of Acceptance for Clearing.
GPO FDSys XML | Text type regulations.gov FR Doc. 2011-19874 RIN 3038-AD51 COMMODITY FUTURES TRADING COMMISSION Notice of proposed rulemaking; Correction. 17 CFR Parts 1, 23, and 39 This document corrects incorrect text published in the Federal Register of August 1, 2011, regarding Customer Clearing Documentation and Timing of Acceptance for Clearing.
GPO FDSys XML | Text type regulations.gov FR Doc. 2011-19300 RIN 3235-AK37 Release Nos. 33-9244 34-64968 File No. S7-08-10 SECURITIES AND EXCHANGE COMMISSION Re-proposed rule. Comments should be received on or before October 4, 2011. 17 CFR Parts 229, 230, 239 and 249 We are revising and re-proposing certain rules that were initially proposed in April 2010 related to asset-backed securities in light of the provisions added by the Dodd-Frank Wall Street Reform and Consumer Protection Act and comments received on our April 2010 proposals. Specifically, we are re-proposing registrant and transaction requirements related to shelf registration of asset-backed securities and changes to exhibit filing deadlines. In addition, we are requesting additional comment on our proposal to require asset-level information about the pool assets. We continue to consider the other matters in our April 2010 proposing release.
GPO FDSys XML | Text type regulations.gov FR Doc. 2011-19300 RIN 3235-AK37 Release Nos. 33-9244 34-64968 File No. S7-08-10 SECURITIES AND EXCHANGE COMMISSION Re-proposed rule. Comments should be received on or before October 4, 2011. 17 CFR Parts 229, 230, 239 and 249 We are revising and re-proposing certain rules that were initially proposed in April 2010 related to asset-backed securities in light of the provisions added by the Dodd-Frank Wall Street Reform and Consumer Protection Act and comments received on our April 2010 proposals. Specifically, we are re-proposing registrant and transaction requirements related to shelf registration of asset-backed securities and changes to exhibit filing deadlines. In addition, we are requesting additional comment on our proposal to require asset-level information about the pool assets. We continue to consider the other matters in our April 2010 proposing release.
GPO FDSys XML | Text type regulations.gov FR Doc. 2011-19300 RIN 3235-AK37 Release Nos. 33-9244 34-64968 File No. S7-08-10 SECURITIES AND EXCHANGE COMMISSION Re-proposed rule. Comments should be received on or before October 4, 2011. 17 CFR Parts 229, 230, 239 and 249 We are revising and re-proposing certain rules that were initially proposed in April 2010 related to asset-backed securities in light of the provisions added by the Dodd-Frank Wall Street Reform and Consumer Protection Act and comments received on our April 2010 proposals. Specifically, we are re-proposing registrant and transaction requirements related to shelf registration of asset-backed securities and changes to exhibit filing deadlines. In addition, we are requesting additional comment on our proposal to require asset-level information about the pool assets. We continue to consider the other matters in our April 2010 proposing release.
GPO FDSys XML | Text type regulations.gov FR Doc. 2011-19300 RIN 3235-AK37 Release Nos. 33-9244 34-64968 File No. S7-08-10 SECURITIES AND EXCHANGE COMMISSION Re-proposed rule. Comments should be received on or before October 4, 2011. 17 CFR Parts 229, 230, 239 and 249 We are revising and re-proposing certain rules that were initially proposed in April 2010 related to asset-backed securities in light of the provisions added by the Dodd-Frank Wall Street Reform and Consumer Protection Act and comments received on our April 2010 proposals. Specifically, we are re-proposing registrant and transaction requirements related to shelf registration of asset-backed securities and changes to exhibit filing deadlines. In addition, we are requesting additional comment on our proposal to require asset-level information about the pool assets. We continue to consider the other matters in our April 2010 proposing release.
GPO FDSys XML | Text type regulations.gov FR Doc. C1-2011-16758 RIN 3235-AL10 Release No. 34-64766 File No. S7-25-11 SECURITIES AND EXCHANGE COMMISSION 17 CFR Part 240 GPO FDSys XML | Text type regulations.gov FR Doc. 2011-19421 RIN 3235-AK18 File No. S7-18-08 Release No. 33-9245 34-64975 SECURITIES AND EXCHANGE COMMISSION Final rule. Effective Date: This rule is effective September 2, 2011 except for the following amendments, which are effective December 31, 2012: • Amendatory instruction 2 amending 17 CFR 200.800; • Amendatory instruction 4 amending 17 CFR 229.10; • Amendatory instruction 10 amending 17 CFR 230.467; • Amendatory instruction 11 amending 17 CFR 230.473; • Amendatory instruction 13 amending 17 CFR 232.405; • Amendatory instruction 21 amending 17 CFR 239.38; • Amendatory instruction 22 amending Form F-8 [referenced in 17 CFR 239.38]; • Amendatory instruction 23 removing Form F-9 [referenced in § 239.39]; • Amendatory instruction 24 amending 17 CFR 239.40; • Amendatory instruction 25 amending Form F-10 [referenced in 17 CFR 239.40]; • Amendatory instruction 26 amending 17 CFR 239.41; • Amendatory instruction 27 amending Form F-80 [referenced in 17 CFR 239.41]; • Amendatory instruction 28 amending 17 CFR 239.42; • Amendatory instruction 29 amending Form F-X [referenced in 17 CFR 239.42]; • Amendatory instruction 33 amending 17 CFR 249.240f; and • Amendatory instruction 34 amending Form 40-F [referenced in 17 CFR 249.240f]. 17 CFR Parts 200, 229, 230, 232, 239, 240, and 249 In light of the provisions of Section 939A of the Dodd-Frank Wall Street Reform and Consumer Protection Act, we are adopting amendments to replace rule and form requirements under the Securities Act of 1933 and the Securities Exchange Act of 1934 for securities offering or issuer disclosure rules that rely on, or make special accommodations for, security ratings (for example, Forms S-3 and F-3 eligibility criteria) with alternative requirements.
GPO FDSys XML | Text type regulations.gov FR Doc. 2011-19421 RIN 3235-AK18 File No. S7-18-08 Release No. 33-9245 34-64975 SECURITIES AND EXCHANGE COMMISSION Final rule. Effective Date: This rule is effective September 2, 2011 except for the following amendments, which are effective December 31, 2012: • Amendatory instruction 2 amending 17 CFR 200.800; • Amendatory instruction 4 amending 17 CFR 229.10; • Amendatory instruction 10 amending 17 CFR 230.467; • Amendatory instruction 11 amending 17 CFR 230.473; • Amendatory instruction 13 amending 17 CFR 232.405; • Amendatory instruction 21 amending 17 CFR 239.38; • Amendatory instruction 22 amending Form F-8 [referenced in 17 CFR 239.38]; • Amendatory instruction 23 removing Form F-9 [referenced in § 239.39]; • Amendatory instruction 24 amending 17 CFR 239.40; • Amendatory instruction 25 amending Form F-10 [referenced in 17 CFR 239.40]; • Amendatory instruction 26 amending 17 CFR 239.41; • Amendatory instruction 27 amending Form F-80 [referenced in 17 CFR 239.41]; • Amendatory instruction 28 amending 17 CFR 239.42; • Amendatory instruction 29 amending Form F-X [referenced in 17 CFR 239.42]; • Amendatory instruction 33 amending 17 CFR 249.240f; and • Amendatory instruction 34 amending Form 40-F [referenced in 17 CFR 249.240f]. 17 CFR Parts 200, 229, 230, 232, 239, 240, and 249 In light of the provisions of Section 939A of the Dodd-Frank Wall Street Reform and Consumer Protection Act, we are adopting amendments to replace rule and form requirements under the Securities Act of 1933 and the Securities Exchange Act of 1934 for securities offering or issuer disclosure rules that rely on, or make special accommodations for, security ratings (for example, Forms S-3 and F-3 eligibility criteria) with alternative requirements.
GPO FDSys XML | Text type regulations.gov FR Doc. 2011-19421 RIN 3235-AK18 File No. S7-18-08 Release No. 33-9245 34-64975 SECURITIES AND EXCHANGE COMMISSION Final rule. Effective Date: This rule is effective September 2, 2011 except for the following amendments, which are effective December 31, 2012: • Amendatory instruction 2 amending 17 CFR 200.800; • Amendatory instruction 4 amending 17 CFR 229.10; • Amendatory instruction 10 amending 17 CFR 230.467; • Amendatory instruction 11 amending 17 CFR 230.473; • Amendatory instruction 13 amending 17 CFR 232.405; • Amendatory instruction 21 amending 17 CFR 239.38; • Amendatory instruction 22 amending Form F-8 [referenced in 17 CFR 239.38]; • Amendatory instruction 23 removing Form F-9 [referenced in § 239.39]; • Amendatory instruction 24 amending 17 CFR 239.40; • Amendatory instruction 25 amending Form F-10 [referenced in 17 CFR 239.40]; • Amendatory instruction 26 amending 17 CFR 239.41; • Amendatory instruction 27 amending Form F-80 [referenced in 17 CFR 239.41]; • Amendatory instruction 28 amending 17 CFR 239.42; • Amendatory instruction 29 amending Form F-X [referenced in 17 CFR 239.42]; • Amendatory instruction 33 amending 17 CFR 249.240f; and • Amendatory instruction 34 amending Form 40-F [referenced in 17 CFR 249.240f]. 17 CFR Parts 200, 229, 230, 232, 239, 240, and 249 In light of the provisions of Section 939A of the Dodd-Frank Wall Street Reform and Consumer Protection Act, we are adopting amendments to replace rule and form requirements under the Securities Act of 1933 and the Securities Exchange Act of 1934 for securities offering or issuer disclosure rules that rely on, or make special accommodations for, security ratings (for example, Forms S-3 and F-3 eligibility criteria) with alternative requirements.
GPO FDSys XML | Text type regulations.gov FR Doc. 2011-19421 RIN 3235-AK18 File No. S7-18-08 Release No. 33-9245 34-64975 SECURITIES AND EXCHANGE COMMISSION Final rule. Effective Date: This rule is effective September 2, 2011 except for the following amendments, which are effective December 31, 2012: • Amendatory instruction 2 amending 17 CFR 200.800; • Amendatory instruction 4 amending 17 CFR 229.10; • Amendatory instruction 10 amending 17 CFR 230.467; • Amendatory instruction 11 amending 17 CFR 230.473; • Amendatory instruction 13 amending 17 CFR 232.405; • Amendatory instruction 21 amending 17 CFR 239.38; • Amendatory instruction 22 amending Form F-8 [referenced in 17 CFR 239.38]; • Amendatory instruction 23 removing Form F-9 [referenced in § 239.39]; • Amendatory instruction 24 amending 17 CFR 239.40; • Amendatory instruction 25 amending Form F-10 [referenced in 17 CFR 239.40]; • Amendatory instruction 26 amending 17 CFR 239.41; • Amendatory instruction 27 amending Form F-80 [referenced in 17 CFR 239.41]; • Amendatory instruction 28 amending 17 CFR 239.42; • Amendatory instruction 29 amending Form F-X [referenced in 17 CFR 239.42]; • Amendatory instruction 33 amending 17 CFR 249.240f; and • Amendatory instruction 34 amending Form 40-F [referenced in 17 CFR 249.240f]. 17 CFR Parts 200, 229, 230, 232, 239, 240, and 249 In light of the provisions of Section 939A of the Dodd-Frank Wall Street Reform and Consumer Protection Act, we are adopting amendments to replace rule and form requirements under the Securities Act of 1933 and the Securities Exchange Act of 1934 for securities offering or issuer disclosure rules that rely on, or make special accommodations for, security ratings (for example, Forms S-3 and F-3 eligibility criteria) with alternative requirements.
GPO FDSys XML | Text type regulations.gov FR Doc. 2011-19421 RIN 3235-AK18 File No. S7-18-08 Release No. 33-9245 34-64975 SECURITIES AND EXCHANGE COMMISSION Final rule. Effective Date: This rule is effective September 2, 2011 except for the following amendments, which are effective December 31, 2012: • Amendatory instruction 2 amending 17 CFR 200.800; • Amendatory instruction 4 amending 17 CFR 229.10; • Amendatory instruction 10 amending 17 CFR 230.467; • Amendatory instruction 11 amending 17 CFR 230.473; • Amendatory instruction 13 amending 17 CFR 232.405; • Amendatory instruction 21 amending 17 CFR 239.38; • Amendatory instruction 22 amending Form F-8 [referenced in 17 CFR 239.38]; • Amendatory instruction 23 removing Form F-9 [referenced in § 239.39]; • Amendatory instruction 24 amending 17 CFR 239.40; • Amendatory instruction 25 amending Form F-10 [referenced in 17 CFR 239.40]; • Amendatory instruction 26 amending 17 CFR 239.41; • Amendatory instruction 27 amending Form F-80 [referenced in 17 CFR 239.41]; • Amendatory instruction 28 amending 17 CFR 239.42; • Amendatory instruction 29 amending Form F-X [referenced in 17 CFR 239.42]; • Amendatory instruction 33 amending 17 CFR 249.240f; and • Amendatory instruction 34 amending Form 40-F [referenced in 17 CFR 249.240f]. 17 CFR Parts 200, 229, 230, 232, 239, 240, and 249 In light of the provisions of Section 939A of the Dodd-Frank Wall Street Reform and Consumer Protection Act, we are adopting amendments to replace rule and form requirements under the Securities Act of 1933 and the Securities Exchange Act of 1934 for securities offering or issuer disclosure rules that rely on, or make special accommodations for, security ratings (for example, Forms S-3 and F-3 eligibility criteria) with alternative requirements.
GPO FDSys XML | Text type regulations.gov FR Doc. 2011-19421 RIN 3235-AK18 File No. S7-18-08 Release No. 33-9245 34-64975 SECURITIES AND EXCHANGE COMMISSION Final rule. Effective Date: This rule is effective September 2, 2011 except for the following amendments, which are effective December 31, 2012: • Amendatory instruction 2 amending 17 CFR 200.800; • Amendatory instruction 4 amending 17 CFR 229.10; • Amendatory instruction 10 amending 17 CFR 230.467; • Amendatory instruction 11 amending 17 CFR 230.473; • Amendatory instruction 13 amending 17 CFR 232.405; • Amendatory instruction 21 amending 17 CFR 239.38; • Amendatory instruction 22 amending Form F-8 [referenced in 17 CFR 239.38]; • Amendatory instruction 23 removing Form F-9 [referenced in § 239.39]; • Amendatory instruction 24 amending 17 CFR 239.40; • Amendatory instruction 25 amending Form F-10 [referenced in 17 CFR 239.40]; • Amendatory instruction 26 amending 17 CFR 239.41; • Amendatory instruction 27 amending Form F-80 [referenced in 17 CFR 239.41]; • Amendatory instruction 28 amending 17 CFR 239.42; • Amendatory instruction 29 amending Form F-X [referenced in 17 CFR 239.42]; • Amendatory instruction 33 amending 17 CFR 249.240f; and • Amendatory instruction 34 amending Form 40-F [referenced in 17 CFR 249.240f]. 17 CFR Parts 200, 229, 230, 232, 239, 240, and 249 In light of the provisions of Section 939A of the Dodd-Frank Wall Street Reform and Consumer Protection Act, we are adopting amendments to replace rule and form requirements under the Securities Act of 1933 and the Securities Exchange Act of 1934 for securities offering or issuer disclosure rules that rely on, or make special accommodations for, security ratings (for example, Forms S-3 and F-3 eligibility criteria) with alternative requirements.
GPO FDSys XML | Text type regulations.gov FR Doc. 2011-19421 RIN 3235-AK18 File No. S7-18-08 Release No. 33-9245 34-64975 SECURITIES AND EXCHANGE COMMISSION Final rule. Effective Date: This rule is effective September 2, 2011 except for the following amendments, which are effective December 31, 2012: • Amendatory instruction 2 amending 17 CFR 200.800; • Amendatory instruction 4 amending 17 CFR 229.10; • Amendatory instruction 10 amending 17 CFR 230.467; • Amendatory instruction 11 amending 17 CFR 230.473; • Amendatory instruction 13 amending 17 CFR 232.405; • Amendatory instruction 21 amending 17 CFR 239.38; • Amendatory instruction 22 amending Form F-8 [referenced in 17 CFR 239.38]; • Amendatory instruction 23 removing Form F-9 [referenced in § 239.39]; • Amendatory instruction 24 amending 17 CFR 239.40; • Amendatory instruction 25 amending Form F-10 [referenced in 17 CFR 239.40]; • Amendatory instruction 26 amending 17 CFR 239.41; • Amendatory instruction 27 amending Form F-80 [referenced in 17 CFR 239.41]; • Amendatory instruction 28 amending 17 CFR 239.42; • Amendatory instruction 29 amending Form F-X [referenced in 17 CFR 239.42]; • Amendatory instruction 33 amending 17 CFR 249.240f; and • Amendatory instruction 34 amending Form 40-F [referenced in 17 CFR 249.240f]. 17 CFR Parts 200, 229, 230, 232, 239, 240, and 249 In light of the provisions of Section 939A of the Dodd-Frank Wall Street Reform and Consumer Protection Act, we are adopting amendments to replace rule and form requirements under the Securities Act of 1933 and the Securities Exchange Act of 1934 for securities offering or issuer disclosure rules that rely on, or make special accommodations for, security ratings (for example, Forms S-3 and F-3 eligibility criteria) with alternative requirements.
GPO FDSys XML | Text type regulations.gov FR Doc. 2011-19419 RIN 3235-AK55 Release No. 34-64976 File No. S7-10-10 SECURITIES AND EXCHANGE COMMISSION Final rule. Effective Date: October 3, 2011. Compliance Dates: December 1, 2011 for the requirement on large traders to identify to the Commission pursuant to Rule 13h-1(b). April 30, 2012 for broker-dealers to maintain records, report, and monitor large trader activity pursuant to Rule 13h-1(d), (e), and (f). 17 CFR PARTS 240 and 249 The Securities and Exchange Commission (“Commission”) is adopting new Rule 13h-1 and Form 13H under Section 13(h) of the Securities Exchange Act of 1934 (“Exchange Act”) to assist the Commission in both identifying, and obtaining trading information on, market participants that conduct a substantial amount of trading activity, as measured by volume or market value, in the U.S. securities markets. Rule 13h-1 will require a “large trader,” defined as a person whose transactions in NMS securities equal or exceed 2 million shares or $20 million during any calendar day, or 20 million shares or $200 million during any calendar month, to identify itself to the Commission and make certain disclosures to the Commission on Form 13H. Upon receipt of Form 13H, the Commission will assign to each large trader an identification number that will uniquely and uniformly identify the trader, which the large trader must then provide to its registered broker-dealers. Such registered broker-dealers will then be required to maintain records of two additional data elements in connection with transactions effected through accounts of such large traders (the large trader identification number, and the time transactions in the account are executed). In addition, the Commission is requiring that such broker-dealers report large trader transaction information to the Commission upon request through the Electronic Blue Sheets systems currently used by broker-dealers for reporting trade information. Finally, certain registered broker-dealers subject to the Rule will be required to perform limited monitoring of their customers' accounts for activity that may trigger the large trader identification requirements of Rule 13h-1. The large trader reporting requirements are designed to provide the Commission with a valuable source of useful data to support its investigative and enforcement activities, as well as facilitate the Commission's ability to assess the impact of large trader activity on the securities markets, to reconstruct trading activity following periods of unusual market volatility, and to analyze significant market events for regulatory purposes.
GPO FDSys XML | Text type regulations.gov FR Doc. 2011-19419 RIN 3235-AK55 Release No. 34-64976 File No. S7-10-10 SECURITIES AND EXCHANGE COMMISSION Final rule. Effective Date: October 3, 2011. Compliance Dates: December 1, 2011 for the requirement on large traders to identify to the Commission pursuant to Rule 13h-1(b). April 30, 2012 for broker-dealers to maintain records, report, and monitor large trader activity pursuant to Rule 13h-1(d), (e), and (f). 17 CFR PARTS 240 and 249 The Securities and Exchange Commission (“Commission”) is adopting new Rule 13h-1 and Form 13H under Section 13(h) of the Securities Exchange Act of 1934 (“Exchange Act”) to assist the Commission in both identifying, and obtaining trading information on, market participants that conduct a substantial amount of trading activity, as measured by volume or market value, in the U.S. securities markets. Rule 13h-1 will require a “large trader,” defined as a person whose transactions in NMS securities equal or exceed 2 million shares or $20 million during any calendar day, or 20 million shares or $200 million during any calendar month, to identify itself to the Commission and make certain disclosures to the Commission on Form 13H. Upon receipt of Form 13H, the Commission will assign to each large trader an identification number that will uniquely and uniformly identify the trader, which the large trader must then provide to its registered broker-dealers. Such registered broker-dealers will then be required to maintain records of two additional data elements in connection with transactions effected through accounts of such large traders (the large trader identification number, and the time transactions in the account are executed). In addition, the Commission is requiring that such broker-dealers report large trader transaction information to the Commission upon request through the Electronic Blue Sheets systems currently used by broker-dealers for reporting trade information. Finally, certain registered broker-dealers subject to the Rule will be required to perform limited monitoring of their customers' accounts for activity that may trigger the large trader identification requirements of Rule 13h-1. The large trader reporting requirements are designed to provide the Commission with a valuable source of useful data to support its investigative and enforcement activities, as well as facilitate the Commission's ability to assess the impact of large trader activity on the securities markets, to reconstruct trading activity following periods of unusual market volatility, and to analyze significant market events for regulatory purposes.
GPO FDSys XML | Text type regulations.gov FR Doc. 2011-19385 RIN 3038-AD07 COMMODITY FUTURES TRADING COMMISSION Final rule; Correction. Effective date: September 26, 2011. 17 CFR Part 40 This document corrects incorrect text published in the Federal Register of July 27, 2011, regarding Provisions Common to Registered Entities.
GPO FDSys XML | Text type regulations.gov FR Doc. 2011-19362 RIN 3038-AD51 COMMODITY FUTURES TRADING COMMISSION Notice of proposed rulemaking. Submit comments on or before September 30, 2011. 17 CFR Parts 1 and 23 The Commodity Futures Trading Commission (Commission or CFTC) is proposing rules to implement new statutory provisions enacted by Title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act. These proposed rules address risk management for cleared trades by futures commission merchants, swap dealers, and major swap participants that are clearing members.
GPO FDSys XML | Text type regulations.gov FR Doc. 2011-19362 RIN 3038-AD51 COMMODITY FUTURES TRADING COMMISSION Notice of proposed rulemaking. Submit comments on or before September 30, 2011. 17 CFR Parts 1 and 23 The Commodity Futures Trading Commission (Commission or CFTC) is proposing rules to implement new statutory provisions enacted by Title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act. These proposed rules address risk management for cleared trades by futures commission merchants, swap dealers, and major swap participants that are clearing members.
GPO FDSys XML | Text type regulations.gov FR Doc. 2011-19365 RIN 3038-AD51 COMMODITY FUTURES TRADING COMMISSION Notice of proposed rulemaking. Submit comments on or before September 30, 2011. 17 CFR Parts 1, 23, and 39 The Commodity Futures Trading Commission (Commission or CFTC) is proposing rules to implement new statutory provisions enacted by Title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act. These proposed rules address: The documentation between a customer and a futures commission merchant that clears on behalf of the customer, and the timing of acceptance or rejection of trades for clearing by derivatives clearing organizations and clearing members.
GPO FDSys XML | Text type regulations.gov FR Doc. 2011-19365 RIN 3038-AD51 COMMODITY FUTURES TRADING COMMISSION Notice of proposed rulemaking. Submit comments on or before September 30, 2011. 17 CFR Parts 1, 23, and 39 The Commodity Futures Trading Commission (Commission or CFTC) is proposing rules to implement new statutory provisions enacted by Title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act. These proposed rules address: The documentation between a customer and a futures commission merchant that clears on behalf of the customer, and the timing of acceptance or rejection of trades for clearing by derivatives clearing organizations and clearing members.
GPO FDSys XML | Text type regulations.gov FR Doc. 2011-19365 RIN 3038-AD51 COMMODITY FUTURES TRADING COMMISSION Notice of proposed rulemaking. Submit comments on or before September 30, 2011. 17 CFR Parts 1, 23, and 39 The Commodity Futures Trading Commission (Commission or CFTC) is proposing rules to implement new statutory provisions enacted by Title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act. These proposed rules address: The documentation between a customer and a futures commission merchant that clears on behalf of the customer, and the timing of acceptance or rejection of trades for clearing by derivatives clearing organizations and clearing members.
GPO FDSys XML | Text type regulations.gov FR Doc. 2011-18661 RIN 3038-AD07 COMMODITY FUTURES TRADING COMMISSION Final Rule. Effective date: September 26, 2011. 17 CFR Part 40 The Commodity Futures Trading Commission (“Commission”) is adopting regulations to implement certain statutory provisions of the Dodd-Frank Wall Street Reform and Consumer Protection Act (“Dodd-Frank Act”). The Commission also is amending its existing regulations governing the submission of new products, rules, and rule amendments. The final regulations establish the Commission's procedural framework for the submission of new products, rules, and rule amendments by designated contract markets (“DCMs”), derivatives clearing organizations (“DCOs”), swap execution facilities (“SEFs”), and swap data repositories (“SDRs”). In addition, the final regulations prohibit event contracts involving certain excluded commodities, establish special submission procedures for certain rules proposed by systemically important derivatives clearing organizations (“SIDCOs”), and stay the certifications and the approval review periods of novel derivative products pending jurisdictional determinations.
GPO FDSys XML | Text type regulations.gov FR Doc. 2011-18663 RIN 3038-AD00 COMMODITY FUTURES TRADING COMMISSION Final rule. Effective September 26, 2011. 17 CFR Parts 39 and 140 The Commodity Futures Trading Commission (Commission or CFTC) is adopting regulations to implement certain provisions of the Dodd-Frank Wall Street Reform and Consumer Protection Act (Dodd-Frank Act). These regulations establish the process by which the Commission will review swaps to determine whether the swaps are required to be cleared.
GPO FDSys XML | Text type regulations.gov FR Doc. 2011-18663 RIN 3038-AD00 COMMODITY FUTURES TRADING COMMISSION Final rule. Effective September 26, 2011. 17 CFR Parts 39 and 140 The Commodity Futures Trading Commission (Commission or CFTC) is adopting regulations to implement certain provisions of the Dodd-Frank Wall Street Reform and Consumer Protection Act (Dodd-Frank Act). These regulations establish the process by which the Commission will review swaps to determine whether the swaps are required to be cleared.
GPO FDSys XML | Text type regulations.gov FR Doc. 2011-18777 RIN 3038-AD11 COMMODITY FUTURES TRADING COMMISSION Final rule. This rule is effective September 23, 2011. 17 CFR Parts 1 and 4 The Commodity Futures Trading Commission (“Commission” or “CFTC”) is adopting a final rule that amends existing CFTC regulations in order to implement new statutory provisions enacted by Title IX of the Dodd-Frank Wall Street Reform and Consumer Protection Act (“Dodd-Frank Act”). The rule amendments set forth herein apply to futures commission merchants (“FCMs”), derivatives clearing organizations (“DCOs”), and commodity pool operators (“CPOs”). The rule amendments implement the new statutory framework that requires agencies to replace any reference to or reliance on credit ratings in their regulations with an appropriate alternative standard.
GPO FDSys XML | Text type regulations.gov FR Doc. 2011-18777 RIN 3038-AD11 COMMODITY FUTURES TRADING COMMISSION Final rule. This rule is effective September 23, 2011. 17 CFR Parts 1 and 4 The Commodity Futures Trading Commission (“Commission” or “CFTC”) is adopting a final rule that amends existing CFTC regulations in order to implement new statutory provisions enacted by Title IX of the Dodd-Frank Wall Street Reform and Consumer Protection Act (“Dodd-Frank Act”). The rule amendments set forth herein apply to futures commission merchants (“FCMs”), derivatives clearing organizations (“DCOs”), and commodity pool operators (“CPOs”). The rule amendments implement the new statutory framework that requires agencies to replace any reference to or reliance on credit ratings in their regulations with an appropriate alternative standard.
GPO FDSys XML | Text type regulations.gov FR Doc. 2011-18054 RIN 3038-AD17 COMMODITY FUTURES TRADING COMMISSION Final rules. Effective Dates: This rulemaking shall become effective September 20, 2011. 17 CFR Parts 15 and 20 The Commission is adopting reporting regulations (“Reporting Rules”) that require physical commodity swap and swaption (for ease of reference, collectively “swaps”) reports. The new regulations require routine position reports from clearing organizations, clearing members and swap dealers and also apply to reportable swap trader positions.
GPO FDSys XML | Text type regulations.gov FR Doc. 2011-18054 RIN 3038-AD17 COMMODITY FUTURES TRADING COMMISSION Final rules. Effective Dates: This rulemaking shall become effective September 20, 2011. 17 CFR Parts 15 and 20 The Commission is adopting reporting regulations (“Reporting Rules”) that require physical commodity swap and swaption (for ease of reference, collectively “swaps”) reports. The new regulations require routine position reports from clearing organizations, clearing members and swap dealers and also apply to reportable swap trader positions.
GPO FDSys XML | Text type regulations.gov FR Doc. 2011-17710 RIN 3038-AD13 COMMODITY FUTURES TRADING COMMISSION Final rule. Effective date: September 20, 2011. Compliance dates: Futures commission merchants, commodity pool operators, commodity trading advisors, introducing brokers, and retail foreign exchange dealers shall be in compliance with these rules not later than November 21, 2011. Swap dealers and major swap participants shall be in compliance with these rules not later than 60 days after the effective date of the final entities definition rulemaking, which the Commission will publish in the Federal Register at a future date. 17 CFR Part 160 The Commodity Futures Trading Commission (“Commission” or “CFTC”) is amending its rules implementing new statutory provisions enacted by titles VII and X of the Dodd-Frank Wall Street Reform and Consumer Protection Act (the “Dodd-Frank Act”). Section 1093 of the Dodd-Frank Act provides for certain amendments to title V of the Gramm-Leach-Bliley Act (the “GLB Act”). The GLB Act sets forth certain protections for the privacy of consumer financial information and was amended by the Dodd-Frank Act to affirm the Commission's jurisdiction in this area. The Commission's amendments to its regulations, inter alia, broaden the scope of part 160 to cover two new entities created by title VII of the Dodd-Frank Act: swap dealers and major swap participants.
GPO FDSys XML | Text type regulations.gov FR Doc. 2011-17711 RIN 3038-AD12 COMMODITY FUTURES TRADING COMMISSION Final rule. Effective date: September 20, 2011. Compliance dates: Futures commission merchants, commodity pool operators, commodity trading advisors, introducing brokers, and retail foreign exchange dealers shall be in compliance with these rules not later than November 21, 2011. Swap dealers and major swap participants shall be in compliance with these rules not later than 60 days after the effective date of the final entities definition rulemaking, which the Commission will have published in the Federal Register at a future date. 17 CFR Part 162 The Commodity Futures Trading Commission is adopting regulations to implement new statutory provisions enacted by title X of the Dodd-Frank Wall Street Reform and Consumer Protection Act. These regulations apply to futures commission merchants, retail foreign exchange dealers, commodity trading advisors, commodity pool operators, introducing brokers, swap dealers and major swap participants. The Dodd-Frank Act provides the Commission with authority to implement regulations under sections 624 and 628 of the Fair Credit Reporting Act. The regulations implementing section 624 of the Fair Credit Reporting Act require CFTC-regulated entities to provide consumers with the opportunity to prohibit affiliates from using certain information to make marketing solicitations to consumers. The regulations implementing section 628 of the FCRA require CFTC-regulated entities that possess or maintain consumer report information in connection with their business activities to develop and implement written policies and procedures for the proper disposal of such information.
GPO FDSys XML | Text type regulations.gov FR Doc. 2011-18513 RIN Release No. 34-64913 SECURITIES AND EXCHANGE COMMISSION Final rule; technical amendment. Effective Date: July 22, 2011. 17 CFR Part 240 The Securities and Exchange Commission (“SEC” or “Commission”) is making technical amendments to the rule by which applications for exemptive relief under section 36 of the Securities and Exchange Act of 1934 (“Exchange Act”) may be submitted electronically. The amendments are intended only to clarify and update references to an SEC Web site address and to eliminate certain formatting requirements.
GPO FDSys XML | Text type regulations.gov FR Doc. 2011-16318 RIN 3235-AK82 Release No. IA-3221 File No. S7-36-10 SECURITIES AND EXCHANGE COMMISSION Final rule. Effective dates: The effective date of 17 CFR 275.204-4 and 275.203A-5(b) and (c), amendments to 17 CFR 275.0-7, 275.203A-1, 275.203A-2, 275.203A-3, 275.204-1, 275.204-2, 275.206(4)-5, 275.222-1, and 275.222-2, and amendments to Forms ADV, ADV-E, ADV-H, and ADV-NR (referenced in 17 CFR part 279) is September 19, 2011. The effective date of 17 CFR 275.203A-5(a) and the amendment to 17 CFR 275.203-1 is July 21, 2011. 17 CFR 275.202(a)(11)-1, 275.203(b)(3)-1, 275.203(b)(3)-2, and 275.203A-4 are removed effective September 19, 2011. Compliance Date: See section III of this Release. 17 CFR Parts 275 and 279 The Securities and Exchange Commission is adopting new rules and rule amendments under the Investment Advisers Act of 1940 to implement provisions of the Dodd-Frank Wall Street Reform and Consumer Protection Act. These rules and rule amendments are designed to give effect to provisions of Title IV of the Dodd-Frank Act that, among other things, increase the statutory threshold for registration by investment advisers with the Commission, require advisers to hedge funds and other private funds to register with the Commission, and require reporting by certain investment advisers that are exempt from registration. In addition, we are adopting rule amendments, including amendments to the Commission's pay to play rule, that address a number of other changes made by the Dodd-Frank Act.
GPO FDSys XML | Text type regulations.gov FR Doc. 2011-16318 RIN 3235-AK82 Release No. IA-3221 File No. S7-36-10 SECURITIES AND EXCHANGE COMMISSION Final rule. Effective dates: The effective date of 17 CFR 275.204-4 and 275.203A-5(b) and (c), amendments to 17 CFR 275.0-7, 275.203A-1, 275.203A-2, 275.203A-3, 275.204-1, 275.204-2, 275.206(4)-5, 275.222-1, and 275.222-2, and amendments to Forms ADV, ADV-E, ADV-H, and ADV-NR (referenced in 17 CFR part 279) is September 19, 2011. The effective date of 17 CFR 275.203A-5(a) and the amendment to 17 CFR 275.203-1 is July 21, 2011. 17 CFR 275.202(a)(11)-1, 275.203(b)(3)-1, 275.203(b)(3)-2, and 275.203A-4 are removed effective September 19, 2011. Compliance Date: See section III of this Release. 17 CFR Parts 275 and 279 The Securities and Exchange Commission is adopting new rules and rule amendments under the Investment Advisers Act of 1940 to implement provisions of the Dodd-Frank Wall Street Reform and Consumer Protection Act. These rules and rule amendments are designed to give effect to provisions of Title IV of the Dodd-Frank Act that, among other things, increase the statutory threshold for registration by investment advisers with the Commission, require advisers to hedge funds and other private funds to register with the Commission, and require reporting by certain investment advisers that are exempt from registration. In addition, we are adopting rule amendments, including amendments to the Commission's pay to play rule, that address a number of other changes made by the Dodd-Frank Act.
GPO FDSys XML | Text type regulations.gov FR Doc. 2011-16758 RIN 3235-AL10 Release No. 34-64766 File No. S7-25-11 SECURITIES AND EXCHANGE COMMISSION Proposed rule. Comments should be received on or before August 29, 2011. 17 CFR Part 240 The Securities and Exchange Commission (“Commission”) is proposing for comment new rules under the Securities Exchange Act of 1934 (“Exchange Act”) that are intended to implement provisions of Title VII (“Title VII”) of the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010 (“Dodd-Frank Act”) relating to external business conduct standards for security-based swap dealers (“SBS Dealers”) and major security-based swap participants (“Major SBS Participants”).
GPO FDSys XML | Text type regulations.gov FR Doc. 2011-18009 RIN 3235-AL19 Release No. 34-64874 File No. S7-30-11 SECURITIES AND EXCHANGE COMMISSION Interim final temporary rule; request for comments. Effective Date: Rule 15b12-1T is effective on July 15, 2011 and will remain in effect until July 16, 2012. Comment Date: Comments on the interim final temporary rule should be received on or before September 13, 2011. 17 CFR Part 240 Under section 742(c) of the Dodd-Frank Wall Street Reform and Consumer Protection Act (“Dodd-Frank Act”), certain foreign exchange transactions with persons who are not “eligible contract participants” (commonly referred to as “retail forex transactions,” and as further defined below) with a registered broker or dealer (“broker-dealer”) will be prohibited as of July 16, 2011, in the absence of the Commission adopting a rule to allow such transactions under terms and conditions prescribed by the Commission. The Commission is adopting interim final temporary Rule 15b12-1T to allow a registered broker-dealer to engage in a retail forex business until July 16, 2012, provided that the broker-dealer complies with the Securities Exchange Act of 1934 (“Exchange Act”), the rules and regulations thereunder, and the rules of the self-regulatory organization(s) of which the broker-dealer is a member (“SRO rules”), insofar as they are applicable to retail forex transactions.
GPO FDSys XML | Text type regulations.gov FR Doc. 2011-17549 RIN 3038-AD27 COMMODITY FUTURES TRADING COMMISSION Final rules. Effective Date: These final Rules will become effective August 15, 2011. 17 CFR Part 180 The Commodity Futures Trading Commission (“CFTC” or “Commission”) is adopting final rules pursuant to section 753 of the Dodd-Frank Wall Street Reform and Consumer Protection Act (“Dodd-Frank Act”), to implement amended subsections (c)(1) and (c)(3) of section 6 of the Commodity Exchange Act (“CEA”). These rules broadly prohibit fraud and manipulation in connection with any swap, or contract of sale of any commodity in interstate commerce, or contract for future delivery on or subject to the rules of any registered entity.
GPO FDSys XML | Text type regulations.gov FR Doc. 2011-17626 RIN 3038-AD23 COMMODITY FUTURES TRADING COMMISSION Final rule. Effective Date —September 12, 2011. 17 CFR Part 1 The Commodity Futures Trading Commission (“Commission” or “CFTC”) is charged with proposing rules to implement new statutory provisions enacted by Title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act (“Dodd-Frank Act”). The Dodd-Frank Act, which amends the Commodity Exchange Act (“CEA” or “Act”), includes provisions applicable to “a swap in an agricultural commodity (as defined by the [CFTC]).” Neither Congress nor the CFTC has previously defined that term for purposes of the CEA or CFTC regulations. On October 26, 2010, the Commission requested comment on a proposed definition. After reviewing the comments submitted in response to the proposed definition, the Commission has determined to issue these final rules in essentially the same form as originally proposed, subject to a minor revision to the commodity-based index provision.
GPO FDSys XML | Text type regulations.gov FR Doc. 2011-17524 RIN 3235-AL18 Release No. 34-64832 File No. S7-29-11 SECURITIES AND EXCHANGE COMMISSION Interim final rule; request for comment. Effective Date: July 15, 2011. Comment Date: Comments on the interim final rule should be submitted on or before September 15, 2011. 17 CFR Parts 240 and 249 The Securities and Exchange Commission (“SEC” or “Commission”) is adopting an interim final rule to amend Rule 19b-4 under the Securities Exchange Act of 1934 (“Exchange Act”). The amendment expands the list of categories that qualify for summary effectiveness under Section 19(b)(3)(A) of the Exchange Act to include any matter effecting a change in an existing service of a clearing agency registered with the Commission (“Registered Clearing Agency”) that both primarily affects the futures clearing operations of the clearing agency with respect to futures that are not security futures and does not significantly affect any securities clearing operations of the clearing agency or any related rights or obligations of the clearing agency or persons using such service. The Commission also is making a corresponding technical modification to the General Instructions for Form 19b-4 under the Exchange Act. The amendments to Rule 19b-4 and Form 19b-4 are intended to streamline the rule filing process in areas involving certain activities concerning non-security products that may be subject to overlapping regulation as a result of, in part, certain provisions under Section 763(b) of the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010 (“Dodd-Frank Act”) that would deem some clearing agencies to be registered with the Commission as of July 16, 2011.
GPO FDSys XML | Text type regulations.gov FR Doc. 2011-17524 RIN 3235-AL18 Release No. 34-64832 File No. S7-29-11 SECURITIES AND EXCHANGE COMMISSION Interim final rule; request for comment. Effective Date: July 15, 2011. Comment Date: Comments on the interim final rule should be submitted on or before September 15, 2011. 17 CFR Parts 240 and 249 The Securities and Exchange Commission (“SEC” or “Commission”) is adopting an interim final rule to amend Rule 19b-4 under the Securities Exchange Act of 1934 (“Exchange Act”). The amendment expands the list of categories that qualify for summary effectiveness under Section 19(b)(3)(A) of the Exchange Act to include any matter effecting a change in an existing service of a clearing agency registered with the Commission (“Registered Clearing Agency”) that both primarily affects the futures clearing operations of the clearing agency with respect to futures that are not security futures and does not significantly affect any securities clearing operations of the clearing agency or any related rights or obligations of the clearing agency or persons using such service. The Commission also is making a corresponding technical modification to the General Instructions for Form 19b-4 under the Exchange Act. The amendments to Rule 19b-4 and Form 19b-4 are intended to streamline the rule filing process in areas involving certain activities concerning non-security products that may be subject to overlapping regulation as a result of, in part, certain provisions under Section 763(b) of the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010 (“Dodd-Frank Act”) that would deem some clearing agencies to be registered with the Commission as of July 16, 2011.
GPO FDSys XML | Text type regulations.gov FR Doc. 2011-17039 RIN 3235-AL17 Release Nos. 33-9231 34-64794 39-2475 File No. S7-26-11 SECURITIES AND EXCHANGE COMMISSION Interim final rules; request for comments. Effective Date: The interim final rules are effective July 11, 2011 Comments should be received on or before August 15, 2011. 17 CFR Parts 230, 240 and 260 We are adopting interim final rules providing exemptions under the Securities Act of 1933, the Securities Exchange Act of 1934, and the Trust Indenture Act of 1939 for those security-based swaps that under current law are security-based swap agreements and will be defined as “securities” under the Securities Act and the Exchange Act as of July 16, 2011 due solely to the provisions of Title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act. The interim final rules will exempt offers and sales of these security-based swaps from all provisions of the Securities Act, other than the Section 17(a) anti-fraud provisions, as well as exempt these security-based swaps from Exchange Act registration requirements and from the provisions of the Trust Indenture Act, provided certain conditions are met. The interim final rules will remain in effect until the compliance date for final rules that we may adopt further defining the terms “security-based swap” and “eligible contract participant.”
GPO FDSys XML | Text type regulations.gov FR Doc. 2011-17039 RIN 3235-AL17 Release Nos. 33-9231 34-64794 39-2475 File No. S7-26-11 SECURITIES AND EXCHANGE COMMISSION Interim final rules; request for comments. Effective Date: The interim final rules are effective July 11, 2011 Comments should be received on or before August 15, 2011. 17 CFR Parts 230, 240 and 260 We are adopting interim final rules providing exemptions under the Securities Act of 1933, the Securities Exchange Act of 1934, and the Trust Indenture Act of 1939 for those security-based swaps that under current law are security-based swap agreements and will be defined as “securities” under the Securities Act and the Exchange Act as of July 16, 2011 due solely to the provisions of Title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act. The interim final rules will exempt offers and sales of these security-based swaps from all provisions of the Securities Act, other than the Section 17(a) anti-fraud provisions, as well as exempt these security-based swaps from Exchange Act registration requirements and from the provisions of the Trust Indenture Act, provided certain conditions are met. The interim final rules will remain in effect until the compliance date for final rules that we may adopt further defining the terms “security-based swap” and “eligible contract participant.”
GPO FDSys XML | Text type regulations.gov FR Doc. 2011-17039 RIN 3235-AL17 Release Nos. 33-9231 34-64794 39-2475 File No. S7-26-11 SECURITIES AND EXCHANGE COMMISSION Interim final rules; request for comments. Effective Date: The interim final rules are effective July 11, 2011 Comments should be received on or before August 15, 2011. 17 CFR Parts 230, 240 and 260 We are adopting interim final rules providing exemptions under the Securities Act of 1933, the Securities Exchange Act of 1934, and the Trust Indenture Act of 1939 for those security-based swaps that under current law are security-based swap agreements and will be defined as “securities” under the Securities Act and the Exchange Act as of July 16, 2011 due solely to the provisions of Title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act. The interim final rules will exempt offers and sales of these security-based swaps from all provisions of the Securities Act, other than the Section 17(a) anti-fraud provisions, as well as exempt these security-based swaps from Exchange Act registration requirements and from the provisions of the Trust Indenture Act, provided certain conditions are met. The interim final rules will remain in effect until the compliance date for final rules that we may adopt further defining the terms “security-based swap” and “eligible contract participant.”
GPO FDSys XML | Text type regulations.gov FR Doc. 2011-17132 RIN 3235-AK26 Release Nos. 33-9232 34-64800 39-2476 File No. S7-02-09 SECURITIES AND EXCHANGE COMMISSION Final temporary rules; extension. Effective Date: These amendments are effective July 8, 2011, and the expiration dates in the temporary rules and amendments published January 22, 2009 (74 FR 3967), extended in a release published on September 17, 2009 (74 FR 47719), and further extended in a release published on November 26, 2010 (75 FR 72660), are further extended from July 16, 2011 to April 16, 2012. If the Commission adopts permanent exemptions for security-based swaps issued by certain clearing agencies before April 16, 2012, the Commission will terminate the effectiveness of the temporary rules as part of that rulemaking. 17 CFR Parts 230, 240 and 260 We are extending the expiration dates in our temporary rules that provide exemptions under the Securities Act of 1933, the Securities Exchange Act of 1934, and the Trust Indenture Act of 1939 for certain credit default swaps in order to continue facilitating the operation of one or more central counterparties for those credit default swaps as we consider rules implementing the clearing provisions of the Dodd-Frank Wall Street Reform and Consumer Protection Act.
GPO FDSys XML | Text type regulations.gov FR Doc. 2011-17132 RIN 3235-AK26 Release Nos. 33-9232 34-64800 39-2476 File No. S7-02-09 SECURITIES AND EXCHANGE COMMISSION Final temporary rules; extension. Effective Date: These amendments are effective July 8, 2011, and the expiration dates in the temporary rules and amendments published January 22, 2009 (74 FR 3967), extended in a release published on September 17, 2009 (74 FR 47719), and further extended in a release published on November 26, 2010 (75 FR 72660), are further extended from July 16, 2011 to April 16, 2012. If the Commission adopts permanent exemptions for security-based swaps issued by certain clearing agencies before April 16, 2012, the Commission will terminate the effectiveness of the temporary rules as part of that rulemaking. 17 CFR Parts 230, 240 and 260 We are extending the expiration dates in our temporary rules that provide exemptions under the Securities Act of 1933, the Securities Exchange Act of 1934, and the Trust Indenture Act of 1939 for certain credit default swaps in order to continue facilitating the operation of one or more central counterparties for those credit default swaps as we consider rules implementing the clearing provisions of the Dodd-Frank Wall Street Reform and Consumer Protection Act.
GPO FDSys XML | Text type regulations.gov FR Doc. 2011-17132 RIN 3235-AK26 Release Nos. 33-9232 34-64800 39-2476 File No. S7-02-09 SECURITIES AND EXCHANGE COMMISSION Final temporary rules; extension. Effective Date: These amendments are effective July 8, 2011, and the expiration dates in the temporary rules and amendments published January 22, 2009 (74 FR 3967), extended in a release published on September 17, 2009 (74 FR 47719), and further extended in a release published on November 26, 2010 (75 FR 72660), are further extended from July 16, 2011 to April 16, 2012. If the Commission adopts permanent exemptions for security-based swaps issued by certain clearing agencies before April 16, 2012, the Commission will terminate the effectiveness of the temporary rules as part of that rulemaking. 17 CFR Parts 230, 240 and 260 We are extending the expiration dates in our temporary rules that provide exemptions under the Securities Act of 1933, the Securities Exchange Act of 1934, and the Trust Indenture Act of 1939 for certain credit default swaps in order to continue facilitating the operation of one or more central counterparties for those credit default swaps as we consider rules implementing the clearing provisions of the Dodd-Frank Wall Street Reform and Consumer Protection Act.
GPO FDSys XML | Text type regulations.gov FR Doc. 2011-16864 RIN Release No. 34-64778 SECURITIES AND EXCHANGE COMMISSION Final rule. Effective Date: July 7, 2011. 17 CFR Part 200 The Commission is amending its rules to delegate authority to the Director of the Division of Enforcement to disclose information that could reasonably be expected to reveal the identity of a whistleblower (“whistleblower identifying information”) to those persons to whom disclosure may be made without loss of confidentiality under the whistleblower provisions of the Dodd-Frank Wall Street Reform and Consumer Protection Act (the “Dodd-Frank Act”).
GPO FDSys XML | Text type regulations.gov FR Doc. 2011-16118 RIN 3235-AK81 Release No. IA-3222 File No. S7-37-10 SECURITIES AND EXCHANGE COMMISSION Final rule. Effective Date: July 21, 2011. 17 CFR Part 275 The Securities and Exchange Commission (the “Commission”) is adopting rules to implement new exemptions from the registration requirements of the Investment Advisers Act of 1940 for advisers to certain privately offered investment funds; these exemptions were enacted as part of the Dodd-Frank Wall Street Reform and Consumer Protection Act (the “Dodd-Frank Act”). As required by Title IV of the Dodd-Frank Act—the Private Fund Investment Advisers Registration Act of 2010—the new rules define “venture capital fund” and provide an exemption from registration for advisers with less than $150 million in private fund assets under management in the United States. The new rules also clarify the meaning of certain terms included in a new exemption from registration for “foreign private advisers.”
GPO FDSys XML | Text type regulations.gov FR Doc. 2011-16467 RIN 3235-AK53 Release No. 34-64748 File No. S7-03-10 SECURITIES AND EXCHANGE COMMISSION Final rule; limited extension of compliance date for certain requirements. The effective date for this release is June 30, 2011. The effective date for Rule 15c3-5 remains January 14, 2011. The compliance date is extended to November 30, 2011, for all of the requirements of Rule 15c3-5 for fixed income securities, and the requirements of Rule 15c3-5(c)(1)(i) for all securities. The compliance date remains July 14, 2011, for all provisions of Rule 15c3-5 not subject to the limited extension. 17 CFR Part 240 The Commission is extending the compliance date for certain recently adopted requirements of Rule 15c3-5 under the Securities Exchange Act of 1934 (“Exchange Act”). Specifically, the Commission is extending the compliance date, until November 30, 2011, for all of the requirements of Rule 15c3-5 for fixed income securities, and the requirements of Rule 15c3-5(c)(1)(i) for all securities. The compliance date remains July 14, 2011 for all provisions of Rule 15c3-5 not subject to this limited extension. Among other things, Rule 15c3-5 requires broker-dealers with access to trading securities directly on an exchange or alternative trading system (“ATS”), including those providing sponsored or direct market access to customers or other persons, and broker-dealer operators of an ATS that provide access to trading securities directly on their ATS to a person other than a broker-dealer, to establish, document, and maintain a system of risk management controls and supervisory procedures that, among other things, is reasonably designed to systematically limit the financial exposure of the broker-dealer that could arise as a result of market access, and ensure compliance with all regulatory requirements that are applicable in connection with market access. The Commission is extending the compliance date for all of the requirements of Rule 15c3-5 for fixed income securities, and the requirements of Rule 15c3-5(c)(1)(i) for all securities to give broker-dealers with market access additional time to develop, test, and implement the relevant risk management controls and supervisory procedures required under the Rule.
GPO FDSys XML | Text type regulations.gov FR Doc. 2011-16117 RIN 3235-AK66 Release No. IA-3220 File No. S7-25-10 SECURITIES AND EXCHANGE COMMISSION Final rule. Effective Date: August 29, 2011. 17 CFR Part 275 The Securities and Exchange Commission (the “Commission”) is adopting a rule to define “family offices” that will be excluded from the definition of an investment adviser under the Investment Advisers Act of 1940 (“Advisers Act”) and thus will not be subject to regulation under the Advisers Act.
GPO FDSys XML | Text type regulations.gov FR Doc. 2011-15341 RIN 3235-AK56 Release No. 34-64676 File No. S7-23-11 SECURITIES AND EXCHANGE COMMISSION Proposed rule. Comments should be received on or before August 26, 2011. 17 CFR Parts 240 and 249 The Securities and Exchange Commission (the “Commission”) is proposing amendments to the broker-dealer financial reporting rule under the Securities Exchange Act of 1934 (the “Exchange Act”). The first set of amendments would, among other things, update the existing requirements of Exchange Act Rule 17a-5, facilitate the ability of the Public Company Accounting Oversight Board (the “PCAOB”) to implement oversight of independent public accountants of broker-dealers as required by the Dodd-Frank Wall Street Reform and Consumer Protection Act (the “Dodd-Frank Act”), and eliminate potentially redundant requirements for certain broker-dealers affiliated with, or dually-registered as, investment advisers. The second set of amendments would require broker-dealers that either clear transactions or carry customer accounts to consent to allowing the Commission and designated examining authorities (“DEAs”) to have access to independent public accountants to discuss their findings with respect to annual audits of the broker-dealers and to review related audit documentation. The third set of amendments would enhance the ability of the Commission and examiners of a DEA to oversee broker-dealers' custody practices by requiring broker-dealers to file a new Form Custody.
GPO FDSys XML | Text type regulations.gov FR Doc. 2011-15341 RIN 3235-AK56 Release No. 34-64676 File No. S7-23-11 SECURITIES AND EXCHANGE COMMISSION Proposed rule. Comments should be received on or before August 26, 2011. 17 CFR Parts 240 and 249 The Securities and Exchange Commission (the “Commission”) is proposing amendments to the broker-dealer financial reporting rule under the Securities Exchange Act of 1934 (the “Exchange Act”). The first set of amendments would, among other things, update the existing requirements of Exchange Act Rule 17a-5, facilitate the ability of the Public Company Accounting Oversight Board (the “PCAOB”) to implement oversight of independent public accountants of broker-dealers as required by the Dodd-Frank Wall Street Reform and Consumer Protection Act (the “Dodd-Frank Act”), and eliminate potentially redundant requirements for certain broker-dealers affiliated with, or dually-registered as, investment advisers. The second set of amendments would require broker-dealers that either clear transactions or carry customer accounts to consent to allowing the Commission and designated examining authorities (“DEAs”) to have access to independent public accountants to discuss their findings with respect to annual audits of the broker-dealers and to review related audit documentation. The third set of amendments would enhance the ability of the Commission and examiners of a DEA to oversee broker-dealers' custody practices by requiring broker-dealers to file a new Form Custody.
GPO FDSys XML | Text type regulations.gov FR Doc. 2011-15432 RIN Release No. 34-64678 File No. S7-24-11 SECURITIES AND EXCHANGE COMMISSION Exemptive order. This exemptive order is effective June 15, 2011. Comments must be received on or before July 6, 2011. 17 CFR Part 240 The Securities and Exchange Commission (“Commission”) is issuing an exemptive order granting temporary exemptive relief and other temporary relief from compliance with certain provisions of the Securities Exchange Act of 1934 (“Exchange Act”) concerning security-based swaps. The Commission also is providing guidance regarding compliance with other provisions of the Exchange Act concerning security-based swaps that were amended or added by the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010 (“Dodd-Frank Act”) and requesting comments on such guidance and the temporary relief granted.
GPO FDSys XML | Text type regulations.gov FR Doc. 2011-15030 RIN Release No. 34-64649 SECURITIES AND EXCHANGE COMMISSION Final rule. Effective Date: June 17, 2011. 17 CFR Part 200 The Securities and Exchange Commission (“Commission”) is amending its rules to delegate authority to the Director of the Division of Enforcement (“Division”) to issue witness immunity orders to compel individuals to give testimony or provide other information. This delegation is intended to conserve Commission resources, enhance the Division's ability to detect violations of the Federal securities laws, increase the effectiveness and efficiency of the Division's investigations, and improve the success of the Commission's enforcement actions.
GPO FDSys XML | Text type regulations.gov FR Doc. 2011-14907 RIN 3038-AC99 COMMODITY FUTURES TRADING COMMISSION Notice of proposed rulemaking; Correction. 17 CFR Parts 22 and 190 This document corrects the formatting of text and charts published in the Federal Register of June 09, 2011 (76 FR 33818), regarding Protection of Cleared Swaps Customer Contracts and Collateral; Conforming Amendments to the Commodity Broker Bankruptcy Provisions.
GPO FDSys XML | Text type regulations.gov FR Doc. 2011-14907 RIN 3038-AC99 COMMODITY FUTURES TRADING COMMISSION Notice of proposed rulemaking; Correction. 17 CFR Parts 22 and 190 This document corrects the formatting of text and charts published in the Federal Register of June 09, 2011 (76 FR 33818), regarding Protection of Cleared Swaps Customer Contracts and Collateral; Conforming Amendments to the Commodity Broker Bankruptcy Provisions.
GPO FDSys XML | Text type regulations.gov FR Doc. 2011-14717 RIN 3235-AL16 Release Nos. 33-9222 34-64639 39-2474 File No. S7-22-11 SECURITIES AND EXCHANGE COMMISSION Proposed rules. Comments on the proposed rules should be received on or before July 25, 2011. 17 CFR Parts 230, 240 and 260 We are proposing exemptions under the Securities Act of 1933, the Securities Exchange Act of 1934, and the Trust Indenture Act of 1939 for security-based swaps issued by certain clearing agencies satisfying certain conditions. The proposed rules would exempt transactions by clearing agencies in these security-based swaps from all provisions of the Securities Act, other than the Section 17(a) anti-fraud provisions, as well as exempt these security-based swaps from Exchange Act registration requirements and from the provisions of the Trust Indenture Act, provided certain conditions are met.
GPO FDSys XML | Text type regulations.gov FR Doc. 2011-14717 RIN 3235-AL16 Release Nos. 33-9222 34-64639 39-2474 File No. S7-22-11 SECURITIES AND EXCHANGE COMMISSION Proposed rules. Comments on the proposed rules should be received on or before July 25, 2011. 17 CFR Parts 230, 240 and 260 We are proposing exemptions under the Securities Act of 1933, the Securities Exchange Act of 1934, and the Trust Indenture Act of 1939 for security-based swaps issued by certain clearing agencies satisfying certain conditions. The proposed rules would exempt transactions by clearing agencies in these security-based swaps from all provisions of the Securities Act, other than the Section 17(a) anti-fraud provisions, as well as exempt these security-based swaps from Exchange Act registration requirements and from the provisions of the Trust Indenture Act, provided certain conditions are met.
GPO FDSys XML | Text type regulations.gov FR Doc. 2011-14717 RIN 3235-AL16 Release Nos. 33-9222 34-64639 39-2474 File No. S7-22-11 SECURITIES AND EXCHANGE COMMISSION Proposed rules. Comments on the proposed rules should be received on or before July 25, 2011. 17 CFR Parts 230, 240 and 260 We are proposing exemptions under the Securities Act of 1933, the Securities Exchange Act of 1934, and the Trust Indenture Act of 1939 for security-based swaps issued by certain clearing agencies satisfying certain conditions. The proposed rules would exempt transactions by clearing agencies in these security-based swaps from all provisions of the Securities Act, other than the Section 17(a) anti-fraud provisions, as well as exempt these security-based swaps from Exchange Act registration requirements and from the provisions of the Trust Indenture Act, provided certain conditions are met.
GPO FDSys XML | Text type regulations.gov FR Doc. 2011-14572 RIN 3235-AK98 File No. S7-10-11 Release No. 34-64628 SECURITIES AND EXCHANGE COMMISSION Final rule; confirmation. Effective Date: The effective date of this confirmation is July 16, 2011. 17 CFR Part 240 We are readopting without change the relevant portions of Rules 13d-3 and 16a-1. Readoption of these provisions will preserve the application of our existing beneficial ownership rules to persons who purchase or sell security-based swaps after the effective date of new Section 13(o) of the Securities Exchange Act of 1934. Section 13(o) provides that a person shall be deemed a beneficial owner of an equity security based on the purchase or sale of a security-based swap only to the extent we adopt rules after making certain determinations with respect to the purchase or sale of security-based swaps. After making the necessary determinations, we are readopting the relevant portions of Rules 13d-3 and 16a-1 to confirm that, following the July 16, 2011 statutory effective date of Section 13(o), persons who purchase or sell security-based swaps will remain within the scope of these rules to the same extent as they are now.
GPO FDSys XML | Text type regulations.gov FR Doc. 2011-13382 RIN 3235-AK78 Release No. 34-64545 File No. S7-33-10 SECURITIES AND EXCHANGE COMMISSION Final rule. Effective Date: August 12, 2011. 17 CFR Parts 240 and 249 The Commission is adopting rules and forms to implement Section 21F of the Securities Exchange Act of 1934 (“Exchange Act”) entitled “Securities Whistleblower Incentives and Protection.” The Dodd-Frank Wall Street Reform and Consumer Protection Act, enacted on July 21, 2010 (“Dodd-Frank”), established a whistleblower program that requires the Commission to pay an award, under regulations prescribed by the Commission and subject to certain limitations, to eligible whistleblowers who voluntarily provide the Commission with original information about a violation of the Federal securities laws that leads to the successful enforcement of a covered judicial or administrative action, or a related action. Dodd-Frank also prohibits retaliation by employers against individuals who provide the Commission with information about possible securities violations.
GPO FDSys XML | Text type regulations.gov FR Doc. 2011-13382 RIN 3235-AK78 Release No. 34-64545 File No. S7-33-10 SECURITIES AND EXCHANGE COMMISSION Final rule. Effective Date: August 12, 2011. 17 CFR Parts 240 and 249 The Commission is adopting rules and forms to implement Section 21F of the Securities Exchange Act of 1934 (“Exchange Act”) entitled “Securities Whistleblower Incentives and Protection.” The Dodd-Frank Wall Street Reform and Consumer Protection Act, enacted on July 21, 2010 (“Dodd-Frank”), established a whistleblower program that requires the Commission to pay an award, under regulations prescribed by the Commission and subject to certain limitations, to eligible whistleblowers who voluntarily provide the Commission with original information about a violation of the Federal securities laws that leads to the successful enforcement of a covered judicial or administrative action, or a related action. Dodd-Frank also prohibits retaliation by employers against individuals who provide the Commission with information about possible securities violations.
GPO FDSys XML | Text type regulations.gov FR Doc. 2011-14444 RIN 1557-AD40 Docket No. OCC-2011-0002 Docket No. 2011-1411 File No. S7-14-11 Release No. 34-64603 SECURITIES AND EXCHANGE COMMISSION, DEPARTMENT OF THE TREASURY, FEDERAL DEPOSIT INSURANCE CORPORATION, FEDERAL HOUSING FINANCE AGENCY, FEDERAL RESERVE SYSTEM, DEPARTMENT OF HOUSING AND URBAN DEVELOPMENT, Office of the Comptroller of the Currency Proposed rule; extension of comment period. The comment period for the proposed rule published April 29, 2011, at 76 FR 24090, is extended. Comments on the Credit Risk NPR must be received on or before August 1, 2011. 12 CFR Part 43 On April 29, 2011, the OCC, Board, FDIC, Commission, FHFA and HUD (collectively, the “Agencies”) published in the Federal Register a joint notice of proposed rulemaking for public comment to implement the credit risk retention requirements of section 15G of the Securities Exchange Act of 1934, as added by the Dodd-Frank Wall Street Reform and Consumer Protection Act (“Credit Risk NPR” or “proposed rule”). Due to the complexity of the rulemaking and to allow parties more time to consider the impact of the Credit Risk NPR on affected markets, the Agencies have determined that an extension of the comment period until August 1, 2011, is appropriate. This action will allow interested persons additional time to analyze the proposed rules and prepare their comments.
GPO FDSys XML | Text type regulations.gov FR Doc. 2011-10737 RIN 3038-AC99 COMMODITY FUTURES TRADING COMMISSION Notice of proposed rulemaking. Comments must be received on or before August 8, 2011. 17 CFR Parts 22 and 190 The Commodity Futures Trading Commission (the “Commission”) hereby proposes rules to implement new statutory provisions enacted by Title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act (the “Dodd-Frank Act”). Specifically, the proposed rules contained herein impose requirements on futures commission merchants (“FCMs”) and derivatives clearing organizations (“DCOs”) regarding the treatment of cleared swaps customer contracts (and related collateral), and make conforming amendments to bankruptcy provisions applicable to commodity brokers under the Commodity Exchange Act (the “CEA”).
GPO FDSys XML | Text type regulations.gov FR Doc. 2011-10737 RIN 3038-AC99 COMMODITY FUTURES TRADING COMMISSION Notice of proposed rulemaking. Comments must be received on or before August 8, 2011. 17 CFR Parts 22 and 190 The Commodity Futures Trading Commission (the “Commission”) hereby proposes rules to implement new statutory provisions enacted by Title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act (the “Dodd-Frank Act”). Specifically, the proposed rules contained herein impose requirements on futures commission merchants (“FCMs”) and derivatives clearing organizations (“DCOs”) regarding the treatment of cleared swaps customer contracts (and related collateral), and make conforming amendments to bankruptcy provisions applicable to commodity brokers under the Commodity Exchange Act (the “CEA”).
GPO FDSys XML | Text type regulations.gov FR Doc. 2011-12659 RIN 3235-AL15 Release No. 34-64514 File No. S7-18-11 SECURITIES AND EXCHANGE COMMISSION Proposed rules. Comments should be received on or before August 8, 2011. 17 CFR Parts 232, 240, 249, and 249b In accordance with the Dodd-Frank Wall Street Reform and Consumer Protection Act (the “Dodd-Frank Act”) and to enhance oversight, the Securities and Exchange Commission (“Commission”) is proposing amendments to existing rules and new rules that would apply to credit rating agencies registered with the Commission as nationally recognized statistical rating organizations (“NRSROs”). In addition, in accordance with the Dodd-Frank Act, the Commission is proposing a new rule and form that would apply to providers of third-party due diligence services for asset-backed securities. Finally, the Commission is proposing amendments to existing rules and a new rule that would implement a requirement added by the Dodd-Frank Act that issuers and underwriters of asset-backed securities make publicly available the findings and conclusions of any third-party due diligence report obtained by the issuer or underwriter. The Commission is requesting comment on the proposed rule amendments and new rules.
GPO FDSys XML | Text type regulations.gov FR Doc. 2011-12659 RIN 3235-AL15 Release No. 34-64514 File No. S7-18-11 SECURITIES AND EXCHANGE COMMISSION Proposed rules. Comments should be received on or before August 8, 2011. 17 CFR Parts 232, 240, 249, and 249b In accordance with the Dodd-Frank Wall Street Reform and Consumer Protection Act (the “Dodd-Frank Act”) and to enhance oversight, the Securities and Exchange Commission (“Commission”) is proposing amendments to existing rules and new rules that would apply to credit rating agencies registered with the Commission as nationally recognized statistical rating organizations (“NRSROs”). In addition, in accordance with the Dodd-Frank Act, the Commission is proposing a new rule and form that would apply to providers of third-party due diligence services for asset-backed securities. Finally, the Commission is proposing amendments to existing rules and a new rule that would implement a requirement added by the Dodd-Frank Act that issuers and underwriters of asset-backed securities make publicly available the findings and conclusions of any third-party due diligence report obtained by the issuer or underwriter. The Commission is requesting comment on the proposed rule amendments and new rules.
GPO FDSys XML | Text type regulations.gov FR Doc. 2011-12659 RIN 3235-AL15 Release No. 34-64514 File No. S7-18-11 SECURITIES AND EXCHANGE COMMISSION Proposed rules. Comments should be received on or before August 8, 2011. 17 CFR Parts 232, 240, 249, and 249b In accordance with the Dodd-Frank Wall Street Reform and Consumer Protection Act (the “Dodd-Frank Act”) and to enhance oversight, the Securities and Exchange Commission (“Commission”) is proposing amendments to existing rules and new rules that would apply to credit rating agencies registered with the Commission as nationally recognized statistical rating organizations (“NRSROs”). In addition, in accordance with the Dodd-Frank Act, the Commission is proposing a new rule and form that would apply to providers of third-party due diligence services for asset-backed securities. Finally, the Commission is proposing amendments to existing rules and a new rule that would implement a requirement added by the Dodd-Frank Act that issuers and underwriters of asset-backed securities make publicly available the findings and conclusions of any third-party due diligence report obtained by the issuer or underwriter. The Commission is requesting comment on the proposed rule amendments and new rules.
GPO FDSys XML | Text type regulations.gov FR Doc. 2011-13976 RIN 3038-AD46 File No. S7-16-11 Release No. 33-9204A 34-64372A SECURITIES AND EXCHANGE COMMISSION, COMMODITY FUTURES TRADING COMMISSION Joint proposed rules; proposed interpretations; correction. 17 CFR Part 1 The Commodity Futures Trading Commission and the Securities and Exchange Commission published a document in the Federal Register of May 23, 2011 that referenced an incorrect RIN and an incorrect cite in an authority citation. This correction is being published to correct both the RIN and the authority citation.
GPO FDSys XML | Text type regulations.gov FR Doc. 2011-13976 RIN 3038-AD46 File No. S7-16-11 Release No. 33-9204A 34-64372A SECURITIES AND EXCHANGE COMMISSION, COMMODITY FUTURES TRADING COMMISSION Joint proposed rules; proposed interpretations; correction. 17 CFR Part 1 The Commodity Futures Trading Commission and the Securities and Exchange Commission published a document in the Federal Register of May 23, 2011 that referenced an incorrect RIN and an incorrect cite in an authority citation. This correction is being published to correct both the RIN and the authority citation.
GPO FDSys XML | Text type regulations.gov FR Doc. 2011-12270 RIN 3038-AD53 COMMODITY FUTURES TRADING COMMISSION Notice of proposed rulemaking. Comments must be received on or before August 8, 2011. 17 CFR Parts 1, 5, 7, 8, 15, 18, 21, 36, 41, 140, 145, 155, and 166 The Dodd-Frank Wall Street Reform and Consumer Protection Act (“Dodd-Frank Act” or “DFA”) established a comprehensive new statutory framework for swaps and security-based swaps. The Dodd-Frank Act repeals some sections of the Commodity Exchange Act (“CEA” or “Act”), amends others, and adds a number of new provisions. The DFA also requires the Commodity Futures Trading Commission (“CFTC” or “Commission”) to promulgate a number of rules to implement the new framework. The Commission has proposed numerous rules to satisfy its obligations under the DFA. Because the Dodd-Frank Act makes so many changes to the existing statutory and regulatory frameworks, the proposed rules would make a number of conforming changes to the CFTC's regulations to integrate them more fully with the new statutory and regulatory framework (“Proposal”).
GPO FDSys XML | Text type regulations.gov FR Doc. 2011-12270 RIN 3038-AD53 COMMODITY FUTURES TRADING COMMISSION Notice of proposed rulemaking. Comments must be received on or before August 8, 2011. 17 CFR Parts 1, 5, 7, 8, 15, 18, 21, 36, 41, 140, 145, 155, and 166 The Dodd-Frank Wall Street Reform and Consumer Protection Act (“Dodd-Frank Act” or “DFA”) established a comprehensive new statutory framework for swaps and security-based swaps. The Dodd-Frank Act repeals some sections of the Commodity Exchange Act (“CEA” or “Act”), amends others, and adds a number of new provisions. The DFA also requires the Commodity Futures Trading Commission (“CFTC” or “Commission”) to promulgate a number of rules to implement the new framework. The Commission has proposed numerous rules to satisfy its obligations under the DFA. Because the Dodd-Frank Act makes so many changes to the existing statutory and regulatory frameworks, the proposed rules would make a number of conforming changes to the CFTC's regulations to integrate them more fully with the new statutory and regulatory framework (“Proposal”).
GPO FDSys XML | Text type regulations.gov FR Doc. 2011-12270 RIN 3038-AD53 COMMODITY FUTURES TRADING COMMISSION Notice of proposed rulemaking. Comments must be received on or before August 8, 2011. 17 CFR Parts 1, 5, 7, 8, 15, 18, 21, 36, 41, 140, 145, 155, and 166 The Dodd-Frank Wall Street Reform and Consumer Protection Act (“Dodd-Frank Act” or “DFA”) established a comprehensive new statutory framework for swaps and security-based swaps. The Dodd-Frank Act repeals some sections of the Commodity Exchange Act (“CEA” or “Act”), amends others, and adds a number of new provisions. The DFA also requires the Commodity Futures Trading Commission (“CFTC” or “Commission”) to promulgate a number of rules to implement the new framework. The Commission has proposed numerous rules to satisfy its obligations under the DFA. Because the Dodd-Frank Act makes so many changes to the existing statutory and regulatory frameworks, the proposed rules would make a number of conforming changes to the CFTC's regulations to integrate them more fully with the new statutory and regulatory framework (“Proposal”).
GPO FDSys XML | Text type regulations.gov FR Doc. 2011-12270 RIN 3038-AD53 COMMODITY FUTURES TRADING COMMISSION Notice of proposed rulemaking. Comments must be received on or before August 8, 2011. 17 CFR Parts 1, 5, 7, 8, 15, 18, 21, 36, 41, 140, 145, 155, and 166 The Dodd-Frank Wall Street Reform and Consumer Protection Act (“Dodd-Frank Act” or “DFA”) established a comprehensive new statutory framework for swaps and security-based swaps. The Dodd-Frank Act repeals some sections of the Commodity Exchange Act (“CEA” or “Act”), amends others, and adds a number of new provisions. The DFA also requires the Commodity Futures Trading Commission (“CFTC” or “Commission”) to promulgate a number of rules to implement the new framework. The Commission has proposed numerous rules to satisfy its obligations under the DFA. Because the Dodd-Frank Act makes so many changes to the existing statutory and regulatory frameworks, the proposed rules would make a number of conforming changes to the CFTC's regulations to integrate them more fully with the new statutory and regulatory framework (“Proposal”).
GPO FDSys XML | Text type regulations.gov FR Doc. 2011-12270 RIN 3038-AD53 COMMODITY FUTURES TRADING COMMISSION Notice of proposed rulemaking. Comments must be received on or before August 8, 2011. 17 CFR Parts 1, 5, 7, 8, 15, 18, 21, 36, 41, 140, 145, 155, and 166 The Dodd-Frank Wall Street Reform and Consumer Protection Act (“Dodd-Frank Act” or “DFA”) established a comprehensive new statutory framework for swaps and security-based swaps. The Dodd-Frank Act repeals some sections of the Commodity Exchange Act (“CEA” or “Act”), amends others, and adds a number of new provisions. The DFA also requires the Commodity Futures Trading Commission (“CFTC” or “Commission”) to promulgate a number of rules to implement the new framework. The Commission has proposed numerous rules to satisfy its obligations under the DFA. Because the Dodd-Frank Act makes so many changes to the existing statutory and regulatory frameworks, the proposed rules would make a number of conforming changes to the CFTC's regulations to integrate them more fully with the new statutory and regulatory framework (“Proposal”).
GPO FDSys XML | Text type regulations.gov FR Doc. 2011-12270 RIN 3038-AD53 COMMODITY FUTURES TRADING COMMISSION Notice of proposed rulemaking. Comments must be received on or before August 8, 2011. 17 CFR Parts 1, 5, 7, 8, 15, 18, 21, 36, 41, 140, 145, 155, and 166 The Dodd-Frank Wall Street Reform and Consumer Protection Act (“Dodd-Frank Act” or “DFA”) established a comprehensive new statutory framework for swaps and security-based swaps. The Dodd-Frank Act repeals some sections of the Commodity Exchange Act (“CEA” or “Act”), amends others, and adds a number of new provisions. The DFA also requires the Commodity Futures Trading Commission (“CFTC” or “Commission”) to promulgate a number of rules to implement the new framework. The Commission has proposed numerous rules to satisfy its obligations under the DFA. Because the Dodd-Frank Act makes so many changes to the existing statutory and regulatory frameworks, the proposed rules would make a number of conforming changes to the CFTC's regulations to integrate them more fully with the new statutory and regulatory framework (“Proposal”).
GPO FDSys XML | Text type regulations.gov FR Doc. 2011-12270 RIN 3038-AD53 COMMODITY FUTURES TRADING COMMISSION Notice of proposed rulemaking. Comments must be received on or before August 8, 2011. 17 CFR Parts 1, 5, 7, 8, 15, 18, 21, 36, 41, 140, 145, 155, and 166 The Dodd-Frank Wall Street Reform and Consumer Protection Act (“Dodd-Frank Act” or “DFA”) established a comprehensive new statutory framework for swaps and security-based swaps. The Dodd-Frank Act repeals some sections of the Commodity Exchange Act (“CEA” or “Act”), amends others, and adds a number of new provisions. The DFA also requires the Commodity Futures Trading Commission (“CFTC” or “Commission”) to promulgate a number of rules to implement the new framework. The Commission has proposed numerous rules to satisfy its obligations under the DFA. Because the Dodd-Frank Act makes so many changes to the existing statutory and regulatory frameworks, the proposed rules would make a number of conforming changes to the CFTC's regulations to integrate them more fully with the new statutory and regulatory framework (“Proposal”).
GPO FDSys XML | Text type regulations.gov FR Doc. 2011-12270 RIN 3038-AD53 COMMODITY FUTURES TRADING COMMISSION Notice of proposed rulemaking. Comments must be received on or before August 8, 2011. 17 CFR Parts 1, 5, 7, 8, 15, 18, 21, 36, 41, 140, 145, 155, and 166 The Dodd-Frank Wall Street Reform and Consumer Protection Act (“Dodd-Frank Act” or “DFA”) established a comprehensive new statutory framework for swaps and security-based swaps. The Dodd-Frank Act repeals some sections of the Commodity Exchange Act (“CEA” or “Act”), amends others, and adds a number of new provisions. The DFA also requires the Commodity Futures Trading Commission (“CFTC” or “Commission”) to promulgate a number of rules to implement the new framework. The Commission has proposed numerous rules to satisfy its obligations under the DFA. Because the Dodd-Frank Act makes so many changes to the existing statutory and regulatory frameworks, the proposed rules would make a number of conforming changes to the CFTC's regulations to integrate them more fully with the new statutory and regulatory framework (“Proposal”).
GPO FDSys XML | Text type regulations.gov FR Doc. 2011-12270 RIN 3038-AD53 COMMODITY FUTURES TRADING COMMISSION Notice of proposed rulemaking. Comments must be received on or before August 8, 2011. 17 CFR Parts 1, 5, 7, 8, 15, 18, 21, 36, 41, 140, 145, 155, and 166 The Dodd-Frank Wall Street Reform and Consumer Protection Act (“Dodd-Frank Act” or “DFA”) established a comprehensive new statutory framework for swaps and security-based swaps. The Dodd-Frank Act repeals some sections of the Commodity Exchange Act (“CEA” or “Act”), amends others, and adds a number of new provisions. The DFA also requires the Commodity Futures Trading Commission (“CFTC” or “Commission”) to promulgate a number of rules to implement the new framework. The Commission has proposed numerous rules to satisfy its obligations under the DFA. Because the Dodd-Frank Act makes so many changes to the existing statutory and regulatory frameworks, the proposed rules would make a number of conforming changes to the CFTC's regulations to integrate them more fully with the new statutory and regulatory framework (“Proposal”).
GPO FDSys XML | Text type regulations.gov FR Doc. 2011-12270 RIN 3038-AD53 COMMODITY FUTURES TRADING COMMISSION Notice of proposed rulemaking. Comments must be received on or before August 8, 2011. 17 CFR Parts 1, 5, 7, 8, 15, 18, 21, 36, 41, 140, 145, 155, and 166 The Dodd-Frank Wall Street Reform and Consumer Protection Act (“Dodd-Frank Act” or “DFA”) established a comprehensive new statutory framework for swaps and security-based swaps. The Dodd-Frank Act repeals some sections of the Commodity Exchange Act (“CEA” or “Act”), amends others, and adds a number of new provisions. The DFA also requires the Commodity Futures Trading Commission (“CFTC” or “Commission”) to promulgate a number of rules to implement the new framework. The Commission has proposed numerous rules to satisfy its obligations under the DFA. Because the Dodd-Frank Act makes so many changes to the existing statutory and regulatory frameworks, the proposed rules would make a number of conforming changes to the CFTC's regulations to integrate them more fully with the new statutory and regulatory framework (“Proposal”).
GPO FDSys XML | Text type regulations.gov FR Doc. 2011-12270 RIN 3038-AD53 COMMODITY FUTURES TRADING COMMISSION Notice of proposed rulemaking. Comments must be received on or before August 8, 2011. 17 CFR Parts 1, 5, 7, 8, 15, 18, 21, 36, 41, 140, 145, 155, and 166 The Dodd-Frank Wall Street Reform and Consumer Protection Act (“Dodd-Frank Act” or “DFA”) established a comprehensive new statutory framework for swaps and security-based swaps. The Dodd-Frank Act repeals some sections of the Commodity Exchange Act (“CEA” or “Act”), amends others, and adds a number of new provisions. The DFA also requires the Commodity Futures Trading Commission (“CFTC” or “Commission”) to promulgate a number of rules to implement the new framework. The Commission has proposed numerous rules to satisfy its obligations under the DFA. Because the Dodd-Frank Act makes so many changes to the existing statutory and regulatory frameworks, the proposed rules would make a number of conforming changes to the CFTC's regulations to integrate them more fully with the new statutory and regulatory framework (“Proposal”).
GPO FDSys XML | Text type regulations.gov FR Doc. 2011-12270 RIN 3038-AD53 COMMODITY FUTURES TRADING COMMISSION Notice of proposed rulemaking. Comments must be received on or before August 8, 2011. 17 CFR Parts 1, 5, 7, 8, 15, 18, 21, 36, 41, 140, 145, 155, and 166 The Dodd-Frank Wall Street Reform and Consumer Protection Act (“Dodd-Frank Act” or “DFA”) established a comprehensive new statutory framework for swaps and security-based swaps. The Dodd-Frank Act repeals some sections of the Commodity Exchange Act (“CEA” or “Act”), amends others, and adds a number of new provisions. The DFA also requires the Commodity Futures Trading Commission (“CFTC” or “Commission”) to promulgate a number of rules to implement the new framework. The Commission has proposed numerous rules to satisfy its obligations under the DFA. Because the Dodd-Frank Act makes so many changes to the existing statutory and regulatory frameworks, the proposed rules would make a number of conforming changes to the CFTC's regulations to integrate them more fully with the new statutory and regulatory framework (“Proposal”).
GPO FDSys XML | Text type regulations.gov FR Doc. 2011-12270 RIN 3038-AD53 COMMODITY FUTURES TRADING COMMISSION Notice of proposed rulemaking. Comments must be received on or before August 8, 2011. 17 CFR Parts 1, 5, 7, 8, 15, 18, 21, 36, 41, 140, 145, 155, and 166 The Dodd-Frank Wall Street Reform and Consumer Protection Act (“Dodd-Frank Act” or “DFA”) established a comprehensive new statutory framework for swaps and security-based swaps. The Dodd-Frank Act repeals some sections of the Commodity Exchange Act (“CEA” or “Act”), amends others, and adds a number of new provisions. The DFA also requires the Commodity Futures Trading Commission (“CFTC” or “Commission”) to promulgate a number of rules to implement the new framework. The Commission has proposed numerous rules to satisfy its obligations under the DFA. Because the Dodd-Frank Act makes so many changes to the existing statutory and regulatory frameworks, the proposed rules would make a number of conforming changes to the CFTC's regulations to integrate them more fully with the new statutory and regulatory framework (“Proposal”).
GPO FDSys XML | Text type regulations.gov FR Doc. 2011-13370 RIN 3235-AK97 Release No. 33-9211 File No. S7-21-11 SECURITIES AND EXCHANGE COMMISSION Proposed rule. Comments should be received on or before July 14, 2011. 17 CFR Parts 230 and 239 We are proposing amendments to our rules to implement Section 926 of the Dodd-Frank Wall Street Reform and Consumer Protection Act. Section 926 requires us to adopt rules that disqualify securities offerings involving certain “felons and other `bad actors'” from reliance on the safe harbor from Securities Act registration provided by Rule 506 of Regulation D. The rules must be “substantially similar” to Rule 262, the disqualification provisions of Regulation A under the Securities Act, and must also cover matters enumerated in Section 926 (including certain state regulatory orders and bars).
GPO FDSys XML | Text type regulations.gov FR Doc. 2011-13370 RIN 3235-AK97 Release No. 33-9211 File No. S7-21-11 SECURITIES AND EXCHANGE COMMISSION Proposed rule. Comments should be received on or before July 14, 2011. 17 CFR Parts 230 and 239 We are proposing amendments to our rules to implement Section 926 of the Dodd-Frank Wall Street Reform and Consumer Protection Act. Section 926 requires us to adopt rules that disqualify securities offerings involving certain “felons and other `bad actors'” from reliance on the safe harbor from Securities Act registration provided by Rule 506 of Regulation D. The rules must be “substantially similar” to Rule 262, the disqualification provisions of Regulation A under the Securities Act, and must also cover matters enumerated in Section 926 (including certain state regulatory orders and bars).
GPO FDSys XML | Text type regulations.gov FR Doc. 2011-13585 RIN COMMODITY FUTURES TRADING COMMISSION Notice of roundtable discussion; request for comment. The roundtable discussion will be held on June 3, 2011. 17 CFR Parts 22 and 190 On June 3, 2011, commencing at 9:30 a.m. and ending at 5 p.m., staff of the CFTC will hold a public roundtable discussion at which invited participants will discuss certain issues related to the protection of cleared swaps customer collateral described in the CFTC's notice of proposed rulemaking regarding the Protection of Cleared Swaps Customer Contracts and Collateral and Conforming Amendments to the Commodity Broker Bankruptcy Provisions (the “NPRM”), a copy of which may be found on the CFTC's Web site at http://www.cftc.gov/ucm/groups/public/@newsroom/documents/file/federalregister042711b.pdf . This is a preliminary version of the proposed rule; the version that will publish in the Federal Register may not be identical to this preliminary version. The roundtable will include discussions of the issues surrounding the implementation of the complete legal segregation model proposed in the NPRM, the optional approach highlighted in the NPRM, with specific emphasis regarding the bankruptcy issues surrounding such approach, and the advantages and disadvantages of the models proposed in the NPRM.
GPO FDSys XML | Text type regulations.gov FR Doc. 2011-13585 RIN COMMODITY FUTURES TRADING COMMISSION Notice of roundtable discussion; request for comment. The roundtable discussion will be held on June 3, 2011. 17 CFR Parts 22 and 190 On June 3, 2011, commencing at 9:30 a.m. and ending at 5 p.m., staff of the CFTC will hold a public roundtable discussion at which invited participants will discuss certain issues related to the protection of cleared swaps customer collateral described in the CFTC's notice of proposed rulemaking regarding the Protection of Cleared Swaps Customer Contracts and Collateral and Conforming Amendments to the Commodity Broker Bankruptcy Provisions (the “NPRM”), a copy of which may be found on the CFTC's Web site at http://www.cftc.gov/ucm/groups/public/@newsroom/documents/file/federalregister042711b.pdf . This is a preliminary version of the proposed rule; the version that will publish in the Federal Register may not be identical to this preliminary version. The roundtable will include discussions of the issues surrounding the implementation of the complete legal segregation model proposed in the NPRM, the optional approach highlighted in the NPRM, with specific emphasis regarding the bankruptcy issues surrounding such approach, and the advantages and disadvantages of the models proposed in the NPRM.
GPO FDSys XML | Text type regulations.gov FR Doc. 2011-12694 RIN Release No. PA-45 File No. S7-19-11 SECURITIES AND EXCHANGE COMMISSION Proposed rule. Comments must be received on or before June 23, 2011. 17 CFR Part 200 Pursuant to the Privacy Act of 1974, as amended, the Securities and Exchange Commission (“Commission” or “SEC”) proposes to exempt portions of three new systems of records from provisions of the Privacy Act to the extent that the records contain investigatory materials compiled for law enforcement purposes. Additionally, the Commission proposes to make technical amendments to its Privacy Act regulation exempting specific systems of records from certain provisions of the Privacy Act. In a companion release published elsewhere in this issue, the Commission is giving concurrent notice of three new systems of records pursuant to the Privacy Act of 1974.
GPO FDSys XML | Text type regulations.gov FR Doc. 2011-11008 RIN 3038-AD46 Release No. 33-9204 34-64372 File No. S7-16-11 SECURITIES AND EXCHANGE COMMISSION, COMMODITY FUTURES TRADING COMMISSION Joint proposed rules; proposed interpretations. Comments should be received on or before July 22, 2011. 17 CFR Part 1 In accordance with section 712(a)(8), section 712(d)(1), sections 712(d)(2)(B) and (C), sections 721(b) and (c), and section 761(b) of the Dodd-Frank Wall Street Reform and Consumer Protection Act (“Dodd-Frank Act”), the Commodity Futures Trading Commission (“CFTC”) and the Securities and Exchange Commission (“SEC”) (collectively, “Commissions”), in consultation with the Board of Governors of the Federal Reserve System (“Board”), are jointly issuing proposed rules and proposed interpretive guidance under the Commodity Exchange Act (“CEA”) and the Securities Exchange Act of 1934 (“Exchange Act”) to further define the terms “swap,” “security-based swap,” and “security-based swap agreement” (collectively, “Product Definitions”), regarding “mixed swaps,” and governing books and records with respect to “security-based swap agreements.”
GPO FDSys XML | Text type regulations.gov FR Doc. 2011-11008 RIN 3038-AD46 Release No. 33-9204 34-64372 File No. S7-16-11 SECURITIES AND EXCHANGE COMMISSION, COMMODITY FUTURES TRADING COMMISSION Joint proposed rules; proposed interpretations. Comments should be received on or before July 22, 2011. 17 CFR Part 1 In accordance with section 712(a)(8), section 712(d)(1), sections 712(d)(2)(B) and (C), sections 721(b) and (c), and section 761(b) of the Dodd-Frank Wall Street Reform and Consumer Protection Act (“Dodd-Frank Act”), the Commodity Futures Trading Commission (“CFTC”) and the Securities and Exchange Commission (“SEC”) (collectively, “Commissions”), in consultation with the Board of Governors of the Federal Reserve System (“Board”), are jointly issuing proposed rules and proposed interpretive guidance under the Commodity Exchange Act (“CEA”) and the Securities Exchange Act of 1934 (“Exchange Act”) to further define the terms “swap,” “security-based swap,” and “security-based swap agreement” (collectively, “Product Definitions”), regarding “mixed swaps,” and governing books and records with respect to “security-based swap agreements.”
GPO FDSys XML | Text type regulations.gov FR Doc. 2011-12280 RIN Release Nos. 33-9208 34-64495 IC-29670 SECURITIES AND EXCHANGE COMMISSION Final rule. Effective Date: May 19, 2011. 17 CFR Part 202 The Securities and Exchange Commission is amending its procedures for holding funds in any filing fee account in which there has not been a deposit, withdrawal or other adjustment. The amendment extends the holding period from 180 days to three years, after which the Commission will initiate the return of funds to the account holder without any action by the account holder. As always, account holders may request a refund of such fees at any time.
GPO FDSys XML | Text type regulations.gov FR Doc. 2011-11551 RIN 3038-AC46 COMMODITY FUTURES TRADING COMMISSION Final rule. Effective date: June 17, 2011. 17 CFR Part 4 The Commodity Futures Trading Commission (Commission or CFTC) is adopting amendments to its regulations as they affect certain commodity pool operators (CPOs) of commodity pools whose units of participation are listed and traded on a national securities exchange (Amendments). Specifically, this action codifies the relief from certain disclosure, reporting, and recordkeeping requirements that Commission staff previously had issued to these CPOs on a case-by-case basis. It also codifies relief from the CPO registration requirement for certain independent directors or trustees of actively-managed commodity pools that Commission staff similarly has issued.
GPO FDSys XML | Text type regulations.gov FR Doc. 2011-11801 RIN 3235-AK71 Release No. IA-3198 File No. S7-17-11 SECURITIES AND EXCHANGE COMMISSION Proposed rule; notice of intent to issue order. Comments on the proposed rule should be received on or before July 11, 2011. 17 CFR Part 275 The Securities and Exchange Commission (“Commission” or “SEC”) intends to issue an order that would adjust two dollar amount tests in the rule under the Investment Advisers Act of 1940 that permits investment advisers to charge performance based compensation to “qualified clients.” The adjustments would revise the dollar amount tests to account for the effects of inflation. The Commission is also proposing to amend the rule to: provide that the Commission will issue an order every five years adjusting for inflation the dollar amount tests; exclude the value of a person's primary residence from the test of whether a person has sufficient net worth to be considered a “qualified client;” and add certain transition provisions to the rule.
GPO FDSys XML | Text type regulations.gov FR Doc. 2011-10880 RIN 3038-AC97 COMMODITY FUTURES TRADING COMMISSION Extension of comment period. Comments must be received on or before July 11, 2011. 17 CFR Part 23 On April 28, 2011, the Commodity Futures Trading Commission (“Commission” or “CFTC”) published in the Federal Register a notice of proposed rulemaking that would establish initial and variation margin requirements for swap dealers (SDs) and major swap participants (MSPs). Elsewhere today in the Federal Register , the Commission is proposing to adopt capital, financial reporting, and recordkeeping requirements for these same entities, as well as proposing to amend certain capital requirements for futures commission merchants (FCMs) that also register as SDs or MSPs and supplemental capital requirements, and supplemental financial reporting requirements for these FCMs. The Commission now is extending the comment period for the proposed margin regulations so that the comment period will run concurrently with the comment period for the proposed rulemaking on capital requirements being published today.
GPO FDSys XML | Text type regulations.gov FR Doc. 2011-10881 RIN 3038-AD54 COMMODITY FUTURES TRADING COMMISSION Notice of proposed rulemaking. Comments must be received on or before July 11, 2011. 17 CFR Parts 1, 23, and 140 The Commodity Futures Trading Commission (Commission or CFTC) is proposing regulations that would implement the new statutory framework in the Commodity Exchange Act (CEA), added by the Wall Street Reform and Consumer Protection Act (Dodd-Frank Act). These new provisions of the CEA require, among other things, the Commission to adopt capital requirements for certain swap dealers (SDs) and major swap participants (MSPs). The proposed rules also provide for related financial condition reporting and recordkeeping by SDs and MSPs. The Commission further proposes to amend existing capital and financial reporting regulations for futures commission merchants (FCMs) that also register as SDs or MSPs. The proposed regulations also include requirements for supplemental FCM financial reporting to reflect section 724 of the Dodd-Frank Act. In order to align the comment periods for this proposed rule and the Commission's earlier proposed rulemaking on margin requirements for uncleared swaps, 1 the comment period for the proposed margin rulemaking is being extended elsewhere in the Federal Register today, so that commenters will have the opportunity to review the proposed capital and margin rules together before the expiration of the comment periods for either proposed rule. 1 See 76 FR 23732 (April 28, 2011).
GPO FDSys XML | Text type regulations.gov FR Doc. 2011-10881 RIN 3038-AD54 COMMODITY FUTURES TRADING COMMISSION Notice of proposed rulemaking. Comments must be received on or before July 11, 2011. 17 CFR Parts 1, 23, and 140 The Commodity Futures Trading Commission (Commission or CFTC) is proposing regulations that would implement the new statutory framework in the Commodity Exchange Act (CEA), added by the Wall Street Reform and Consumer Protection Act (Dodd-Frank Act). These new provisions of the CEA require, among other things, the Commission to adopt capital requirements for certain swap dealers (SDs) and major swap participants (MSPs). The proposed rules also provide for related financial condition reporting and recordkeeping by SDs and MSPs. The Commission further proposes to amend existing capital and financial reporting regulations for futures commission merchants (FCMs) that also register as SDs or MSPs. The proposed regulations also include requirements for supplemental FCM financial reporting to reflect section 724 of the Dodd-Frank Act. In order to align the comment periods for this proposed rule and the Commission's earlier proposed rulemaking on margin requirements for uncleared swaps, 1 the comment period for the proposed margin rulemaking is being extended elsewhere in the Federal Register today, so that commenters will have the opportunity to review the proposed capital and margin rules together before the expiration of the comment periods for either proposed rule. 1 See 76 FR 23732 (April 28, 2011).
GPO FDSys XML | Text type regulations.gov FR Doc. 2011-10881 RIN 3038-AD54 COMMODITY FUTURES TRADING COMMISSION Notice of proposed rulemaking. Comments must be received on or before July 11, 2011. 17 CFR Parts 1, 23, and 140 The Commodity Futures Trading Commission (Commission or CFTC) is proposing regulations that would implement the new statutory framework in the Commodity Exchange Act (CEA), added by the Wall Street Reform and Consumer Protection Act (Dodd-Frank Act). These new provisions of the CEA require, among other things, the Commission to adopt capital requirements for certain swap dealers (SDs) and major swap participants (MSPs). The proposed rules also provide for related financial condition reporting and recordkeeping by SDs and MSPs. The Commission further proposes to amend existing capital and financial reporting regulations for futures commission merchants (FCMs) that also register as SDs or MSPs. The proposed regulations also include requirements for supplemental FCM financial reporting to reflect section 724 of the Dodd-Frank Act. In order to align the comment periods for this proposed rule and the Commission's earlier proposed rulemaking on margin requirements for uncleared swaps, 1 the comment period for the proposed margin rulemaking is being extended elsewhere in the Federal Register today, so that commenters will have the opportunity to review the proposed capital and margin rules together before the expiration of the comment periods for either proposed rule. 1 See 76 FR 23732 (April 28, 2011).
GPO FDSys XML | Text type regulations.gov FR Doc. 2011-10619 RIN 3235-AL14 Release No. 34-64352 File No. S7-15-11 SECURITIES AND EXCHANGE COMMISSION Proposed rule. Comments should be received on or before July 5, 2011. 17 CFR Parts 240, 242, and 249 This is one of several proposed rules that the Securities and Exchange Commission (the “Commission”) will be considering relating to the use of credit ratings in Commission rules and forms. Section 939A of the Dodd-Frank Act Wall Street Reform and Consumer Protection Act (the “Dodd-Frank Act”) requires the Commission to remove any references to credit ratings from its regulations and to substitute such standard of creditworthiness as the Commission determines to be appropriate. In this release, the Commission is proposing to amend certain rules and one form under the Securities Exchange Act of 1934 (the “Exchange Act”) applicable to broker-dealer financial responsibility, distributions of securities, and confirmations of transactions. The Commission also is requesting comment on potential standards of creditworthiness for purposes of Exchange Act Sections 3(a)(41) and 3(a)(53), which define the terms “mortgage related security” and “small business related security,” respectively, as the Commission considers how to implement Section 939(e) of the Dodd-Frank Act.
GPO FDSys XML | Text type regulations.gov FR Doc. 2011-10619 RIN 3235-AL14 Release No. 34-64352 File No. S7-15-11 SECURITIES AND EXCHANGE COMMISSION Proposed rule. Comments should be received on or before July 5, 2011. 17 CFR Parts 240, 242, and 249 This is one of several proposed rules that the Securities and Exchange Commission (the “Commission”) will be considering relating to the use of credit ratings in Commission rules and forms. Section 939A of the Dodd-Frank Act Wall Street Reform and Consumer Protection Act (the “Dodd-Frank Act”) requires the Commission to remove any references to credit ratings from its regulations and to substitute such standard of creditworthiness as the Commission determines to be appropriate. In this release, the Commission is proposing to amend certain rules and one form under the Securities Exchange Act of 1934 (the “Exchange Act”) applicable to broker-dealer financial responsibility, distributions of securities, and confirmations of transactions. The Commission also is requesting comment on potential standards of creditworthiness for purposes of Exchange Act Sections 3(a)(41) and 3(a)(53), which define the terms “mortgage related security” and “small business related security,” respectively, as the Commission considers how to implement Section 939(e) of the Dodd-Frank Act.
GPO FDSys XML | Text type regulations.gov FR Doc. 2011-10619 RIN 3235-AL14 Release No. 34-64352 File No. S7-15-11 SECURITIES AND EXCHANGE COMMISSION Proposed rule. Comments should be received on or before July 5, 2011. 17 CFR Parts 240, 242, and 249 This is one of several proposed rules that the Securities and Exchange Commission (the “Commission”) will be considering relating to the use of credit ratings in Commission rules and forms. Section 939A of the Dodd-Frank Act Wall Street Reform and Consumer Protection Act (the “Dodd-Frank Act”) requires the Commission to remove any references to credit ratings from its regulations and to substitute such standard of creditworthiness as the Commission determines to be appropriate. In this release, the Commission is proposing to amend certain rules and one form under the Securities Exchange Act of 1934 (the “Exchange Act”) applicable to broker-dealer financial responsibility, distributions of securities, and confirmations of transactions. The Commission also is requesting comment on potential standards of creditworthiness for purposes of Exchange Act Sections 3(a)(41) and 3(a)(53), which define the terms “mortgage related security” and “small business related security,” respectively, as the Commission considers how to implement Section 939(e) of the Dodd-Frank Act.
GPO FDSys XML | Text type regulations.gov FR Doc. 2011-10868 RIN 3235-AK95 File No. S7-13-11 Release Nos. 33-9203 34-64366 SECURITIES AND EXCHANGE COMMISSION Proposed rule; extension of comment period. Comments should be received on or before May 19, 2011. 17 CFR Parts 229 and 240 The Securities and Exchange Commission is extending the comment period for a release proposing a new rule and rule amendments to implement the provisions of Section 952 of the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010, which added Section 10C to the Securities Exchange Act of 1934 (the “Exchange Act”). [Release No. 33-9199; 76 FR 18966 (April 6, 2011)]. The original comment period for Release 33-9199 is scheduled to end on April 29, 2011. The Commission is extending the time period in which to provide the Commission with comments on that release to May 19, 2011. This action will allow interested persons additional time to analyze the issues and prepare their comments.
GPO FDSys XML | Text type regulations.gov FR Doc. 2011-10868 RIN 3235-AK95 File No. S7-13-11 Release Nos. 33-9203 34-64366 SECURITIES AND EXCHANGE COMMISSION Proposed rule; extension of comment period. Comments should be received on or before May 19, 2011. 17 CFR Parts 229 and 240 The Securities and Exchange Commission is extending the comment period for a release proposing a new rule and rule amendments to implement the provisions of Section 952 of the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010, which added Section 10C to the Securities Exchange Act of 1934 (the “Exchange Act”). [Release No. 33-9199; 76 FR 18966 (April 6, 2011)]. The original comment period for Release 33-9199 is scheduled to end on April 29, 2011. The Commission is extending the time period in which to provide the Commission with comments on that release to May 19, 2011. This action will allow interested persons additional time to analyze the issues and prepare their comments.
GPO FDSys XML | Text type regulations.gov FR Doc. 2011-8364 RIN 1557-AD40 Docket No. OCC-2011-0002 Docket No. 2011-1411 Release No. 34-64148 File No. S7-14-11 SECURITIES AND EXCHANGE COMMISSION, DEPARTMENT OF THE TREASURY, FEDERAL DEPOSIT INSURANCE CORPORATION, FEDERAL HOUSING FINANCE AGENCY, FEDERAL RESERVE SYSTEM, DEPARTMENT OF HOUSING AND URBAN DEVELOPMENT, Office of the Comptroller of the Currency Proposed rule. Comments must be received by June 10, 2011. 12 CFR Part 43 The OCC, Board, FDIC, Commission, FHFA, and HUD (the Agencies) are proposing rules to implement the credit risk retention requirements of section 15G of the Securities Exchange Act of 1934 (15 U.S.C. 78o-11), as added by section 941 of the Dodd-Frank Wall Street Reform and Consumer Protection Act. Section 15G generally requires the securitizer of asset-backed securities to retain not less than five percent of the credit risk of the assets collateralizing the asset-backed securities. Section 15G includes a variety of exemptions from these requirements, including an exemption for asset-backed securities that are collateralized exclusively by residential mortgages that qualify as “qualified residential mortgages,” as such term is defined by the Agencies by rule.
GPO FDSys XML | Text type regulations.gov FR Doc. 2011-9598 RIN 3038-AC97 COMMODITY FUTURES TRADING COMMISSION Notice of proposed rulemaking. Comments must be received on or before June 27, 2011. 17 CFR Part 23 The Commodity Futures Trading Commission (“Commission” or “CFTC”) is proposing regulations to implement new statutory provisions enacted by Title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act (“Dodd-Frank Act”). The proposed regulations would implement the new statutory framework of Section 4s(e) of the Commodity Exchange Act (“CEA”), added by Section 731 of the Dodd-Frank Act, which requires the Commission to adopt capital and initial and variation margin requirements for certain swap dealers (“SDs”) and major swap participants (“MSPs”). The proposed rules address initial and variation margin requirements for SDs and MSPs. The proposed rules will not impose margin requirements on non-financial end users. The Commission will propose rules regarding capital requirements for SDs and MSPs at a later date. The Commission will align the comment periods of these two proposals so that commenters will have an opportunity to review each before commenting on either.
GPO FDSys XML | Text type regulations.gov FR Doc. 2011-9446 RIN 3038-AD48 COMMODITY FUTURES TRADING COMMISSION Proposed rulemaking. Comments must be received by June 9, 2011. 17 CFR Part 46 The Commodity Futures Trading Commission (“Commission” or “CFTC”) is proposing rules to implement new statutory provisions introduced by Title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act (“Dodd-Frank Act”). The Dodd-Frank Act amends the Commodity Exchange Act (“CEA” or “Act”) directing that rules adopted by the Commission shall provide for the reporting of data relating to swaps entered into before the date of enactment of the Dodd-Frank Act, the terms of which have not expired as of the date of enactment of that Act (“pre-enactment swaps”) and data relating to swaps entered into on or after the date of enactment of the Dodd-Frank Act and prior to the compliance date specified in the Commission's final swap data reporting rules (“transition swaps”). This proposal would establish recordkeeping and reporting requirements for pre-enactment swaps and transition swaps.
GPO FDSys XML | Text type regulations.gov FR Doc. 2011-7937 RIN 1557-AD39 Docket No. OCC-2011-0001 Docket No. R-1410 Docket No. OTS-2011-0004 Release No. 34-64140 File no. S7-12-11 DEPARTMENT OF THE TREASURY, FEDERAL DEPOSIT INSURANCE CORPORATION, NATIONAL CREDIT UNION ADMINISTRATION, FEDERAL HOUSING FINANCE AGENCY, FEDERAL RESERVE SYSTEM, SECURITIES AND EXCHANGE COMMISSION, Office of the Comptroller of the Currency, Office of Thrift Supervision Proposed Rule. Comments must be received by May 31, 2011. 12 CFR Part 42 The OCC, Board, FDIC, OTS, NCUA, SEC, and FHFA (the Agencies) are proposing rules to implement section 956 of the Dodd-Frank Wall Street Reform and Consumer Protection Act. The proposed rule would require the reporting of incentive-based compensation arrangements by a covered financial institution and prohibit incentive-based compensation arrangements at a covered financial institution that provide excessive compensation or that could expose the institution to inappropriate risks that could lead to material financial loss.
GPO FDSys XML | Text type regulations.gov FR Doc. 2011-8919 RIN Release No. 34-64251 SECURITIES AND EXCHANGE COMMISSION Final rule. Effective Date: April 13, 2011. 17 CFR Part 240 The Securities and Exchange Commission (“Commission”) is amending Rule 19b-4(a) under the Securities Exchange Act of 1934 (the “Exchange Act”) so that references to “business day” in Section 19(b) of the Exchange Act and Rule 19b-4 thereunder refer to a day other than a Saturday, Sunday, Federal holiday, a day that the U.S. Office of Personnel Management (“OPM”) has announced that Federal agencies in the Washington, DC area are closed to the public, a day on which the Commission is subject to a Federal government shutdown in the event of a lapse in appropriations, or a day on which the Commission's Washington, DC office is otherwise not open for regular business.
GPO FDSys XML | Text type regulations.gov FR Doc. 2011-7948 RIN 3235-AK95 Release Nos. 33-9199 34-64149 File No. S7-13-11 SECURITIES AND EXCHANGE COMMISSION Proposed rule. Comments should be received on or before April 29, 2011. 17 CFR Parts 229 and 240 We are proposing a new rule and rule amendments to implement the provisions of Section 952 of the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010, which adds Section 10C to the Securities Exchange Act of 1934 (the “Exchange Act”). Section 10C requires the Commission to adopt rules directing the national securities exchanges (the “exchanges”) and national securities associations to prohibit the listing of any equity security of an issuer that is not in compliance with Section 10C's compensation committee and compensation adviser requirements. In accordance with the statute, the proposed rule would direct the exchanges to establish listing standards that, among other things, require each member of a listed issuer's compensation committee to be a member of the board of directors and to be “independent,” as defined in the listing standards of the exchanges adopted in accordance with the proposed rule. In addition, Section 10C(c)(2) of the Exchange Act requires the Commission to adopt new disclosure rules concerning the use of compensation consultants and conflicts of interest.
GPO FDSys XML | Text type regulations.gov FR Doc. 2011-7948 RIN 3235-AK95 Release Nos. 33-9199 34-64149 File No. S7-13-11 SECURITIES AND EXCHANGE COMMISSION Proposed rule. Comments should be received on or before April 29, 2011. 17 CFR Parts 229 and 240 We are proposing a new rule and rule amendments to implement the provisions of Section 952 of the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010, which adds Section 10C to the Securities Exchange Act of 1934 (the “Exchange Act”). Section 10C requires the Commission to adopt rules directing the national securities exchanges (the “exchanges”) and national securities associations to prohibit the listing of any equity security of an issuer that is not in compliance with Section 10C's compensation committee and compensation adviser requirements. In accordance with the statute, the proposed rule would direct the exchanges to establish listing standards that, among other things, require each member of a listed issuer's compensation committee to be a member of the board of directors and to be “independent,” as defined in the listing standards of the exchanges adopted in accordance with the proposed rule. In addition, Section 10C(c)(2) of the Exchange Act requires the Commission to adopt new disclosure rules concerning the use of compensation consultants and conflicts of interest.
GPO FDSys XML | Text type regulations.gov FR Doc. 2011-5584 RIN Release No. SAB 114 SECURITIES AND EXCHANGE COMMISSION Publication of Staff Accounting Bulletin. Effective Date: March 28, 2011. 17 CFR Part 211 This Staff Accounting Bulletin (SAB) revises or rescinds portions of the interpretive guidance included in the codification of the Staff Accounting Bulletin Series. This update is intended to make the relevant interpretive guidance consistent with current authoritative accounting guidance issued as part of the Financial Accounting Standards Board's Accounting Standards Codification. The principal changes involve revision or removal of accounting guidance references and other conforming changes to ensure consistency of referencing throughout the SAB Series.
GPO FDSys XML | Text type regulations.gov FR Doc. 2011-6940 RIN 3235-AL11 Release No. 34-64099 File No. S7-11-11 SECURITIES AND EXCHANGE COMMISSION Proposed rule. Comments should be received on or before May 9, 2011. 17 CFR Part 240 The Dodd-Frank Wall Street Reform and Consumer Protection Act (“Dodd-Frank Act”) amended the Securities Exchange Act of 1934 (“Exchange Act”) by adding a subsection entitled, “Due Diligence for the Delivery of Dividends, Interest, and Other Valuable Property Rights.” The amendment directs the Securities and Exchange Commission (“Commission”) to revise Exchange Act Rule 17Ad-17, “Transfer Agents' Obligation to Search for Lost Securityholders” to: extend to brokers and dealers the requirement of Rule 17Ad-17 to search for lost securityholders; add to Rule 17Ad-17 a requirement that “paying agents” notify “missing security holders” in writing that the paying agent has sent the missing security holder a check that has not yet been negotiated; add to Rule 17Ad-17 an exclusion for paying agents from the notification requirements when the value of the not yet negotiated check is less than $25; and add to Rule 17Ad-17 a provision clarifying that the written notification requirements shall have no effect on State escheatment laws. The amendment also requires the Commission to “adopt such rules, regulations, and orders necessary to implement this subsection no later than 1 year after the date of enactment of this subsection.” The Commission is publishing for comment proposed amendments to Rule 17Ad-17 to implement the statutory requirements.
GPO FDSys XML | Text type regulations.gov FR Doc. 2011-6972 RIN 3038-AC98 COMMODITY FUTURES TRADING COMMISSION Reopening of comment period. Submit comments on or before April 25, 2011. 17 CFR Part 39 The Commodity Futures Trading Commission (Commission) is reopening the comment period for a proposed rule that would require derivatives clearing organizations (DCOs) to report end-of-day positions for each clearing member, by customer origin and house origin, and for customer origin, separately, the gross positions of each beneficial owner.
GPO FDSys XML | Text type regulations.gov FR Doc. 2011-6976 RIN 3038-AC98 COMMODITY FUTURES TRADING COMMISSION Notice of proposed rulemaking; correction. 17 CFR Part 39 This document corrects incorrect text published in the Federal Register of January 20, 2011, regarding Risk Management Requirements for Derivatives Clearing Organizations.
GPO FDSys XML | Text type regulations.gov FR Doc. 2011-6830 RIN SECURITIES AND EXCHANGE COMMISSION 17 CFR Part 230 GPO FDSys XML | Text type regulations.gov FR Doc. 2011-6685 RIN 3235-AK98 Release No. 34-64087 File No. S7-10-11 SECURITIES AND EXCHANGE COMMISSION Proposed rule. Comments should be received on or before April 15, 2011. 17 CFR Part 240 To preserve the application of our existing beneficial ownership rules to persons who purchase or sell security-based swaps after the effective date of new Section 13(o) of the Securities Exchange Act of 1934, we are proposing to readopt without change the relevant portions of Rules 13d-3 and 16a-1. The proposals are intended to clarify that following the July 16, 2011 statutory effective date of Section 13(o), which was added by Section 766 of the Dodd-Frank Wall Street Reform and Consumer Protection Act (“Dodd-Frank Act”), persons who purchase or sell security-based swaps will remain within the scope of these rules to the same extent as they are now.
GPO FDSys XML | Text type regulations.gov FR Doc. 2011-6382 RIN 3038-AD09 COMMODITY FUTURES TRADING COMMISSION Notice of proposed rulemaking; extension of comment period. Submit comments on or before April 18, 2011. 17 CFR Parts 1, 16, and 38 The Commodity Futures Trading Commission (“Commission”) is extending the comment period for proposed regulation 38.502(a) (“Minimum Centralized Market Trading Percentage Requirement”), in light of the recent public release of the off-market volume data referenced by the Commission in the Federal Register release for the notice of proposed rulemaking for “Core Principles and Other Requirements for Designated Contract Markets”, 75 FR 80572 (Dec. 22, 2010). The comment period is being extended for this regulation to permit interested persons to submit comments on off-market volume data that has recently been made available to the public and to which the Commission referred in its notice of proposed rulemaking.
GPO FDSys XML | Text type regulations.gov FR Doc. 2011-6382 RIN 3038-AD09 COMMODITY FUTURES TRADING COMMISSION Notice of proposed rulemaking; extension of comment period. Submit comments on or before April 18, 2011. 17 CFR Parts 1, 16, and 38 The Commodity Futures Trading Commission (“Commission”) is extending the comment period for proposed regulation 38.502(a) (“Minimum Centralized Market Trading Percentage Requirement”), in light of the recent public release of the off-market volume data referenced by the Commission in the Federal Register release for the notice of proposed rulemaking for “Core Principles and Other Requirements for Designated Contract Markets”, 75 FR 80572 (Dec. 22, 2010). The comment period is being extended for this regulation to permit interested persons to submit comments on off-market volume data that has recently been made available to the public and to which the Commission referred in its notice of proposed rulemaking.
GPO FDSys XML | Text type regulations.gov FR Doc. 2011-6382 RIN 3038-AD09 COMMODITY FUTURES TRADING COMMISSION Notice of proposed rulemaking; extension of comment period. Submit comments on or before April 18, 2011. 17 CFR Parts 1, 16, and 38 The Commodity Futures Trading Commission (“Commission”) is extending the comment period for proposed regulation 38.502(a) (“Minimum Centralized Market Trading Percentage Requirement”), in light of the recent public release of the off-market volume data referenced by the Commission in the Federal Register release for the notice of proposed rulemaking for “Core Principles and Other Requirements for Designated Contract Markets”, 75 FR 80572 (Dec. 22, 2010). The comment period is being extended for this regulation to permit interested persons to submit comments on off-market volume data that has recently been made available to the public and to which the Commission referred in its notice of proposed rulemaking.
GPO FDSys XML | Text type regulations.gov FR Doc. 2011-5182 RIN 3235-AL13 Release No. 34-64017 File No. S7-08-11 SECURITIES AND EXCHANGE COMMISSION Proposed rule. Comments should be submitted on or before April 29, 2011. 17 CFR Part 240 In accordance with Section 763 of Title VII (“Title VII”) of the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010 (“Dodd-Frank Act”), Section 805 of Title VIII (“Title VIII”) of the Dodd-Frank Act, and Section 17A of the Securities Exchange Act of 1934 (“Exchange Act”), the Securities and Exchange Commission (“SEC” or “Commission”) is proposing rules regarding registration of clearing agencies and standards for the operation and governance of clearing agencies. The proposed rules are designed to enhance the regulatory framework for the supervision of clearing agencies.
GPO FDSys XML | Text type regulations.gov FR Doc. 2011-4707 RIN 3038-AC98 COMMODITY FUTURES TRADING COMMISSION Notice of proposed rulemaking. Submit comments on or before April 11, 2011. 17 CFR Parts 23, 37, 38, and 39 The Commodity Futures Trading Commission (Commission) is proposing regulations to implement Title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act (Dodd-Frank Act). Proposed regulations would establish the time frame for a swap dealer (SD), major swap participant (MSP), futures commission merchant (FCM), swap execution facility (SEF), and designated contract market (DCM) to submit contracts, agreements, or transactions to a derivatives clearing organization (DCO) for clearing. Proposed regulations also would facilitate compliance with DCO Core Principle C (Participant and Product Eligibility) in connection with standards for cleared products and the prompt and efficient processing of all contracts, agreements, and transactions submitted for clearing. The Commission is further proposing related regulations implementing SEF Core Principle 7 (Financial Integrity of Transactions) and DCM Core Principle 11 (Financial Integrity of Transactions), requiring coordination with DCOs in the development of rules and procedures to facilitate clearing. Additionally, the Commission is proposing a regulation to implement DCO Core Principle F (Treatment of Funds), requiring a DCO, upon customer request, to promptly transfer customer positions and related funds from one clearing member to another, without requiring the close-out and re-booking of the positions.
GPO FDSys XML | Text type regulations.gov FR Doc. 2011-4707 RIN 3038-AC98 COMMODITY FUTURES TRADING COMMISSION Notice of proposed rulemaking. Submit comments on or before April 11, 2011. 17 CFR Parts 23, 37, 38, and 39 The Commodity Futures Trading Commission (Commission) is proposing regulations to implement Title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act (Dodd-Frank Act). Proposed regulations would establish the time frame for a swap dealer (SD), major swap participant (MSP), futures commission merchant (FCM), swap execution facility (SEF), and designated contract market (DCM) to submit contracts, agreements, or transactions to a derivatives clearing organization (DCO) for clearing. Proposed regulations also would facilitate compliance with DCO Core Principle C (Participant and Product Eligibility) in connection with standards for cleared products and the prompt and efficient processing of all contracts, agreements, and transactions submitted for clearing. The Commission is further proposing related regulations implementing SEF Core Principle 7 (Financial Integrity of Transactions) and DCM Core Principle 11 (Financial Integrity of Transactions), requiring coordination with DCOs in the development of rules and procedures to facilitate clearing. Additionally, the Commission is proposing a regulation to implement DCO Core Principle F (Treatment of Funds), requiring a DCO, upon customer request, to promptly transfer customer positions and related funds from one clearing member to another, without requiring the close-out and re-booking of the positions.
GPO FDSys XML | Text type regulations.gov FR Doc. 2011-4707 RIN 3038-AC98 COMMODITY FUTURES TRADING COMMISSION Notice of proposed rulemaking. Submit comments on or before April 11, 2011. 17 CFR Parts 23, 37, 38, and 39 The Commodity Futures Trading Commission (Commission) is proposing regulations to implement Title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act (Dodd-Frank Act). Proposed regulations would establish the time frame for a swap dealer (SD), major swap participant (MSP), futures commission merchant (FCM), swap execution facility (SEF), and designated contract market (DCM) to submit contracts, agreements, or transactions to a derivatives clearing organization (DCO) for clearing. Proposed regulations also would facilitate compliance with DCO Core Principle C (Participant and Product Eligibility) in connection with standards for cleared products and the prompt and efficient processing of all contracts, agreements, and transactions submitted for clearing. The Commission is further proposing related regulations implementing SEF Core Principle 7 (Financial Integrity of Transactions) and DCM Core Principle 11 (Financial Integrity of Transactions), requiring coordination with DCOs in the development of rules and procedures to facilitate clearing. Additionally, the Commission is proposing a regulation to implement DCO Core Principle F (Treatment of Funds), requiring a DCO, upon customer request, to promptly transfer customer positions and related funds from one clearing member to another, without requiring the close-out and re-booking of the positions.
GPO FDSys XML | Text type regulations.gov FR Doc. 2011-4707 RIN 3038-AC98 COMMODITY FUTURES TRADING COMMISSION Notice of proposed rulemaking. Submit comments on or before April 11, 2011. 17 CFR Parts 23, 37, 38, and 39 The Commodity Futures Trading Commission (Commission) is proposing regulations to implement Title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act (Dodd-Frank Act). Proposed regulations would establish the time frame for a swap dealer (SD), major swap participant (MSP), futures commission merchant (FCM), swap execution facility (SEF), and designated contract market (DCM) to submit contracts, agreements, or transactions to a derivatives clearing organization (DCO) for clearing. Proposed regulations also would facilitate compliance with DCO Core Principle C (Participant and Product Eligibility) in connection with standards for cleared products and the prompt and efficient processing of all contracts, agreements, and transactions submitted for clearing. The Commission is further proposing related regulations implementing SEF Core Principle 7 (Financial Integrity of Transactions) and DCM Core Principle 11 (Financial Integrity of Transactions), requiring coordination with DCOs in the development of rules and procedures to facilitate clearing. Additionally, the Commission is proposing a regulation to implement DCO Core Principle F (Treatment of Funds), requiring a DCO, upon customer request, to promptly transfer customer positions and related funds from one clearing member to another, without requiring the close-out and re-booking of the positions.
GPO FDSys XML | Text type regulations.gov FR Doc. 2011-4799 RIN 3038-AD50 COMMODITY FUTURES TRADING COMMISSION Proposed rules. Comments must be received on or before May 9, 2011. 17 CFR Part 3 The Commodity Futures Trading Commission (Commission) hereby proposes regulations to further implement new statutory provisions enacted by Title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act (Dodd-Frank Act) regarding registration of intermediaries. Specifically, the Commission proposes certain conforming amendments to the Commission's regulations regarding the registration of intermediaries, consistent with other Commission rulemakings issued pursuant to the Dodd-Frank Act; and other modernizing and technical amendments to the regulations.
GPO FDSys XML | Text type regulations.gov FR Doc. 2011-5184 RIN 3235-AL02 Release Nos. 33-9193 IC-29592 File No. S7-07-11 SECURITIES AND EXCHANGE COMMISSION Proposed rule. Comments should be received on or before April 25, 2011. 17 CFR Parts 239, 270, and 274 This is one of several releases that the Securities and Exchange Commission (“Commission”) will be considering relating to the use of credit ratings in our rules and forms. In this release, we are proposing a new rule as well as rule and form amendments under the Securities Act of 1933 and the Investment Company Act of 1940 to implement provisions of the Dodd-Frank Wall Street Reform and Consumer Protection Act (“Dodd-Frank Act”). The Commission is proposing amendments to two rules and four forms under the Investment Company Act and the Securities Act that contain references to credit ratings. The proposed amendments would give effect to provisions of the Dodd-Frank Act that call for the amendment of Commission regulations that contain credit rating references. In addition, the Commission is proposing a new rule under the Investment Company Act to establish a standard of credit-worthiness in place of a statutory reference to credit ratings in that Act that the Dodd-Frank Act removes.
GPO FDSys XML | Text type regulations.gov FR Doc. 2011-5184 RIN 3235-AL02 Release Nos. 33-9193 IC-29592 File No. S7-07-11 SECURITIES AND EXCHANGE COMMISSION Proposed rule. Comments should be received on or before April 25, 2011. 17 CFR Parts 239, 270, and 274 This is one of several releases that the Securities and Exchange Commission (“Commission”) will be considering relating to the use of credit ratings in our rules and forms. In this release, we are proposing a new rule as well as rule and form amendments under the Securities Act of 1933 and the Investment Company Act of 1940 to implement provisions of the Dodd-Frank Wall Street Reform and Consumer Protection Act (“Dodd-Frank Act”). The Commission is proposing amendments to two rules and four forms under the Investment Company Act and the Securities Act that contain references to credit ratings. The proposed amendments would give effect to provisions of the Dodd-Frank Act that call for the amendment of Commission regulations that contain credit rating references. In addition, the Commission is proposing a new rule under the Investment Company Act to establish a standard of credit-worthiness in place of a statutory reference to credit ratings in that Act that the Dodd-Frank Act removes.
GPO FDSys XML | Text type regulations.gov FR Doc. 2011-5184 RIN 3235-AL02 Release Nos. 33-9193 IC-29592 File No. S7-07-11 SECURITIES AND EXCHANGE COMMISSION Proposed rule. Comments should be received on or before April 25, 2011. 17 CFR Parts 239, 270, and 274 This is one of several releases that the Securities and Exchange Commission (“Commission”) will be considering relating to the use of credit ratings in our rules and forms. In this release, we are proposing a new rule as well as rule and form amendments under the Securities Act of 1933 and the Investment Company Act of 1940 to implement provisions of the Dodd-Frank Wall Street Reform and Consumer Protection Act (“Dodd-Frank Act”). The Commission is proposing amendments to two rules and four forms under the Investment Company Act and the Securities Act that contain references to credit ratings. The proposed amendments would give effect to provisions of the Dodd-Frank Act that call for the amendment of Commission regulations that contain credit rating references. In addition, the Commission is proposing a new rule under the Investment Company Act to establish a standard of credit-worthiness in place of a statutory reference to credit ratings in that Act that the Dodd-Frank Act removes.
GPO FDSys XML | Text type regulations.gov FR Doc. 2011-5183 RIN 3235-AK74 Release No. 34-64018 File No. S7-27-10 SECURITIES AND EXCHANGE COMMISSION Proposed rule; reopening of comment period. Comments should be received on or before April 29, 2011. 17 CFR Part 242 The Securities and Exchange Commission (“Commission”) is reopening the period for public comment on proposed Regulation MC under the Securities Exchange Act of 1934 (“Exchange Act”), which is designed to mitigate potential conflicts of interest at clearing agencies that clear security-based swaps (“security-based swap clearing agencies”), security-based swap execution facilities (“SB SEFs”), and national securities exchanges that post or make available for trading security-based swaps (“SBS exchanges”). The proposal was originally published in Securities Exchange Act Release No. 63107 (October 14, 2010), 75 FR 65882 (October 26, 2010) (“Regulation MC Proposing Release”). The Commission is reopening the period for public comment to solicit further comment on Regulation MC in light of other more recent proposed rulemakings that concern conflicts of interest at security-based swap clearing agencies and SB SEFs.
GPO FDSys XML | Text type regulations.gov FR Doc. 2011-4657 RIN 3038-AD49 COMMODITY FUTURES TRADING COMMISSION Proposed rules. Comments must be received on or before May 2, 2011. 17 CFR Part 4 The Commodity Futures Trading Commission (Commission or CFTC) is proposing to amend its regulations affecting the operations and activities of commodity pool operators (CPOs) and commodity trading advisors (CTAs) (Proposal) in order to have those regulations reflect changes made to the Commodity Exchange Act (CEA) by the Dodd-Frank Wall Street Reform and Consumer Protection Act (Dodd-Frank Act).
GPO FDSys XML | Text type regulations.gov FR Doc. 2011-4694 RIN Release No. 34-63949 SECURITIES AND EXCHANGE COMMISSION Final rule; technical amendments. Effective Date: March 1, 2011. 17 CFR Part 240 The Securities and Exchange Commission (“Commission”) is adopting technical amendments to Rule 17a-8 under the Securities and Exchange Act of 1934 (“Exchange Act”) to update a reference within the rule to the implementing regulations of the Currency and Foreign Transactions Reporting Act of 1970, as amended (commonly referred to as the Bank Secrecy Act or the “BSA”). The BSA's implementing regulations are promulgated and administered by the Financial Crimes Enforcement Network (“FinCEN”), a bureau within the Department of the Treasury. The reference to the BSA's implementing regulations in Rule 17a-8 is being updated in response to FinCEN's reorganization of those regulations into a new chapter of the Code of Federal Regulations (“CFR”).
GPO FDSys XML | Text type regulations.gov FR Doc. 2011-2696 RIN 3235-AK93 Release No. 34-63825 File No. S7-06-11 SECURITIES AND EXCHANGE COMMISSION Proposed rule; proposed interpretation. Comments should be submitted on or before April 4, 2011. 17 CFR Parts 240, 242, and 249 In accordance with Section 763 (“Section 763”) of Title VII (“Title VII”) of the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010 (“Dodd-Frank Act”), the Securities and Exchange Commission (“SEC” or “Commission”) is proposing Regulation SB SEF under the Securities Exchange Act of 1934 (“Exchange Act”) that is designed to create a registration framework for security-based swap execution facilities (“SB SEFs”); establish rules with respect to the Dodd-Frank Act's requirement that a SB SEF must comply with the fourteen enumerated core principles (“Core Principles”) and enforce compliance with those principles; and implement a process for a SB SEF to submit to the Commission proposed changes to the SB SEF's rules. The Commission also is proposing an interpretation of the definition of “security-based swap execution facility” set forth in Section 3(a)(77) of the Exchange Act to provide guidance on the characteristics of those systems or platforms that would satisfy the statutory definition. In addition, the Commission is proposing to amend Rule 3a-1 under the Exchange Act to exempt a registered SB SEF from the Exchange Act's definition of “exchange” and to add Rule 15a-12 under the Exchange Act to exempt, subject to certain conditions, a registered SB SEF from regulation as a broker pursuant to Section 15(b) of the Exchange Act.
GPO FDSys XML | Text type regulations.gov FR Doc. 2011-2696 RIN 3235-AK93 Release No. 34-63825 File No. S7-06-11 SECURITIES AND EXCHANGE COMMISSION Proposed rule; proposed interpretation. Comments should be submitted on or before April 4, 2011. 17 CFR Parts 240, 242, and 249 In accordance with Section 763 (“Section 763”) of Title VII (“Title VII”) of the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010 (“Dodd-Frank Act”), the Securities and Exchange Commission (“SEC” or “Commission”) is proposing Regulation SB SEF under the Securities Exchange Act of 1934 (“Exchange Act”) that is designed to create a registration framework for security-based swap execution facilities (“SB SEFs”); establish rules with respect to the Dodd-Frank Act's requirement that a SB SEF must comply with the fourteen enumerated core principles (“Core Principles”) and enforce compliance with those principles; and implement a process for a SB SEF to submit to the Commission proposed changes to the SB SEF's rules. The Commission also is proposing an interpretation of the definition of “security-based swap execution facility” set forth in Section 3(a)(77) of the Exchange Act to provide guidance on the characteristics of those systems or platforms that would satisfy the statutory definition. In addition, the Commission is proposing to amend Rule 3a-1 under the Exchange Act to exempt a registered SB SEF from the Exchange Act's definition of “exchange” and to add Rule 15a-12 under the Exchange Act to exempt, subject to certain conditions, a registered SB SEF from regulation as a broker pursuant to Section 15(b) of the Exchange Act.
GPO FDSys XML | Text type regulations.gov FR Doc. 2011-2696 RIN 3235-AK93 Release No. 34-63825 File No. S7-06-11 SECURITIES AND EXCHANGE COMMISSION Proposed rule; proposed interpretation. Comments should be submitted on or before April 4, 2011. 17 CFR Parts 240, 242, and 249 In accordance with Section 763 (“Section 763”) of Title VII (“Title VII”) of the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010 (“Dodd-Frank Act”), the Securities and Exchange Commission (“SEC” or “Commission”) is proposing Regulation SB SEF under the Securities Exchange Act of 1934 (“Exchange Act”) that is designed to create a registration framework for security-based swap execution facilities (“SB SEFs”); establish rules with respect to the Dodd-Frank Act's requirement that a SB SEF must comply with the fourteen enumerated core principles (“Core Principles”) and enforce compliance with those principles; and implement a process for a SB SEF to submit to the Commission proposed changes to the SB SEF's rules. The Commission also is proposing an interpretation of the definition of “security-based swap execution facility” set forth in Section 3(a)(77) of the Exchange Act to provide guidance on the characteristics of those systems or platforms that would satisfy the statutory definition. In addition, the Commission is proposing to amend Rule 3a-1 under the Exchange Act to exempt a registered SB SEF from the Exchange Act's definition of “exchange” and to add Rule 15a-12 under the Exchange Act to exempt, subject to certain conditions, a registered SB SEF from regulation as a broker pursuant to Section 15(b) of the Exchange Act.
GPO FDSys XML | Text type regulations.gov FR Doc. 2011-3259 RIN 3235-AK18 Release No. 33-9186 34-63874 File No. S7-18-08 SECURITIES AND EXCHANGE COMMISSION Proposed rule. Comments should be received on or before March 28, 2011. 17 CFR Parts 200, 229, 230, 232, 239, 240, and 249 This is one of several releases that we will be considering relating to the use of security ratings by credit rating agencies in our rules and forms. In this release, pursuant to the provisions of Section 939A of the Dodd-Frank Wall Street Reform and Consumer Protection Act, we propose to replace rule and form requirements under the Securities Act of 1933 and the Securities Exchange Act of 1934 for securities offering or issuer disclosure rules that rely on, or make special accommodations for, security ratings (for example, Forms S-3 and F-3 eligibility criteria) with alternative requirements.
GPO FDSys XML | Text type regulations.gov FR Doc. 2011-3259 RIN 3235-AK18 Release No. 33-9186 34-63874 File No. S7-18-08 SECURITIES AND EXCHANGE COMMISSION Proposed rule. Comments should be received on or before March 28, 2011. 17 CFR Parts 200, 229, 230, 232, 239, 240, and 249 This is one of several releases that we will be considering relating to the use of security ratings by credit rating agencies in our rules and forms. In this release, pursuant to the provisions of Section 939A of the Dodd-Frank Wall Street Reform and Consumer Protection Act, we propose to replace rule and form requirements under the Securities Act of 1933 and the Securities Exchange Act of 1934 for securities offering or issuer disclosure rules that rely on, or make special accommodations for, security ratings (for example, Forms S-3 and F-3 eligibility criteria) with alternative requirements.
GPO FDSys XML | Text type regulations.gov FR Doc. 2011-3259 RIN 3235-AK18 Release No. 33-9186 34-63874 File No. S7-18-08 SECURITIES AND EXCHANGE COMMISSION Proposed rule. Comments should be received on or before March 28, 2011. 17 CFR Parts 200, 229, 230, 232, 239, 240, and 249 This is one of several releases that we will be considering relating to the use of security ratings by credit rating agencies in our rules and forms. In this release, pursuant to the provisions of Section 939A of the Dodd-Frank Wall Street Reform and Consumer Protection Act, we propose to replace rule and form requirements under the Securities Act of 1933 and the Securities Exchange Act of 1934 for securities offering or issuer disclosure rules that rely on, or make special accommodations for, security ratings (for example, Forms S-3 and F-3 eligibility criteria) with alternative requirements.
GPO FDSys XML | Text type regulations.gov FR Doc. 2011-3259 RIN 3235-AK18 Release No. 33-9186 34-63874 File No. S7-18-08 SECURITIES AND EXCHANGE COMMISSION Proposed rule. Comments should be received on or before March 28, 2011. 17 CFR Parts 200, 229, 230, 232, 239, 240, and 249 This is one of several releases that we will be considering relating to the use of security ratings by credit rating agencies in our rules and forms. In this release, pursuant to the provisions of Section 939A of the Dodd-Frank Wall Street Reform and Consumer Protection Act, we propose to replace rule and form requirements under the Securities Act of 1933 and the Securities Exchange Act of 1934 for securities offering or issuer disclosure rules that rely on, or make special accommodations for, security ratings (for example, Forms S-3 and F-3 eligibility criteria) with alternative requirements.
GPO FDSys XML | Text type regulations.gov FR Doc. 2011-3259 RIN 3235-AK18 Release No. 33-9186 34-63874 File No. S7-18-08 SECURITIES AND EXCHANGE COMMISSION Proposed rule. Comments should be received on or before March 28, 2011. 17 CFR Parts 200, 229, 230, 232, 239, 240, and 249 This is one of several releases that we will be considering relating to the use of security ratings by credit rating agencies in our rules and forms. In this release, pursuant to the provisions of Section 939A of the Dodd-Frank Wall Street Reform and Consumer Protection Act, we propose to replace rule and form requirements under the Securities Act of 1933 and the Securities Exchange Act of 1934 for securities offering or issuer disclosure rules that rely on, or make special accommodations for, security ratings (for example, Forms S-3 and F-3 eligibility criteria) with alternative requirements.
GPO FDSys XML | Text type regulations.gov FR Doc. 2011-3259 RIN 3235-AK18 Release No. 33-9186 34-63874 File No. S7-18-08 SECURITIES AND EXCHANGE COMMISSION Proposed rule. Comments should be received on or before March 28, 2011. 17 CFR Parts 200, 229, 230, 232, 239, 240, and 249 This is one of several releases that we will be considering relating to the use of security ratings by credit rating agencies in our rules and forms. In this release, pursuant to the provisions of Section 939A of the Dodd-Frank Wall Street Reform and Consumer Protection Act, we propose to replace rule and form requirements under the Securities Act of 1933 and the Securities Exchange Act of 1934 for securities offering or issuer disclosure rules that rely on, or make special accommodations for, security ratings (for example, Forms S-3 and F-3 eligibility criteria) with alternative requirements.
GPO FDSys XML | Text type regulations.gov FR Doc. 2011-3259 RIN 3235-AK18 Release No. 33-9186 34-63874 File No. S7-18-08 SECURITIES AND EXCHANGE COMMISSION Proposed rule. Comments should be received on or before March 28, 2011. 17 CFR Parts 200, 229, 230, 232, 239, 240, and 249 This is one of several releases that we will be considering relating to the use of security ratings by credit rating agencies in our rules and forms. In this release, pursuant to the provisions of Section 939A of the Dodd-Frank Wall Street Reform and Consumer Protection Act, we propose to replace rule and form requirements under the Securities Act of 1933 and the Securities Exchange Act of 1934 for securities offering or issuer disclosure rules that rely on, or make special accommodations for, security ratings (for example, Forms S-3 and F-3 eligibility criteria) with alternative requirements.
GPO FDSys XML | Text type regulations.gov FR Doc. 2011-2437 RIN 3038-AD30 COMMODITY FUTURES TRADING COMMISSION Notice of proposed rulemaking. Comments must be in writing and received on or before April 12, 2011. 17 CFR Parts 4, 145, and 147 The Commodity Futures Trading Commission is proposing to amend its existing regulations and proposing one new regulation regarding Commodity Pool Operators and Commodity Trading Advisors. The Commission is proposing a new data collection for CPOs and CTAs that is consistent with the data collection required under the Dodd-Frank Act. The proposed amendments would: Rescind the exemptions from registration provided in the Commission's regulations; rescind the relief from the certification requirement for annual reports provided to operators of certain pools only offered to qualified eligible persons (“QEPs”); modify the criteria for claiming relief under the Commission's regulations; and require the annual filing of notices claiming exemptive relief. Finally, the proposal includes new risk disclosure requirements for CPOs and CTAs regarding swap transactions.
GPO FDSys XML | Text type regulations.gov FR Doc. 2011-2437 RIN 3038-AD30 COMMODITY FUTURES TRADING COMMISSION Notice of proposed rulemaking. Comments must be in writing and received on or before April 12, 2011. 17 CFR Parts 4, 145, and 147 The Commodity Futures Trading Commission is proposing to amend its existing regulations and proposing one new regulation regarding Commodity Pool Operators and Commodity Trading Advisors. The Commission is proposing a new data collection for CPOs and CTAs that is consistent with the data collection required under the Dodd-Frank Act. The proposed amendments would: Rescind the exemptions from registration provided in the Commission's regulations; rescind the relief from the certification requirement for annual reports provided to operators of certain pools only offered to qualified eligible persons (“QEPs”); modify the criteria for claiming relief under the Commission's regulations; and require the annual filing of notices claiming exemptive relief. Finally, the proposal includes new risk disclosure requirements for CPOs and CTAs regarding swap transactions.
GPO FDSys XML | Text type regulations.gov FR Doc. 2011-2437 RIN 3038-AD30 COMMODITY FUTURES TRADING COMMISSION Notice of proposed rulemaking. Comments must be in writing and received on or before April 12, 2011. 17 CFR Parts 4, 145, and 147 The Commodity Futures Trading Commission is proposing to amend its existing regulations and proposing one new regulation regarding Commodity Pool Operators and Commodity Trading Advisors. The Commission is proposing a new data collection for CPOs and CTAs that is consistent with the data collection required under the Dodd-Frank Act. The proposed amendments would: Rescind the exemptions from registration provided in the Commission's regulations; rescind the relief from the certification requirement for annual reports provided to operators of certain pools only offered to qualified eligible persons (“QEPs”); modify the criteria for claiming relief under the Commission's regulations; and require the annual filing of notices claiming exemptive relief. Finally, the proposal includes new risk disclosure requirements for CPOs and CTAs regarding swap transactions.
GPO FDSys XML | Text type regulations.gov FR Doc. 2011-2175 RIN 3038-AD03 Release No. IA-3145 File No. S7-05-11 SECURITIES AND EXCHANGE COMMISSION, COMMODITY FUTURES TRADING COMMISSION Joint proposed rule. Comments should be received on or before April 12, 2011. 17 CFR Part 4 The Commodity Futures Trading Commission (“CFTC”) and the Securities and Exchange Commission (“SEC”) (collectively, “we” or the “Commissions”) are proposing new rules under the Commodity Exchange Act and the Investment Advisers Act of 1940 to implement provisions of Title IV of the Dodd-Frank Wall Street Reform and Consumer Protection Act. The proposed SEC rule would require investment advisers registered with the SEC that advise one or more private funds to file Form PF with the SEC. The proposed CFTC rule would require commodity pool operators (“CPOs”) and commodity trading advisors (“CTAs”) registered with the CFTC to satisfy certain proposed CFTC filing requirements by filing Form PF with the SEC, but only if those CPOs and CTAs are also registered with the SEC as investment advisers and advise one or more private funds. The information contained in Form PF is designed, among other things, to assist the Financial Stability Oversight Council in its assessment of systemic risk in the U.S. financial system. These advisers would file these reports electronically, on a confidential basis.
GPO FDSys XML | Text type regulations.gov FR Doc. 2011-2175 RIN 3038-AD03 Release No. IA-3145 File No. S7-05-11 SECURITIES AND EXCHANGE COMMISSION, COMMODITY FUTURES TRADING COMMISSION Joint proposed rule. Comments should be received on or before April 12, 2011. 17 CFR Part 4 The Commodity Futures Trading Commission (“CFTC”) and the Securities and Exchange Commission (“SEC”) (collectively, “we” or the “Commissions”) are proposing new rules under the Commodity Exchange Act and the Investment Advisers Act of 1940 to implement provisions of Title IV of the Dodd-Frank Wall Street Reform and Consumer Protection Act. The proposed SEC rule would require investment advisers registered with the SEC that advise one or more private funds to file Form PF with the SEC. The proposed CFTC rule would require commodity pool operators (“CPOs”) and commodity trading advisors (“CTAs”) registered with the CFTC to satisfy certain proposed CFTC filing requirements by filing Form PF with the SEC, but only if those CPOs and CTAs are also registered with the SEC as investment advisers and advise one or more private funds. The information contained in Form PF is designed, among other things, to assist the Financial Stability Oversight Council in its assessment of systemic risk in the U.S. financial system. These advisers would file these reports electronically, on a confidential basis.
GPO FDSys XML | Text type regulations.gov FR Doc. 2011-2175 RIN 3038-AD03 Release No. IA-3145 File No. S7-05-11 SECURITIES AND EXCHANGE COMMISSION, COMMODITY FUTURES TRADING COMMISSION Joint proposed rule. Comments should be received on or before April 12, 2011. 17 CFR Part 4 The Commodity Futures Trading Commission (“CFTC”) and the Securities and Exchange Commission (“SEC”) (collectively, “we” or the “Commissions”) are proposing new rules under the Commodity Exchange Act and the Investment Advisers Act of 1940 to implement provisions of Title IV of the Dodd-Frank Wall Street Reform and Consumer Protection Act. The proposed SEC rule would require investment advisers registered with the SEC that advise one or more private funds to file Form PF with the SEC. The proposed CFTC rule would require commodity pool operators (“CPOs”) and commodity trading advisors (“CTAs”) registered with the CFTC to satisfy certain proposed CFTC filing requirements by filing Form PF with the SEC, but only if those CPOs and CTAs are also registered with the SEC as investment advisers and advise one or more private funds. The information contained in Form PF is designed, among other things, to assist the Financial Stability Oversight Council in its assessment of systemic risk in the U.S. financial system. These advisers would file these reports electronically, on a confidential basis.
GPO FDSys XML | Text type regulations.gov FR Doc. 2011-2642 RIN 3038-AC96 COMMODITY FUTURES TRADING COMMISSION Notice of proposed rulemaking. Submit comments on or before April 11, 2011. 17 CFR Part 23 The Commodity Futures Trading Commission (Commission or CFTC) is proposing regulations to implement new statutory provisions established under Title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act (Dodd-Frank Act). Section 731 of the Dodd-Frank Act added a new section 4s(i) to the Commodity Exchange Act (CEA), which requires the Commission to prescribe standards for swap dealers and major swap participants related to the timely and accurate confirmation, processing, netting, documentation, and valuation of swaps. The proposed rule would set forth parameters for the inclusion of an orderly liquidation termination provision in the swap trading relationship documentation for swap dealers and major swap participants.
GPO FDSys XML | Text type regulations.gov FR Doc. 2011-2643 RIN 3038-AC96 COMMODITY FUTURES TRADING COMMISSION Notice of proposed rulemaking. Submit comments on or before April 11, 2011. 17 CFR Part 23 The Commodity Futures Trading Commission (Commission or CFTC) is proposing regulations to implement new statutory provisions established under Title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act (Dodd-Frank Act). Section 731 of the Dodd-Frank Act added a new section 4s(i) to the Commodity Exchange Act (CEA), which requires the Commission to prescribe standards for swap dealers and major swap participants related to the timely and accurate confirmation, processing, netting, documentation, and valuation of swaps. The proposed rules would establish requirements for swap trading relationship documentation for swap dealers and major swap participants.
GPO FDSys XML | Text type regulations.gov FR Doc. 2011-1685 RIN COMMODITY FUTURES TRADING COMMISSION Notice of proposed rulemaking. Written comments must be received on or before April 4, 2011. 17 CFR Parts 3, 32, 33, and 35 The Commodity Futures Trading Commission (“Commission” or “CFTC”) is charged with proposing rules to implement new statutory provisions enacted by Title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act (“Dodd-Frank Act”). The Dodd-Frank Act provides that swaps in an agricultural commodity (as defined by the Commission) are prohibited unless entered into pursuant to a rule, regulation or order of the Commission adopted pursuant to Commodity Exchange Act (“CEA” or “Act”). The Dodd-Frank Act also includes options (other than an option on a futures contract) in its definition of swaps. Broadly speaking, the rules proposed herein would implement regulations whereby swaps in agricultural commodities and all commodity options (including options on both agricultural and non-agricultural commodities), other than options on futures, may transact subject to the same rules as all other swaps. The proposed rules for swaps in an agricultural commodity would repeal and replace the Commission's regulations concerning the exemption of swap agreements. Because the Dodd-Frank Act defines commodity options (other than options on futures) as swaps, the proposed rules for options would substantially amend the Commission's regulations regarding commodity option transactions. Also, current regulations on domestic exchange-traded commodity option transactions applies not only to exchange-traded options on futures (which are excluded from the Dodd-Frank definition of a swap), but also to exchange-traded options on physical commodities (which are within the Dodd-Frank swap definition). Therefore, the proposed rules would remove references to options on physical commodities from the Commission's regulations for exchange-traded options on futures.
GPO FDSys XML | Text type regulations.gov FR Doc. 2011-1685 RIN COMMODITY FUTURES TRADING COMMISSION Notice of proposed rulemaking. Written comments must be received on or before April 4, 2011. 17 CFR Parts 3, 32, 33, and 35 The Commodity Futures Trading Commission (“Commission” or “CFTC”) is charged with proposing rules to implement new statutory provisions enacted by Title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act (“Dodd-Frank Act”). The Dodd-Frank Act provides that swaps in an agricultural commodity (as defined by the Commission) are prohibited unless entered into pursuant to a rule, regulation or order of the Commission adopted pursuant to Commodity Exchange Act (“CEA” or “Act”). The Dodd-Frank Act also includes options (other than an option on a futures contract) in its definition of swaps. Broadly speaking, the rules proposed herein would implement regulations whereby swaps in agricultural commodities and all commodity options (including options on both agricultural and non-agricultural commodities), other than options on futures, may transact subject to the same rules as all other swaps. The proposed rules for swaps in an agricultural commodity would repeal and replace the Commission's regulations concerning the exemption of swap agreements. Because the Dodd-Frank Act defines commodity options (other than options on futures) as swaps, the proposed rules for options would substantially amend the Commission's regulations regarding commodity option transactions. Also, current regulations on domestic exchange-traded commodity option transactions applies not only to exchange-traded options on futures (which are excluded from the Dodd-Frank definition of a swap), but also to exchange-traded options on physical commodities (which are within the Dodd-Frank swap definition). Therefore, the proposed rules would remove references to options on physical commodities from the Commission's regulations for exchange-traded options on futures.
GPO FDSys XML | Text type regulations.gov FR Doc. 2011-1685 RIN COMMODITY FUTURES TRADING COMMISSION Notice of proposed rulemaking. Written comments must be received on or before April 4, 2011. 17 CFR Parts 3, 32, 33, and 35 The Commodity Futures Trading Commission (“Commission” or “CFTC”) is charged with proposing rules to implement new statutory provisions enacted by Title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act (“Dodd-Frank Act”). The Dodd-Frank Act provides that swaps in an agricultural commodity (as defined by the Commission) are prohibited unless entered into pursuant to a rule, regulation or order of the Commission adopted pursuant to Commodity Exchange Act (“CEA” or “Act”). The Dodd-Frank Act also includes options (other than an option on a futures contract) in its definition of swaps. Broadly speaking, the rules proposed herein would implement regulations whereby swaps in agricultural commodities and all commodity options (including options on both agricultural and non-agricultural commodities), other than options on futures, may transact subject to the same rules as all other swaps. The proposed rules for swaps in an agricultural commodity would repeal and replace the Commission's regulations concerning the exemption of swap agreements. Because the Dodd-Frank Act defines commodity options (other than options on futures) as swaps, the proposed rules for options would substantially amend the Commission's regulations regarding commodity option transactions. Also, current regulations on domestic exchange-traded commodity option transactions applies not only to exchange-traded options on futures (which are excluded from the Dodd-Frank definition of a swap), but also to exchange-traded options on physical commodities (which are within the Dodd-Frank swap definition). Therefore, the proposed rules would remove references to options on physical commodities from the Commission's regulations for exchange-traded options on futures.
GPO FDSys XML | Text type regulations.gov FR Doc. 2011-1685 RIN COMMODITY FUTURES TRADING COMMISSION Notice of proposed rulemaking. Written comments must be received on or before April 4, 2011. 17 CFR Parts 3, 32, 33, and 35 The Commodity Futures Trading Commission (“Commission” or “CFTC”) is charged with proposing rules to implement new statutory provisions enacted by Title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act (“Dodd-Frank Act”). The Dodd-Frank Act provides that swaps in an agricultural commodity (as defined by the Commission) are prohibited unless entered into pursuant to a rule, regulation or order of the Commission adopted pursuant to Commodity Exchange Act (“CEA” or “Act”). The Dodd-Frank Act also includes options (other than an option on a futures contract) in its definition of swaps. Broadly speaking, the rules proposed herein would implement regulations whereby swaps in agricultural commodities and all commodity options (including options on both agricultural and non-agricultural commodities), other than options on futures, may transact subject to the same rules as all other swaps. The proposed rules for swaps in an agricultural commodity would repeal and replace the Commission's regulations concerning the exemption of swap agreements. Because the Dodd-Frank Act defines commodity options (other than options on futures) as swaps, the proposed rules for options would substantially amend the Commission's regulations regarding commodity option transactions. Also, current regulations on domestic exchange-traded commodity option transactions applies not only to exchange-traded options on futures (which are excluded from the Dodd-Frank definition of a swap), but also to exchange-traded options on physical commodities (which are within the Dodd-Frank swap definition). Therefore, the proposed rules would remove references to options on physical commodities from the Commission's regulations for exchange-traded options on futures.
GPO FDSys XML | Text type regulations.gov FR Doc. 2011-2373 RIN 3235-AK83 Release Nos. 33-9179 34-63794 File No. S7-41-10 SECURITIES AND EXCHANGE COMMISSION Proposed rule; extension of comment period. Comments should be received on or before March 2, 2011. 17 CFR Parts 229, 239 and 249 The Securities and Exchange Commission is extending the comment period for a release proposing amendments to its rules to implement Section 1503 of the Dodd-Frank Wall Street Reform and Consumer Protection Act. [Release No. 33-9164; 75 FR 80374 (December 22, 2010)]. The original comment period for Release No. 33-9164 is scheduled to end on January 31, 2011. The Commission is extending the time period in which to provide the Commission with comments on that release for 30 days until Wednesday, March 2, 2011. This action will allow interested persons additional time to analyze the issues and prepare their comments.
GPO FDSys XML | Text type regulations.gov FR Doc. 2011-2373 RIN 3235-AK83 Release Nos. 33-9179 34-63794 File No. S7-41-10 SECURITIES AND EXCHANGE COMMISSION Proposed rule; extension of comment period. Comments should be received on or before March 2, 2011. 17 CFR Parts 229, 239 and 249 The Securities and Exchange Commission is extending the comment period for a release proposing amendments to its rules to implement Section 1503 of the Dodd-Frank Wall Street Reform and Consumer Protection Act. [Release No. 33-9164; 75 FR 80374 (December 22, 2010)]. The original comment period for Release No. 33-9164 is scheduled to end on January 31, 2011. The Commission is extending the time period in which to provide the Commission with comments on that release for 30 days until Wednesday, March 2, 2011. This action will allow interested persons additional time to analyze the issues and prepare their comments.
GPO FDSys XML | Text type regulations.gov FR Doc. 2011-2373 RIN 3235-AK83 Release Nos. 33-9179 34-63794 File No. S7-41-10 SECURITIES AND EXCHANGE COMMISSION Proposed rule; extension of comment period. Comments should be received on or before March 2, 2011. 17 CFR Parts 229, 239 and 249 The Securities and Exchange Commission is extending the comment period for a release proposing amendments to its rules to implement Section 1503 of the Dodd-Frank Wall Street Reform and Consumer Protection Act. [Release No. 33-9164; 75 FR 80374 (December 22, 2010)]. The original comment period for Release No. 33-9164 is scheduled to end on January 31, 2011. The Commission is extending the time period in which to provide the Commission with comments on that release for 30 days until Wednesday, March 2, 2011. This action will allow interested persons additional time to analyze the issues and prepare their comments.
GPO FDSys XML | Text type regulations.gov FR Doc. 2011-2374 RIN 3235-AK84 Release No. 34-63793 File No. S7-40-10 SECURITIES AND EXCHANGE COMMISSION Proposed rule; extension of comment period. Comments should be received on or before March 2, 2011. 17 CFR Parts 229 and 249 The Securities and Exchange Commission is extending the comment period for a release proposing amendments to its rules to implement Section 1502 of the Dodd-Frank Wall Street Reform and Consumer Protection Act. [Release No. 34-63547; 75 FR 80948 (December 23, 2010)]. The original comment period for Release No. 34-63547 is scheduled to end on January 31, 2011. The Commission is extending the time period in which to provide the Commission with comments on that release for 30 days until Wednesday, March 2, 2011. This action will allow interested persons additional time to analyze the issues and prepare their comments.
GPO FDSys XML | Text type regulations.gov FR Doc. 2011-2374 RIN 3235-AK84 Release No. 34-63793 File No. S7-40-10 SECURITIES AND EXCHANGE COMMISSION Proposed rule; extension of comment period. Comments should be received on or before March 2, 2011. 17 CFR Parts 229 and 249 The Securities and Exchange Commission is extending the comment period for a release proposing amendments to its rules to implement Section 1502 of the Dodd-Frank Wall Street Reform and Consumer Protection Act. [Release No. 34-63547; 75 FR 80948 (December 23, 2010)]. The original comment period for Release No. 34-63547 is scheduled to end on January 31, 2011. The Commission is extending the time period in which to provide the Commission with comments on that release for 30 days until Wednesday, March 2, 2011. This action will allow interested persons additional time to analyze the issues and prepare their comments.
GPO FDSys XML | Text type regulations.gov FR Doc. 2011-2359 RIN 3235-AK85 Release No. 34-63795 File No. S7-42-10 SECURITIES AND EXCHANGE COMMISSION Proposed rule; extension of comment period. Comments should be received on or before March 2, 2011. 17 CFR Parts 229 and 249 The Securities and Exchange Commission is extending the comment period for a release proposing amendments to its rules pursuant to Section 1504 of the Dodd-Frank Wall Street Reform and Consumer Protection Act. [Release No. 34-63549; 75 FR 80977 (December 23, 2010)]. The original comment period for Release 34-63549 is scheduled to end on January 31, 2011. The Commission is extending the time period in which to provide the Commission with comments on that release for 30 days until Wednesday, March 2, 2011. This action will allow interested persons additional time to analyze the issues and prepare their comments.
GPO FDSys XML | Text type regulations.gov FR Doc. 2011-2359 RIN 3235-AK85 Release No. 34-63795 File No. S7-42-10 SECURITIES AND EXCHANGE COMMISSION Proposed rule; extension of comment period. Comments should be received on or before March 2, 2011. 17 CFR Parts 229 and 249 The Securities and Exchange Commission is extending the comment period for a release proposing amendments to its rules pursuant to Section 1504 of the Dodd-Frank Wall Street Reform and Consumer Protection Act. [Release No. 34-63549; 75 FR 80977 (December 23, 2010)]. The original comment period for Release 34-63549 is scheduled to end on January 31, 2011. The Commission is extending the time period in which to provide the Commission with comments on that release for 30 days until Wednesday, March 2, 2011. This action will allow interested persons additional time to analyze the issues and prepare their comments.
GPO FDSys XML | Text type regulations.gov FR Doc. 2011-1971 RIN 3235-AK68 Release Nos. 33-9178 34-63768 File No. S7-31-10 SECURITIES AND EXCHANGE COMMISSION Final rule. Effective Date: April 4, 2011. Compliance Date: April 4, 2011, except that issuers must comply with Exchange Act Section 14A(b) and Rule 14a-21(c) and the amendments to Item 5 of Schedule 14A, Item 3 of Schedule 14C, Item 1011 of Regulation M-A, Item 11 of Schedule TO, Item 15 of Schedule 13E-3, and Item 8 of Schedule 14D-9 for initial preliminary proxy and information statements, Schedules TO, 13E-3, and 14D-9 and Forms S-4 and F-4 filed on or after April 25, 2011. Companies that qualify as “smaller reporting companies” (as defined in 17 CFR 240.12b-2) as of January 21, 2011, including newly public companies that qualify as smaller reporting companies after January 21, 2011, will not be subject to Exchange Act Section 14A(a) and Rule 14a-21(a) and (b) until the first annual or other meeting of shareholders at which directors will be elected and for which the rules of the Commission require executive compensation disclosure pursuant to Item 402 of Regulation S-K (17 CFR 229.402) occurring on or after January 21, 2013. 17 CFR Parts 229, 240 and 249 We are adopting amendments to our rules to implement the provisions of the Dodd-Frank Wall Street Reform and Consumer Protection Act relating to shareholder approval of executive compensation and “golden parachute” compensation arrangements. Section 951 of the Dodd-Frank Act amends the Securities Exchange Act of 1934 by adding Section 14A, which requires companies to conduct a separate shareholder advisory vote to approve the compensation of executives, as disclosed pursuant to Item 402 of Regulation S-K or any successor to Item 402. Section 14A also requires companies to conduct a separate shareholder advisory vote to determine how often an issuer will conduct a shareholder advisory vote on executive compensation. In addition, Section 14A requires companies soliciting votes to approve merger or acquisition transactions to provide disclosure of certain “golden parachute” compensation arrangements and, in certain circumstances, to conduct a separate shareholder advisory vote to approve the golden parachute compensation arrangements.
GPO FDSys XML | Text type regulations.gov FR Doc. 2011-1971 RIN 3235-AK68 Release Nos. 33-9178 34-63768 File No. S7-31-10 SECURITIES AND EXCHANGE COMMISSION Final rule. Effective Date: April 4, 2011. Compliance Date: April 4, 2011, except that issuers must comply with Exchange Act Section 14A(b) and Rule 14a-21(c) and the amendments to Item 5 of Schedule 14A, Item 3 of Schedule 14C, Item 1011 of Regulation M-A, Item 11 of Schedule TO, Item 15 of Schedule 13E-3, and Item 8 of Schedule 14D-9 for initial preliminary proxy and information statements, Schedules TO, 13E-3, and 14D-9 and Forms S-4 and F-4 filed on or after April 25, 2011. Companies that qualify as “smaller reporting companies” (as defined in 17 CFR 240.12b-2) as of January 21, 2011, including newly public companies that qualify as smaller reporting companies after January 21, 2011, will not be subject to Exchange Act Section 14A(a) and Rule 14a-21(a) and (b) until the first annual or other meeting of shareholders at which directors will be elected and for which the rules of the Commission require executive compensation disclosure pursuant to Item 402 of Regulation S-K (17 CFR 229.402) occurring on or after January 21, 2013. 17 CFR Parts 229, 240 and 249 We are adopting amendments to our rules to implement the provisions of the Dodd-Frank Wall Street Reform and Consumer Protection Act relating to shareholder approval of executive compensation and “golden parachute” compensation arrangements. Section 951 of the Dodd-Frank Act amends the Securities Exchange Act of 1934 by adding Section 14A, which requires companies to conduct a separate shareholder advisory vote to approve the compensation of executives, as disclosed pursuant to Item 402 of Regulation S-K or any successor to Item 402. Section 14A also requires companies to conduct a separate shareholder advisory vote to determine how often an issuer will conduct a shareholder advisory vote on executive compensation. In addition, Section 14A requires companies soliciting votes to approve merger or acquisition transactions to provide disclosure of certain “golden parachute” compensation arrangements and, in certain circumstances, to conduct a separate shareholder advisory vote to approve the golden parachute compensation arrangements.
GPO FDSys XML | Text type regulations.gov FR Doc. 2011-1971 RIN 3235-AK68 Release Nos. 33-9178 34-63768 File No. S7-31-10 SECURITIES AND EXCHANGE COMMISSION Final rule. Effective Date: April 4, 2011. Compliance Date: April 4, 2011, except that issuers must comply with Exchange Act Section 14A(b) and Rule 14a-21(c) and the amendments to Item 5 of Schedule 14A, Item 3 of Schedule 14C, Item 1011 of Regulation M-A, Item 11 of Schedule TO, Item 15 of Schedule 13E-3, and Item 8 of Schedule 14D-9 for initial preliminary proxy and information statements, Schedules TO, 13E-3, and 14D-9 and Forms S-4 and F-4 filed on or after April 25, 2011. Companies that qualify as “smaller reporting companies” (as defined in 17 CFR 240.12b-2) as of January 21, 2011, including newly public companies that qualify as smaller reporting companies after January 21, 2011, will not be subject to Exchange Act Section 14A(a) and Rule 14a-21(a) and (b) until the first annual or other meeting of shareholders at which directors will be elected and for which the rules of the Commission require executive compensation disclosure pursuant to Item 402 of Regulation S-K (17 CFR 229.402) occurring on or after January 21, 2013. 17 CFR Parts 229, 240 and 249 We are adopting amendments to our rules to implement the provisions of the Dodd-Frank Wall Street Reform and Consumer Protection Act relating to shareholder approval of executive compensation and “golden parachute” compensation arrangements. Section 951 of the Dodd-Frank Act amends the Securities Exchange Act of 1934 by adding Section 14A, which requires companies to conduct a separate shareholder advisory vote to approve the compensation of executives, as disclosed pursuant to Item 402 of Regulation S-K or any successor to Item 402. Section 14A also requires companies to conduct a separate shareholder advisory vote to determine how often an issuer will conduct a shareholder advisory vote on executive compensation. In addition, Section 14A requires companies soliciting votes to approve merger or acquisition transactions to provide disclosure of certain “golden parachute” compensation arrangements and, in certain circumstances, to conduct a separate shareholder advisory vote to approve the golden parachute compensation arrangements.
GPO FDSys XML | Text type regulations.gov FR Doc. 2011-1922 RIN 3235-AK90 Release Nos. 33-9177 IA-3144 IC-29572 File No. S7-04-11 SECURITIES AND EXCHANGE COMMISSION Proposed rule. Comments should be received on or before March 11, 2011. 17 CFR Parts 230, 239, 270, and 275 We are proposing amendments to the accredited investor standards in our rules under the Securities Act of 1933 to reflect the requirements of Section 413(a) of the Dodd-Frank Wall Street Reform and Consumer Protection Act. Section 413(a) requires the definitions of “accredited investor” in our Securities Act rules to exclude the value of a person's primary residence for purposes of determining whether the person qualifies as an “accredited investor” on the basis of having a net worth in excess of $1 million. This change to the net worth standard was effective upon enactment by operation of the Dodd-Frank statute, but Section 413(a) also requires us to revise our current Securities Act rules to reflect the new standard. We also are proposing technical amendments to Form D and a number of our rules to conform them to the language of Section 413(a) and to correct cross-references to former Section 4(6) of the Securities Act, which was renumbered Section 4(5) by Section 944 of the Dodd-Frank Act.
GPO FDSys XML | Text type regulations.gov FR Doc. 2011-1922 RIN 3235-AK90 Release Nos. 33-9177 IA-3144 IC-29572 File No. S7-04-11 SECURITIES AND EXCHANGE COMMISSION Proposed rule. Comments should be received on or before March 11, 2011. 17 CFR Parts 230, 239, 270, and 275 We are proposing amendments to the accredited investor standards in our rules under the Securities Act of 1933 to reflect the requirements of Section 413(a) of the Dodd-Frank Wall Street Reform and Consumer Protection Act. Section 413(a) requires the definitions of “accredited investor” in our Securities Act rules to exclude the value of a person's primary residence for purposes of determining whether the person qualifies as an “accredited investor” on the basis of having a net worth in excess of $1 million. This change to the net worth standard was effective upon enactment by operation of the Dodd-Frank statute, but Section 413(a) also requires us to revise our current Securities Act rules to reflect the new standard. We also are proposing technical amendments to Form D and a number of our rules to conform them to the language of Section 413(a) and to correct cross-references to former Section 4(6) of the Securities Act, which was renumbered Section 4(5) by Section 944 of the Dodd-Frank Act.
GPO FDSys XML | Text type regulations.gov FR Doc. 2011-1922 RIN 3235-AK90 Release Nos. 33-9177 IA-3144 IC-29572 File No. S7-04-11 SECURITIES AND EXCHANGE COMMISSION Proposed rule. Comments should be received on or before March 11, 2011. 17 CFR Parts 230, 239, 270, and 275 We are proposing amendments to the accredited investor standards in our rules under the Securities Act of 1933 to reflect the requirements of Section 413(a) of the Dodd-Frank Wall Street Reform and Consumer Protection Act. Section 413(a) requires the definitions of “accredited investor” in our Securities Act rules to exclude the value of a person's primary residence for purposes of determining whether the person qualifies as an “accredited investor” on the basis of having a net worth in excess of $1 million. This change to the net worth standard was effective upon enactment by operation of the Dodd-Frank statute, but Section 413(a) also requires us to revise our current Securities Act rules to reflect the new standard. We also are proposing technical amendments to Form D and a number of our rules to conform them to the language of Section 413(a) and to correct cross-references to former Section 4(6) of the Securities Act, which was renumbered Section 4(5) by Section 944 of the Dodd-Frank Act.
GPO FDSys XML | Text type regulations.gov FR Doc. 2011-1922 RIN 3235-AK90 Release Nos. 33-9177 IA-3144 IC-29572 File No. S7-04-11 SECURITIES AND EXCHANGE COMMISSION Proposed rule. Comments should be received on or before March 11, 2011. 17 CFR Parts 230, 239, 270, and 275 We are proposing amendments to the accredited investor standards in our rules under the Securities Act of 1933 to reflect the requirements of Section 413(a) of the Dodd-Frank Wall Street Reform and Consumer Protection Act. Section 413(a) requires the definitions of “accredited investor” in our Securities Act rules to exclude the value of a person's primary residence for purposes of determining whether the person qualifies as an “accredited investor” on the basis of having a net worth in excess of $1 million. This change to the net worth standard was effective upon enactment by operation of the Dodd-Frank statute, but Section 413(a) also requires us to revise our current Securities Act rules to reflect the new standard. We also are proposing technical amendments to Form D and a number of our rules to conform them to the language of Section 413(a) and to correct cross-references to former Section 4(6) of the Securities Act, which was renumbered Section 4(5) by Section 944 of the Dodd-Frank Act.
GPO FDSys XML | Text type regulations.gov FR Doc. C1-2010-29022 RIN 3038-AD04 COMMODITY FUTURES TRADING COMMISSION 17 CFR Part 165 GPO FDSys XML | Text type regulations.gov FR Doc. 2011-1504 RIN 3235-AK75 Release Nos. 33-9175 34-63741 File No. S7-24-10 SECURITIES AND EXCHANGE COMMISSION Final rule. Effective Date: March 28, 2011. Compliance Dates: Rule 15Ga-1: The initial filing required by Rule 15Ga-1(c)(1) for the three years ended December 31, 2011 is required to be filed on February 14, 2012, except that a securitizer that is any State or Territory of the United States, the District of Columbia, any political subdivision of any State, Territory or the District of Columbia, or any public instrumentality of one or more States, Territories or the District of Columbia, shall provide the initial filing required by Rule 15Ga-1(c)(1) for the three years ended December 31, 2014 and file on February 14, 2015. Regulation AB: Any registered offering of asset-backed securities commencing with an initial bona fide offer on or after February 14, 2012 must comply with the information requirements of new Item 1104(e) of Regulation AB. For any such offering that relies on Securities Act Rule 415(a)(1)(x), a Securities Act registration statement filed after December 31, 2011 relating to such offering must be pre-effectively or post-effectively amended, as applicable, to make the prospectus included in Part I of the registration statement compliant. The information required by Item of 1121 of Regulation AB is required for all Form 10-Ds required to be filed after December 31, 2011. Rule 17g-7: NRSROs will be required to provide the information required by the rule to be included in a report accompanying a credit rating for an offering of asset-backed securities for any such report issued on or after September 26, 2011. 17 CFR Parts 229, 232, 240 and 249 Pursuant to Section 943 of the Dodd-Frank Wall Street Reform and Consumer Protection Act, 1 we are adopting new rules related to representations and warranties in asset-backed securities offerings. The final rules require securitizers of asset-backed securities to disclose fulfilled and unfulfilled repurchase requests. Our rules also require nationally recognized statistical rating organizations to include information regarding the representations, warranties and enforcement mechanisms available to investors in an asset-backed securities offering in any report accompanying a credit rating issued in connection with such offering, including a preliminary credit rating. 1 Pub. L. 111-203 (July 21, 2010).
GPO FDSys XML | Text type regulations.gov FR Doc. 2011-1504 RIN 3235-AK75 Release Nos. 33-9175 34-63741 File No. S7-24-10 SECURITIES AND EXCHANGE COMMISSION Final rule. Effective Date: March 28, 2011. Compliance Dates: Rule 15Ga-1: The initial filing required by Rule 15Ga-1(c)(1) for the three years ended December 31, 2011 is required to be filed on February 14, 2012, except that a securitizer that is any State or Territory of the United States, the District of Columbia, any political subdivision of any State, Territory or the District of Columbia, or any public instrumentality of one or more States, Territories or the District of Columbia, shall provide the initial filing required by Rule 15Ga-1(c)(1) for the three years ended December 31, 2014 and file on February 14, 2015. Regulation AB: Any registered offering of asset-backed securities commencing with an initial bona fide offer on or after February 14, 2012 must comply with the information requirements of new Item 1104(e) of Regulation AB. For any such offering that relies on Securities Act Rule 415(a)(1)(x), a Securities Act registration statement filed after December 31, 2011 relating to such offering must be pre-effectively or post-effectively amended, as applicable, to make the prospectus included in Part I of the registration statement compliant. The information required by Item of 1121 of Regulation AB is required for all Form 10-Ds required to be filed after December 31, 2011. Rule 17g-7: NRSROs will be required to provide the information required by the rule to be included in a report accompanying a credit rating for an offering of asset-backed securities for any such report issued on or after September 26, 2011. 17 CFR Parts 229, 232, 240 and 249 Pursuant to Section 943 of the Dodd-Frank Wall Street Reform and Consumer Protection Act, 1 we are adopting new rules related to representations and warranties in asset-backed securities offerings. The final rules require securitizers of asset-backed securities to disclose fulfilled and unfulfilled repurchase requests. Our rules also require nationally recognized statistical rating organizations to include information regarding the representations, warranties and enforcement mechanisms available to investors in an asset-backed securities offering in any report accompanying a credit rating issued in connection with such offering, including a preliminary credit rating. 1 Pub. L. 111-203 (July 21, 2010).
GPO FDSys XML | Text type regulations.gov FR Doc. 2011-1504 RIN 3235-AK75 Release Nos. 33-9175 34-63741 File No. S7-24-10 SECURITIES AND EXCHANGE COMMISSION Final rule. Effective Date: March 28, 2011. Compliance Dates: Rule 15Ga-1: The initial filing required by Rule 15Ga-1(c)(1) for the three years ended December 31, 2011 is required to be filed on February 14, 2012, except that a securitizer that is any State or Territory of the United States, the District of Columbia, any political subdivision of any State, Territory or the District of Columbia, or any public instrumentality of one or more States, Territories or the District of Columbia, shall provide the initial filing required by Rule 15Ga-1(c)(1) for the three years ended December 31, 2014 and file on February 14, 2015. Regulation AB: Any registered offering of asset-backed securities commencing with an initial bona fide offer on or after February 14, 2012 must comply with the information requirements of new Item 1104(e) of Regulation AB. For any such offering that relies on Securities Act Rule 415(a)(1)(x), a Securities Act registration statement filed after December 31, 2011 relating to such offering must be pre-effectively or post-effectively amended, as applicable, to make the prospectus included in Part I of the registration statement compliant. The information required by Item of 1121 of Regulation AB is required for all Form 10-Ds required to be filed after December 31, 2011. Rule 17g-7: NRSROs will be required to provide the information required by the rule to be included in a report accompanying a credit rating for an offering of asset-backed securities for any such report issued on or after September 26, 2011. 17 CFR Parts 229, 232, 240 and 249 Pursuant to Section 943 of the Dodd-Frank Wall Street Reform and Consumer Protection Act, 1 we are adopting new rules related to representations and warranties in asset-backed securities offerings. The final rules require securitizers of asset-backed securities to disclose fulfilled and unfulfilled repurchase requests. Our rules also require nationally recognized statistical rating organizations to include information regarding the representations, warranties and enforcement mechanisms available to investors in an asset-backed securities offering in any report accompanying a credit rating issued in connection with such offering, including a preliminary credit rating. 1 Pub. L. 111-203 (July 21, 2010).
GPO FDSys XML | Text type regulations.gov FR Doc. 2011-1504 RIN 3235-AK75 Release Nos. 33-9175 34-63741 File No. S7-24-10 SECURITIES AND EXCHANGE COMMISSION Final rule. Effective Date: March 28, 2011. Compliance Dates: Rule 15Ga-1: The initial filing required by Rule 15Ga-1(c)(1) for the three years ended December 31, 2011 is required to be filed on February 14, 2012, except that a securitizer that is any State or Territory of the United States, the District of Columbia, any political subdivision of any State, Territory or the District of Columbia, or any public instrumentality of one or more States, Territories or the District of Columbia, shall provide the initial filing required by Rule 15Ga-1(c)(1) for the three years ended December 31, 2014 and file on February 14, 2015. Regulation AB: Any registered offering of asset-backed securities commencing with an initial bona fide offer on or after February 14, 2012 must comply with the information requirements of new Item 1104(e) of Regulation AB. For any such offering that relies on Securities Act Rule 415(a)(1)(x), a Securities Act registration statement filed after December 31, 2011 relating to such offering must be pre-effectively or post-effectively amended, as applicable, to make the prospectus included in Part I of the registration statement compliant. The information required by Item of 1121 of Regulation AB is required for all Form 10-Ds required to be filed after December 31, 2011. Rule 17g-7: NRSROs will be required to provide the information required by the rule to be included in a report accompanying a credit rating for an offering of asset-backed securities for any such report issued on or after September 26, 2011. 17 CFR Parts 229, 232, 240 and 249 Pursuant to Section 943 of the Dodd-Frank Wall Street Reform and Consumer Protection Act, 1 we are adopting new rules related to representations and warranties in asset-backed securities offerings. The final rules require securitizers of asset-backed securities to disclose fulfilled and unfulfilled repurchase requests. Our rules also require nationally recognized statistical rating organizations to include information regarding the representations, warranties and enforcement mechanisms available to investors in an asset-backed securities offering in any report accompanying a credit rating issued in connection with such offering, including a preliminary credit rating. 1 Pub. L. 111-203 (July 21, 2010).
GPO FDSys XML | Text type regulations.gov FR Doc. 2011-1154 RIN 3038-AD15 COMMODITY FUTURES TRADING COMMISSION Notice of proposed rulemaking. Comments must be received on or before March 28, 2011. 17 CFR Parts 1, 150 and 151 Title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010 (“Dodd-Frank Act”) requires the Commodity Futures Trading Commission (“Commission” or “CFTC”) to establish position limits for certain physical commodity derivatives. The Commission is proposing to simultaneously establish position limits and limit formulas for certain physical commodity futures and option contracts executed pursuant to the rules of designated contract markets (“DCM”) and physical commodity swaps that are economically equivalent to such DCM contracts. In compliance with the requirements of the Dodd-Frank Act, the CFTC is also proposing aggregate position limits that would apply across different trading venues to contracts based on the same underlying commodity. The Commission is proposing to establish position limits in two phases: The first phase would involve adopting current DCM spot-month limits, while the second phase would involve establishing non-spot-month limits based on open interest levels as well as establishing Commission-determined spot-month limits. The proposal includes exemptions for bona fide hedging transactions and for positions that are established in good faith prior to the effective date of specific limits that could be adopted pursuant to final regulations. This notice of rulemaking also proposes new account aggregation standards, visibility regulations that are similar to current reporting obligations for large bona fide hedgers, and new regulations establishing requirements and standards for position limits and accountability rules that are implemented by registered entities. The Commission solicits comment on any aspect of the proposal. The Commission also solicits comment on particular issues throughout the preamble.
GPO FDSys XML | Text type regulations.gov FR Doc. 2011-1154 RIN 3038-AD15 COMMODITY FUTURES TRADING COMMISSION Notice of proposed rulemaking. Comments must be received on or before March 28, 2011. 17 CFR Parts 1, 150 and 151 Title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010 (“Dodd-Frank Act”) requires the Commodity Futures Trading Commission (“Commission” or “CFTC”) to establish position limits for certain physical commodity derivatives. The Commission is proposing to simultaneously establish position limits and limit formulas for certain physical commodity futures and option contracts executed pursuant to the rules of designated contract markets (“DCM”) and physical commodity swaps that are economically equivalent to such DCM contracts. In compliance with the requirements of the Dodd-Frank Act, the CFTC is also proposing aggregate position limits that would apply across different trading venues to contracts based on the same underlying commodity. The Commission is proposing to establish position limits in two phases: The first phase would involve adopting current DCM spot-month limits, while the second phase would involve establishing non-spot-month limits based on open interest levels as well as establishing Commission-determined spot-month limits. The proposal includes exemptions for bona fide hedging transactions and for positions that are established in good faith prior to the effective date of specific limits that could be adopted pursuant to final regulations. This notice of rulemaking also proposes new account aggregation standards, visibility regulations that are similar to current reporting obligations for large bona fide hedgers, and new regulations establishing requirements and standards for position limits and accountability rules that are implemented by registered entities. The Commission solicits comment on any aspect of the proposal. The Commission also solicits comment on particular issues throughout the preamble.
GPO FDSys XML | Text type regulations.gov FR Doc. 2011-1154 RIN 3038-AD15 COMMODITY FUTURES TRADING COMMISSION Notice of proposed rulemaking. Comments must be received on or before March 28, 2011. 17 CFR Parts 1, 150 and 151 Title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010 (“Dodd-Frank Act”) requires the Commodity Futures Trading Commission (“Commission” or “CFTC”) to establish position limits for certain physical commodity derivatives. The Commission is proposing to simultaneously establish position limits and limit formulas for certain physical commodity futures and option contracts executed pursuant to the rules of designated contract markets (“DCM”) and physical commodity swaps that are economically equivalent to such DCM contracts. In compliance with the requirements of the Dodd-Frank Act, the CFTC is also proposing aggregate position limits that would apply across different trading venues to contracts based on the same underlying commodity. The Commission is proposing to establish position limits in two phases: The first phase would involve adopting current DCM spot-month limits, while the second phase would involve establishing non-spot-month limits based on open interest levels as well as establishing Commission-determined spot-month limits. The proposal includes exemptions for bona fide hedging transactions and for positions that are established in good faith prior to the effective date of specific limits that could be adopted pursuant to final regulations. This notice of rulemaking also proposes new account aggregation standards, visibility regulations that are similar to current reporting obligations for large bona fide hedgers, and new regulations establishing requirements and standards for position limits and accountability rules that are implemented by registered entities. The Commission solicits comment on any aspect of the proposal. The Commission also solicits comment on particular issues throughout the preamble.
GPO FDSys XML | Text type regulations.gov FR Doc. 2011-1503 RIN 3235-AK76 Release Nos. 33-9176, 34-63742 File No. S7-26-10 SECURITIES AND EXCHANGE COMMISSION Final rule. Effective Date: March 28, 2011. Compliance Date: Any registered offering of asset-backed securities commencing with an initial bona fide offer after December 31, 2011, must comply with the new rules and forms. 17 CFR Parts 229 and 230 We are adopting new requirements in order to implement Section 945 of the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010 (the “Act”). We are adopting a new rule under the Securities Act of 1933 to require any issuer registering the offer and sale of an asset-backed security (“ABS”) to perform a review of the assets underlying the ABS. We also are adopting amendments to Item 1111 of Regulation AB that would require an ABS issuer to disclose the nature of its review of the assets and the findings and conclusions of the issuer's review of the assets.
GPO FDSys XML | Text type regulations.gov FR Doc. 2011-1503 RIN 3235-AK76 Release Nos. 33-9176, 34-63742 File No. S7-26-10 SECURITIES AND EXCHANGE COMMISSION Final rule. Effective Date: March 28, 2011. Compliance Date: Any registered offering of asset-backed securities commencing with an initial bona fide offer after December 31, 2011, must comply with the new rules and forms. 17 CFR Parts 229 and 230 We are adopting new requirements in order to implement Section 945 of the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010 (the “Act”). We are adopting a new rule under the Securities Act of 1933 to require any issuer registering the offer and sale of an asset-backed security (“ABS”) to perform a review of the assets underlying the ABS. We also are adopting amendments to Item 1111 of Regulation AB that would require an ABS issuer to disclose the nature of its review of the assets and the findings and conclusions of the issuer's review of the assets.
GPO FDSys XML | Text type regulations.gov FR Doc. 2011-1199 RIN Release No. 34-63723 SECURITIES AND EXCHANGE COMMISSION Final rule. Effective Date: January 24, 2011. 17 CFR Parts 201, 202 and 240 Section 916 of the Dodd-Frank Wall Street Reform and Consumer Protection Act (“Dodd-Frank Act”) 1 amended Section 19(b) of the Securities Exchange Act of 1934 (“Exchange Act”), 2 which governs the handling of proposed rule changes submitted by self-regulatory organizations (“SROs”). Among other things, the Dodd-Frank Act's amendments to Section 19 of the Exchange Act require the Securities and Exchange Commission (“Commission”) to promulgate rules setting forth the procedural requirements of proceedings to determine whether a proposed rule change should be disapproved. In satisfaction of this requirement, the Commission is adopting new Rules of Practice to formalize the process it will use when conducting proceedings to determine whether an SRO's proposed rule change should be disapproved under Section 19(b)(2) of the Exchange Act. The new rules are intended to add transparency to the Commission's conduct of those proceedings and address the process the Commission will follow to institute proceedings and provide notice of the grounds for disapproval under consideration as well as provide interested parties with an opportunity to submit written materials to the Commission. In addition, the Commission is making conforming changes to Rule 19b-4 under the Exchange Act in recognition of the new Rules of Practice. Further, pursuant to Section 107 of the Sarbanes-Oxley Act of 2002 (“Sarbanes-Oxley Act”), the provisions of paragraphs (1) through (3) of Section 19(b) of the Exchange Act govern the proposed rules of the Public Company Accounting Oversight Board (“PCAOB”). 3 The Commission is amending Regulation P to add a rule providing that these new Rules of Practice also formalize the process the Commission will use when conducting proceedings to determine whether a PCAOB proposed rule should be disapproved. 1 Public Law 111-203 (July 21, 2010). 2 15 U.S.C. 78s(b)(2). 3 See 15 U.S.C. 7217.
GPO FDSys XML | Text type regulations.gov FR Doc. 2011-1199 RIN Release No. 34-63723 SECURITIES AND EXCHANGE COMMISSION Final rule. Effective Date: January 24, 2011. 17 CFR Parts 201, 202 and 240 Section 916 of the Dodd-Frank Wall Street Reform and Consumer Protection Act (“Dodd-Frank Act”) 1 amended Section 19(b) of the Securities Exchange Act of 1934 (“Exchange Act”), 2 which governs the handling of proposed rule changes submitted by self-regulatory organizations (“SROs”). Among other things, the Dodd-Frank Act's amendments to Section 19 of the Exchange Act require the Securities and Exchange Commission (“Commission”) to promulgate rules setting forth the procedural requirements of proceedings to determine whether a proposed rule change should be disapproved. In satisfaction of this requirement, the Commission is adopting new Rules of Practice to formalize the process it will use when conducting proceedings to determine whether an SRO's proposed rule change should be disapproved under Section 19(b)(2) of the Exchange Act. The new rules are intended to add transparency to the Commission's conduct of those proceedings and address the process the Commission will follow to institute proceedings and provide notice of the grounds for disapproval under consideration as well as provide interested parties with an opportunity to submit written materials to the Commission. In addition, the Commission is making conforming changes to Rule 19b-4 under the Exchange Act in recognition of the new Rules of Practice. Further, pursuant to Section 107 of the Sarbanes-Oxley Act of 2002 (“Sarbanes-Oxley Act”), the provisions of paragraphs (1) through (3) of Section 19(b) of the Exchange Act govern the proposed rules of the Public Company Accounting Oversight Board (“PCAOB”). 3 The Commission is amending Regulation P to add a rule providing that these new Rules of Practice also formalize the process the Commission will use when conducting proceedings to determine whether a PCAOB proposed rule should be disapproved. 1 Public Law 111-203 (July 21, 2010). 2 15 U.S.C. 78s(b)(2). 3 See 15 U.S.C. 7217.
GPO FDSys XML | Text type regulations.gov FR Doc. 2011-1199 RIN Release No. 34-63723 SECURITIES AND EXCHANGE COMMISSION Final rule. Effective Date: January 24, 2011. 17 CFR Parts 201, 202 and 240 Section 916 of the Dodd-Frank Wall Street Reform and Consumer Protection Act (“Dodd-Frank Act”) 1 amended Section 19(b) of the Securities Exchange Act of 1934 (“Exchange Act”), 2 which governs the handling of proposed rule changes submitted by self-regulatory organizations (“SROs”). Among other things, the Dodd-Frank Act's amendments to Section 19 of the Exchange Act require the Securities and Exchange Commission (“Commission”) to promulgate rules setting forth the procedural requirements of proceedings to determine whether a proposed rule change should be disapproved. In satisfaction of this requirement, the Commission is adopting new Rules of Practice to formalize the process it will use when conducting proceedings to determine whether an SRO's proposed rule change should be disapproved under Section 19(b)(2) of the Exchange Act. The new rules are intended to add transparency to the Commission's conduct of those proceedings and address the process the Commission will follow to institute proceedings and provide notice of the grounds for disapproval under consideration as well as provide interested parties with an opportunity to submit written materials to the Commission. In addition, the Commission is making conforming changes to Rule 19b-4 under the Exchange Act in recognition of the new Rules of Practice. Further, pursuant to Section 107 of the Sarbanes-Oxley Act of 2002 (“Sarbanes-Oxley Act”), the provisions of paragraphs (1) through (3) of Section 19(b) of the Exchange Act govern the proposed rules of the Public Company Accounting Oversight Board (“PCAOB”). 3 The Commission is amending Regulation P to add a rule providing that these new Rules of Practice also formalize the process the Commission will use when conducting proceedings to determine whether a PCAOB proposed rule should be disapproved. 1 Public Law 111-203 (July 21, 2010). 2 15 U.S.C. 78s(b)(2). 3 See 15 U.S.C. 7217.
GPO FDSys XML | Text type regulations.gov FR Doc. 2011-1218 RIN 3235-AK91 Release No. 34-63727 File No. S7-03-11 SECURITIES AND EXCHANGE COMMISSION Proposed rule. Comments should be received on or before February 22, 2011. 17 CFR Part 240 In accordance with Section 764(a) of Title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010 (“Dodd-Frank Act”), the Securities and Exchange Commission (“Commission”) is proposing rule 15Fi-1 under the Securities Exchange Act of 1934 (“Exchange Act”), 15 U.S.C. 78a et seq., which would require security-based swap dealers and major security-based swap participants to provide trade acknowledgments and to verify those trade acknowledgments in security-based swap transactions.
GPO FDSys XML | Text type regulations.gov FR Doc. 2011-690 RIN 3038-AC98 COMMODITY FUTURES TRADING COMMISSION Notice of proposed rulemaking. Submit comments on or before March 21, 2011. 17 CFR Part 39 The Commodity Futures Trading Commission (Commission) is proposing regulations to implement Title VII and Title VIII of the Dodd-Frank Wall Street Reform and Consumer Protection Act (Dodd-Frank Act). Proposed regulations would establish the regulatory standards for compliance with derivatives clearing organization (DCO) Core Principles C (Participant and Product Eligibility), D (Risk Management), E (Settlement Procedures), F (Treatment of Funds), G (Default Rules and Procedures), and I (System Safeguards). For DCOs that are designated by the Financial Stability Oversight Council as systemically important DCOs (SIDCOs), the Commission is proposing heightened standards in the area of system safeguards supporting business continuity and disaster recovery and a provision that would implement the Commission's special enforcement authority over SIDCOs. The Commission also is proposing certain additional amendments including replacement of the current part 39 appendix A, Application Guidance and Compliance With Core Principles, with an application form for entities seeking to register as DCOs, technical amendments to reorganize part 39 of the Commission's regulations, and amendments to supplement reporting and public information requirements proposed in a previous rulemaking.
GPO FDSys XML | Text type regulations.gov FR Doc. 2011-835 RIN Release No. 34-63699 SECURITIES AND EXCHANGE COMMISSION Final rule. Effective Date: January 18, 2011. 17 CFR Part 200 The Securities and Exchange Commission is amending its rules to delegate authority to the Chief Accountant with respect to proposed rule changes of the Public Company Accounting Oversight Board pursuant to Section 107 of the Sarbanes-Oxley Act of 2002 and Section 19(b) of the Securities Exchange Act of 1934, as follows: To publish notices of proposed rule changes filed by the PCAOB; to approve or disapprove a proposed rule change; and to temporarily suspend a proposed rule of the PCAOB. In addition, the Commission is amending its rules to delegate authority to the Chief Accountant to determine the appropriateness of extending the time periods specified in Section 19(b) and publish the reasons for such determination as well as to effect any such extension and to institute proceedings to determine whether to disapprove a proposal and to provide to the PCAOB notice of the grounds for disapproval under consideration, and to find good cause to approve a proposal on an accelerated basis and to publish the reasons for such determination. This delegation is intended to conserve Commission resources and to maintain the effectiveness and efficiency of the Commission's PCAOB proposed rule filing process.
GPO FDSys XML | Text type regulations.gov FR Doc. 2011-416 RIN 3235-AK89 Release No. 34-63652 File No. S7-02-11 SECURITIES AND EXCHANGE COMMISSION Proposed rule. Comments should be received on or before February 7, 2011. 17 CFR Parts 240 and 249 Section 942(a) of the Dodd-Frank Wall Street Reform and Consumer Protection Act eliminated the automatic suspension of the duty to file under Section 15(d) of the Securities Exchange Act of 1934 for asset-backed securities issuers and granted the Commission the authority to issue rules providing for the suspension or termination of such duty. We are proposing to permit suspension of the reporting obligations for asset-backed securities issuers when there are no longer asset-backed securities of the class sold in a registered transaction held by non-affiliates of the depositor. We are also proposing to amend our rules relating to the Exchange Act reporting obligations of asset-backed securities issuers in light of these statutory changes.
GPO FDSys XML | Text type regulations.gov FR Doc. 2011-416 RIN 3235-AK89 Release No. 34-63652 File No. S7-02-11 SECURITIES AND EXCHANGE COMMISSION Proposed rule. Comments should be received on or before February 7, 2011. 17 CFR Parts 240 and 249 Section 942(a) of the Dodd-Frank Wall Street Reform and Consumer Protection Act eliminated the automatic suspension of the duty to file under Section 15(d) of the Securities Exchange Act of 1934 for asset-backed securities issuers and granted the Commission the authority to issue rules providing for the suspension or termination of such duty. We are proposing to permit suspension of the reporting obligations for asset-backed securities issuers when there are no longer asset-backed securities of the class sold in a registered transaction held by non-affiliates of the depositor. We are also proposing to amend our rules relating to the Exchange Act reporting obligations of asset-backed securities issuers in light of these statutory changes.
GPO FDSys XML | Text type regulations.gov FR Doc. 2011-378 RIN Release Nos. 33-9169 34-63646, 39-2473, IC-29547 SECURITIES AND EXCHANGE COMMISSION Final rule. January 11, 2011. The incorporation by reference of the EDGAR Filer Manual is approved by the Director of the Federal Register as of January 11, 2011. 17 CFR Part 232 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 are being made primarily to implement the new EDGARLink Online Application which will allow filers to submit EDGARLink submission form types online without the use of the offline EDGARLink Tool, to support the electronic filing of submission form types ABS 15G, ABS 15G/A, a new Form 8-K Item 6.10, and to support minor changes in XBRL validations for filings containing Exhibit 101 attachments. The EDGAR system is scheduled to be upgraded to support this functionality on December 13, 2010. The filer manual is also being revised to address changes previously made in EDGAR to support the electronic filing of new submission form types SC 14N, SC 14N/A, SC 14N-S, SC 14N-S/A, and the new Form 8-K Item 5.08. The revisions to the Filer Manual reflect changes within Volume I entitled EDGAR Filer Manual, Volume I: “General Information,” Version 9 (December 2010) and Volume II entitled EDGAR Filer Manual, Volume II: “EDGAR Filing,” Version 16 (December 2010). The updated manual will be incorporated by reference into the Code of Federal Regulations.
GPO FDSys XML | Text type regulations.gov FR Doc. 2010-32358 RIN 3038-AD18 COMMODITY FUTURES TRADING COMMISSION Notice of Proposed Rulemaking. Comments must be received on or before March 8, 2011. 17 CFR Part 37 The Commodity Futures Trading Commission (“Commission” or “CFTC”) is proposing new rules, and guidance and acceptable practices to implement the new statutory provisions enacted by Title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act. The proposed rules, guidance, and acceptable practices, which apply to the registration and operation of a new type of regulated entity named a swap execution facility, implement the new statutory framework that, among other things, adds a new Section 5h to the Commodity Exchange Act (“CEA”) concerning the registration and operation of swap execution facilities, and new Section 2(h)(8) to the CEA concerning the listing, trading and execution of swaps on swap execution facilities. The Commission requests comment on all aspects of the proposed rules, guidance and acceptable practices.
GPO FDSys XML | Text type regulations.gov FR Doc. 2010-31898 RIN 3038-AD01 COMMODITY FUTURES TRADING COMMISSION Notice of proposed rulemaking. Submit comments on or before March 7, 2011. 17 CFR Parts 1, 37, 38, 39, and 40 The Commodity Futures Trading Commission (the “Commission”) hereby proposes regulations to further implement new statutory provisions enacted by Title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act (“Dodd-Frank Act”). Specifically, the Commission proposes certain substantive requirements on the resolution of conflicts of interest, in order to further implement core principles applicable to derivatives clearing organizations (“DCOs”), designated contract markets (“DCMs”), and swap execution facilities (“SEFs”). Such substantive requirements address reporting, transparency in decision-making, and limitations on use or disclosure of non-public information, among other things. For DCOs and DCMs, the Commission also proposes regulations to implement core principles concerning governance fitness standards and the composition of governing bodies. Finally, for publicly-traded DCMs, the Commission proposes regulations to implement the core principle on diversity of Boards of Directors. The Commission welcomes comments on all aspects of the proposed regulations.
GPO FDSys XML | Text type regulations.gov FR Doc. 2010-31898 RIN 3038-AD01 COMMODITY FUTURES TRADING COMMISSION Notice of proposed rulemaking. Submit comments on or before March 7, 2011. 17 CFR Parts 1, 37, 38, 39, and 40 The Commodity Futures Trading Commission (the “Commission”) hereby proposes regulations to further implement new statutory provisions enacted by Title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act (“Dodd-Frank Act”). Specifically, the Commission proposes certain substantive requirements on the resolution of conflicts of interest, in order to further implement core principles applicable to derivatives clearing organizations (“DCOs”), designated contract markets (“DCMs”), and swap execution facilities (“SEFs”). Such substantive requirements address reporting, transparency in decision-making, and limitations on use or disclosure of non-public information, among other things. For DCOs and DCMs, the Commission also proposes regulations to implement core principles concerning governance fitness standards and the composition of governing bodies. Finally, for publicly-traded DCMs, the Commission proposes regulations to implement the core principle on diversity of Boards of Directors. The Commission welcomes comments on all aspects of the proposed regulations.
GPO FDSys XML | Text type regulations.gov FR Doc. 2010-31898 RIN 3038-AD01 COMMODITY FUTURES TRADING COMMISSION Notice of proposed rulemaking. Submit comments on or before March 7, 2011. 17 CFR Parts 1, 37, 38, 39, and 40 The Commodity Futures Trading Commission (the “Commission”) hereby proposes regulations to further implement new statutory provisions enacted by Title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act (“Dodd-Frank Act”). Specifically, the Commission proposes certain substantive requirements on the resolution of conflicts of interest, in order to further implement core principles applicable to derivatives clearing organizations (“DCOs”), designated contract markets (“DCMs”), and swap execution facilities (“SEFs”). Such substantive requirements address reporting, transparency in decision-making, and limitations on use or disclosure of non-public information, among other things. For DCOs and DCMs, the Commission also proposes regulations to implement core principles concerning governance fitness standards and the composition of governing bodies. Finally, for publicly-traded DCMs, the Commission proposes regulations to implement the core principle on diversity of Boards of Directors. The Commission welcomes comments on all aspects of the proposed regulations.
GPO FDSys XML | Text type regulations.gov FR Doc. 2010-31898 RIN 3038-AD01 COMMODITY FUTURES TRADING COMMISSION Notice of proposed rulemaking. Submit comments on or before March 7, 2011. 17 CFR Parts 1, 37, 38, 39, and 40 The Commodity Futures Trading Commission (the “Commission”) hereby proposes regulations to further implement new statutory provisions enacted by Title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act (“Dodd-Frank Act”). Specifically, the Commission proposes certain substantive requirements on the resolution of conflicts of interest, in order to further implement core principles applicable to derivatives clearing organizations (“DCOs”), designated contract markets (“DCMs”), and swap execution facilities (“SEFs”). Such substantive requirements address reporting, transparency in decision-making, and limitations on use or disclosure of non-public information, among other things. For DCOs and DCMs, the Commission also proposes regulations to implement core principles concerning governance fitness standards and the composition of governing bodies. Finally, for publicly-traded DCMs, the Commission proposes regulations to implement the core principle on diversity of Boards of Directors. The Commission welcomes comments on all aspects of the proposed regulations.
GPO FDSys XML | Text type regulations.gov FR Doc. 2010-31898 RIN 3038-AD01 COMMODITY FUTURES TRADING COMMISSION Notice of proposed rulemaking. Submit comments on or before March 7, 2011. 17 CFR Parts 1, 37, 38, 39, and 40 The Commodity Futures Trading Commission (the “Commission”) hereby proposes regulations to further implement new statutory provisions enacted by Title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act (“Dodd-Frank Act”). Specifically, the Commission proposes certain substantive requirements on the resolution of conflicts of interest, in order to further implement core principles applicable to derivatives clearing organizations (“DCOs”), designated contract markets (“DCMs”), and swap execution facilities (“SEFs”). Such substantive requirements address reporting, transparency in decision-making, and limitations on use or disclosure of non-public information, among other things. For DCOs and DCMs, the Commission also proposes regulations to implement core principles concerning governance fitness standards and the composition of governing bodies. Finally, for publicly-traded DCMs, the Commission proposes regulations to implement the core principle on diversity of Boards of Directors. The Commission welcomes comments on all aspects of the proposed regulations.
GPO FDSys XML | Text type regulations.gov FR Doc. 2010-32445 RIN 3235-AK86 Release No. 34-63576 File No. S7-45-10 SECURITIES AND EXCHANGE COMMISSION Proposed rule. Comments should be received on or before February 22, 2011. 17 CFR Parts 240 and 249 Section 975 of Title IX of the Dodd-Frank Wall Street Reform and Consumer Protection Act (“Dodd-Frank Act”) amended Section 15B of the Securities Exchange Act of 1934 (as amended, the “Exchange Act”) to require municipal advisors, as defined below, to register with the Securities and Exchange Commission (“Commission” or “SEC”) effective October 1, 2010. To enable municipal advisors to temporarily satisfy this requirement, the Commission adopted an interim final temporary rule and form, Exchange Act rule 15Ba2-6T and Form MA-T, effective October 1, 2010. Rule 15Ba2-6T will expire on December 31, 2011. The Commission is proposing new rules 15Ba1-1 through 15Ba1-7 and new Forms MA, MA-I, MA-W, and MA-NR under the Exchange Act. These proposed rules and forms are designed to give effect to provisions of Title IX of the Dodd-Frank Act that, among other things, would establish a permanent registration regime with the Commission for municipal advisors and would impose certain record-keeping requirements on such advisors.
GPO FDSys XML | Text type regulations.gov FR Doc. 2010-32445 RIN 3235-AK86 Release No. 34-63576 File No. S7-45-10 SECURITIES AND EXCHANGE COMMISSION Proposed rule. Comments should be received on or before February 22, 2011. 17 CFR Parts 240 and 249 Section 975 of Title IX of the Dodd-Frank Wall Street Reform and Consumer Protection Act (“Dodd-Frank Act”) amended Section 15B of the Securities Exchange Act of 1934 (as amended, the “Exchange Act”) to require municipal advisors, as defined below, to register with the Securities and Exchange Commission (“Commission” or “SEC”) effective October 1, 2010. To enable municipal advisors to temporarily satisfy this requirement, the Commission adopted an interim final temporary rule and form, Exchange Act rule 15Ba2-6T and Form MA-T, effective October 1, 2010. Rule 15Ba2-6T will expire on December 31, 2011. The Commission is proposing new rules 15Ba1-1 through 15Ba1-7 and new Forms MA, MA-I, MA-W, and MA-NR under the Exchange Act. These proposed rules and forms are designed to give effect to provisions of Title IX of the Dodd-Frank Act that, among other things, would establish a permanent registration regime with the Commission for municipal advisors and would impose certain record-keeping requirements on such advisors.
GPO FDSys XML | Text type regulations.gov FR Doc. 2010-33142 RIN 3235-AI17 Release No. IA-3129 File No. S7-10-00 SECURITIES AND EXCHANGE COMMISSION Final rule; extension of compliance date. The effective date for amendments to Part 2 of Form ADV and related rules under the Advisers Act remains October 12, 2010. The compliance date for Form ADV, Part 2B and the provisions of rule 204-3 concerning the delivery of brochure supplements is extended generally for four months as described in the SUPPLEMENTARY INFORMATION section. 17 CFR Parts 275 and 279 The Securities and Exchange Commission is extending the compliance date for Part 2B of Form ADV, the brochure supplement, and for certain rule provisions that relate to the delivery of brochure supplements. The Commission is extending the compliance date generally for four months to provide certain investment advisers additional time to design, test and implement systems and controls to satisfy their obligations to prepare and deliver brochure supplements.
GPO FDSys XML | Text type regulations.gov FR Doc. 2010-33142 RIN 3235-AI17 Release No. IA-3129 File No. S7-10-00 SECURITIES AND EXCHANGE COMMISSION Final rule; extension of compliance date. The effective date for amendments to Part 2 of Form ADV and related rules under the Advisers Act remains October 12, 2010. The compliance date for Form ADV, Part 2B and the provisions of rule 204-3 concerning the delivery of brochure supplements is extended generally for four months as described in the SUPPLEMENTARY INFORMATION section. 17 CFR Parts 275 and 279 The Securities and Exchange Commission is extending the compliance date for Part 2B of Form ADV, the brochure supplement, and for certain rule provisions that relate to the delivery of brochure supplements. The Commission is extending the compliance date generally for four months to provide certain investment advisers additional time to design, test and implement systems and controls to satisfy their obligations to prepare and deliver brochure supplements.



