17 CFR 229 - STANDARD INSTRUCTIONS FOR FILING FORMS UNDER SECURITIES ACT OF 1933, SECURITIES EXCHANGE ACT OF 1934 AND ENERGY POLICY AND CONSERVATION ACT OF 1975—REGULATION S-K

Authority:

15 U.S.C. 77e, 77f, 77g, 77h, 77j, 77k, 77s, 77z-2, 77z-3, 77aa(25), 77aa(26), 77ddd, 77eee, 77ggg, 77hhh, 777iii, 77jjj, 77nnn, 77sss, 78c, 78i, 78j, 78l, 78m, 78n, 78n-1, 78o, 78u-5, 78w, 78ll, 78mm, 80a-8, 80a-9, 80a-20, 80a-29, 80a-30, 80a-31(c), 80a-37, 80a-38(a), 80a-39, 80b-11, and 7201 et seq.; and 18 U.S.C. 1350, unless otherwise noted.

Section 229.303 is also issued under secs. 3(a) and 401(a), Pub. L. No. 107-204, 116 Stat. 745.

Section 229.307 is also issued under secs. 3(a) and 302, Pub.L.No. 107-204, 116 Stat. 745.

Section 229.401 is also issued under secs. 3(a) and 407, Pub. L. 107-204, 116 Stat. 745.

Section 229.406 is also issued under secs. 3(a) and 406, Pub. L. 107-204, 116 Stat. 745.

Section 229.601 is also issued under secs. 3(a) and 406, Pub. L. 107-204, 116 Stat. 745.

Source:

47 FR 11401, Mar. 16, 1982, unless otherwise noted.

ATTENTION ELECTRONIC FILERS

THIS REGULATION SHOULD BE READ IN CONJUNCTION WITH REGULATION S-T (PART 232 OF THIS CHAPTER), WHICH GOVERNS THE PREPARATION AND SUBMISSION OF DOCUMENTS IN ELECTRONIC FORMAT. MANY PROVISIONS RELATING TO THE PREPARATION AND SUBMISSION OF DOCUMENTS IN PAPER FORMAT CONTAINED IN THIS REGULATION ARE SUPERSEDED BY THE PROVISIONS OF REGULATION S-T FOR DOCUMENTS REQUIRED TO BE FILED IN ELECTRONIC FORMAT.

Title 17 published on 2012-04-01

The following are only the Rules published in the Federal Register after the published date of Title 17.

For a complete list of all Rules, Proposed Rules, and Notices view the Rulemaking tab.

2012-07-18; vol. 77 # 138 - Wednesday, July 18, 2012

77 FR 42175 - Securities Act Industry Guides

GPO FDSys XML | Text

Additional Documents

type	regulations.gov
FR Doc.	2012-17449
RIN
Release Nos.	33-9337
	34-67432

SECURITIES AND EXCHANGE COMMISSION

Technical amendments.

Effective July 18, 2012.

17 CFR Part 229

Summary

Notice is hereby given of the publication of technical amendments to Guide 3, Statistical Disclosure by Bank Holding Companies (“Industry Guide 3”), and Guide 7, Description of Property by Issuers Engaged or to be Engaged in Significant Mining Operations (“Industry Guide 7”), of the Securities Act of 1933 Industry Guides (“Industry Guides”). These revisions are to conform the Industry Guides to the FASB Accounting Standards Codification TM (“FASB Codification”).

2012-07-03; vol. 77 # 128 - Tuesday, July 3, 2012

77 FR - Listing Standards for Compensation Committees

GPO FDSys XML | Text

Additional Documents

type	regulations.gov
FR Doc.	C1-2012-15408
RIN	3235-AK95
Release Nos.	33-9330
	34-67220
File No.	S7-13-11

SECURITIES AND EXCHANGE COMMISSION

17 CFR Parts 229 and 240

Summary

2012-06-27; vol. 77 # 124 - Wednesday, June 27, 2012

77 FR 38422 - Listing Standards for Compensation Committees

GPO FDSys XML | Text

Additional Documents

type	regulations.gov
FR Doc.	2012-15408
RIN	3235-AK95
Release Nos.	33-9330
	34-67220
File No.	S7-13-11

SECURITIES AND EXCHANGE COMMISSION

Final rule.

Effective Date: July 27, 2012. Compliance Dates: Each national securities exchange and national securities association must provide to the Commission, no later than September 25, 2012, proposed rule change submissions that comply with the requirements of Exchange Act Rule 10C-1. Further, each national securities exchange and national securities association must have final rules or rule amendments that comply with Rule 10C-1 approved by the Commission no later than June 27, 2012. Issuers must comply with the disclosure changes in Item 407 of Regulation S-K in any proxy or information statement for an annual meeting of shareholders (or a special meeting in lieu of the annual meeting) at which directors will be elected occurring on or after January 1, 2013.

17 CFR Parts 229 and 240

Summary

We are adopting a new rule and amendments to our proxy disclosure rules to implement 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. Section 10C requires the Commission to adopt rules directing the national securities 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, new Rule 10C-1 directs the national securities 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 national securities exchanges adopted in accordance with the final rule. In addition, pursuant to Section 10C(c)(2), we are adopting amendments to our proxy disclosure rules concerning issuers' use of compensation consultants and related conflicts of interest.

This is a list of United States Code sections, Statutes at Large, Public Laws, and Presidential Documents, which provide rulemaking authority for this CFR Part.

This list is taken from the Parallel Table of Authorities and Rules provided by GPO [Government Printing Office].

It is not guaranteed to be accurate or up-to-date, though we do refresh the database weekly. More limitations on accuracy are described at the GPO site.

United States Code

USC : Title 15 - COMMERCE AND TRADE

§ 77e - Prohibitions relating to interstate commerce and the mails

§ 77f - Registration of securities

§ 77g - Information required in registration statement

§ 77h - Taking effect of registration statements and amendments thereto

§ 77j - Information required in prospectus

§ 77k - Civil liabilities on account of false registration statement

§ 77s - Special powers of Commission

15 USC § 77z–2 - Application of safe harbor for forward-looking statements

15 USC § 77z–3 - General exemptive authority

§ 77aa - Schedule of information required in registration statement

§ 77ddd - Exempted securities and transactions

§ 77eee - Securities required to be registered under Securities Act

§ 77ggg - Qualification of indentures covering securities not required to be registered

§ 77hhh - Integration of procedure with Securities Act and other Acts

§ 77iii - Effective time of qualification

§ 77jjj - Eligibility and disqualification of trustee

§ 77nnn - Reports by obligor; evidence of compliance with indenture provisions

§ 77sss - Rules, regulations, and orders

§ 78c - Definitions and application

§ 78i - Manipulation of security prices

§ 78j - Manipulative and deceptive devices

15 USC § -

§ 78m - Periodical and other reports

§ 78n - Proxies

15 USC § -

15 USC § 78u–5 - Application of safe harbor for forward-looking statements

§ 78w - Rules, regulations, and orders; annual reports

15 USC § -

§ 78mm - General exemptive authority

15 USC § 80a–8 - Registration of investment companies

15 USC § 80a–9 - Ineligibility of certain affiliated persons and underwriters

15 USC § 80a–20 - Proxies; voting trusts; circular ownership

15 USC § 80a–29 - Reports and financial statements of investment companies and affiliated persons

15 USC § 80a–30 - Accounts and records

15 USC § 80a–31 - Accountants and auditors

15 USC § 80a–37 - Rules, regulations, and orders

15 USC § 80a–38 - Procedure for issuance of rules and regulations

15 USC § 80a–39 - Procedure for issuance of orders

15 USC § 80b–11 - Rules, regulations, and orders of Commission

§ 7201 - Definitions

§ 7202 - Commission rules and enforcement

§ 7241 - Corporate responsibility for financial reports

USC : Title 18 - CRIMES AND CRIMINAL PROCEDURE

§ 1350 - Failure of corporate officers to certify financial reports

Statutes at Large

116 Stat. 745

Title 17 published on 2012-04-01

The following are ALL rules, proposed rules, and notices (chronologically) published in the Federal Register relating to 17 CFR 229 after this date.

2012-07-18; vol. 77 # 138 - Wednesday, July 18, 2012

77 FR 42175 - Securities Act Industry Guides

GPO FDSys XML | Text

Additional Documents

type	regulations.gov
FR Doc.	2012-17449
RIN
Release Nos.	33-9337
	34-67432

SECURITIES AND EXCHANGE COMMISSION

Technical amendments.

Effective July 18, 2012.

17 CFR Part 229

Summary

Notice is hereby given of the publication of technical amendments to Guide 3, Statistical Disclosure by Bank Holding Companies (“Industry Guide 3”), and Guide 7, Description of Property by Issuers Engaged or to be Engaged in Significant Mining Operations (“Industry Guide 7”), of the Securities Act of 1933 Industry Guides (“Industry Guides”). These revisions are to conform the Industry Guides to the FASB Accounting Standards Codification TM (“FASB Codification”).

2012-07-03; vol. 77 # 128 - Tuesday, July 3, 2012

77 FR - Listing Standards for Compensation Committees

GPO FDSys XML | Text

Additional Documents

type	regulations.gov
FR Doc.	C1-2012-15408
RIN	3235-AK95
Release Nos.	33-9330
	34-67220
File No.	S7-13-11

SECURITIES AND EXCHANGE COMMISSION

17 CFR Parts 229 and 240

Summary

2012-06-27; vol. 77 # 124 - Wednesday, June 27, 2012

77 FR 38422 - Listing Standards for Compensation Committees

GPO FDSys XML | Text

Additional Documents

type	regulations.gov
FR Doc.	2012-15408
RIN	3235-AK95
Release Nos.	33-9330
	34-67220
File No.	S7-13-11

SECURITIES AND EXCHANGE COMMISSION

Final rule.

Effective Date: July 27, 2012. Compliance Dates: Each national securities exchange and national securities association must provide to the Commission, no later than September 25, 2012, proposed rule change submissions that comply with the requirements of Exchange Act Rule 10C-1. Further, each national securities exchange and national securities association must have final rules or rule amendments that comply with Rule 10C-1 approved by the Commission no later than June 27, 2012. Issuers must comply with the disclosure changes in Item 407 of Regulation S-K in any proxy or information statement for an annual meeting of shareholders (or a special meeting in lieu of the annual meeting) at which directors will be elected occurring on or after January 1, 2013.

17 CFR Parts 229 and 240

Summary

We are adopting a new rule and amendments to our proxy disclosure rules to implement 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. Section 10C requires the Commission to adopt rules directing the national securities 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, new Rule 10C-1 directs the national securities 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 national securities exchanges adopted in accordance with the final rule. In addition, pursuant to Section 10C(c)(2), we are adopting amendments to our proxy disclosure rules concerning issuers' use of compensation consultants and related conflicts of interest.

17 CFR 229 - STANDARD INSTRUCTIONS FOR FILING FORMS UNDER SECURITIES ACT OF 1933, SECURITIES EXCHANGE ACT OF 1934 AND ENERGY POLICY AND CONSERVATION ACT OF 1975—REGULATION S-K

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