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.
We are adopting amendments to the expiration dates in our interim final rules that provide 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 prior to July 16, 2011 were security-based swap agreements and are 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. Under the amendments, the expiration dates in the interim final rules will be extended to February 11, 2014.
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 adopting new rules and interpretations 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.” The CFTC requests comment on its interpretation concerning forwards with embedded volumetric optionality, contained in Section II.B.2.(b)(ii) of this release.
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.
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.
§ 77b - Definitions; promotion of efficiency, competition, and capital formation
§ 77c - Classes of securities under this subchapter
§ 77d - Exempted transactions
§ 77f - Registration of securities
§ 77g - Information required in registration statement
§ 77h - Taking effect of registration statements and amendments thereto
§ 77j - Information required in prospectus
§ 77r - Exemption from State regulation of securities offerings
§ 77s - Special powers of Commission
15 USC § 77z–3 - General exemptive authority
§ 77sss - Rules, regulations, and orders
§ 78c - Definitions and application
§ 78d - Securities and Exchange Commission
§ 78j - Manipulative and deceptive devices
15 USC § -
§ 78m - Periodical and other reports
§ 78n - Proxies
15 U.S.C. § -
§ 78t - Liability of controlling persons and persons who aid and abet violations
§ 78w - Rules, regulations, and orders; annual reports
§ 78mm - General exemptive authority
§ 79 to 79z–6 - Repealed.
15 USC § 80a–8 - Registration of investment companies
15 USC § 80a–24 - Registration of securities under Securities Act of 1933
15 USC § 80a–28 - Face-amount certificate companies
15 USC § 80a–29 - Reports and financial statements of investment companies and affiliated persons
15 USC § 80a–30 - Accounts and records
15 USC § 80a–37 - Rules, regulations, and orders
48 Stat. 75
48 Stat. 77
48 Stat. 78
48 Stat. 79
48 Stat. 81
48 Stat. 85
48 Stat. 833
48 Stat. 882
48 Stat. 892
48 Stat. 894
48 Stat. 895
48 Stat. 901
48 Stat. 906
48 Stat. 908
49 Stat. 709
49 Stat. 1375
49 Stat. 1377
49 Stat. 1379
53 Stat. 1173
54 Stat. 841
54 Stat. 857
59 Stat. 167
68 Stat. 685
68 Stat. 686
78 Stat. 569
78 Stat. 570
78 Stat. 580
82 Stat. 454
82 Stat. 455
84 Stat. 1435
84 Stat. 1480
84 Stat. 1497
88 Stat. 1503
89 Stat. 117
89 Stat. 118
89 Stat. 119
89 Stat. 155
90 Stat. 57
91 Stat. 1494
91 Stat. 1498
91 Stat. 1499
91 Stat. 1500
92 Stat. 962
94 Stat. 2291
94 Stat. 2292
94 Stat. 2294
The following are ALL rules, proposed rules, and notices (chronologically) published in the Federal Register relating to 17 CFR 230 after this date.
We are proposing amendments to Rule 506 of Regulation D and Rule 144A under the Securities Act of 1933 to implement Section 201(a) of the Jumpstart Our Business Startups Act. The proposed amendment to Rule 506 would provide that the prohibition against general solicitation and general advertising contained in Rule 502(c) of Regulation D would not apply to offers and sales of securities made pursuant to Rule 506, provided that all purchasers of the securities are accredited investors. The proposed amendment to Rule 506 would also require that, in Rule 506 offerings that use general solicitation or general advertising, the issuer take reasonable steps to verify that purchasers of the securities are accredited investors. The proposed amendment to Rule 144A(d)(1) would provide that securities may be offered pursuant to Rule 144A to persons other than qualified institutional buyers, provided that the securities are sold only to persons that the seller and any person acting on behalf of the seller reasonably believe are qualified institutional buyers. We are also proposing to revise Form D to add a separate check box for issuers to indicate whether they are using general solicitation or general advertising in a Rule 506 offering.
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.