17 CFR 270.8b-33 - XBRL-Related Documents.

There is 1 rule appearing in the Federal Register for 17 CFR 270. Select the tab below to view, or View eCFR (GPOAccess)

prev | next

§ 270.8b-33 XBRL-Related Documents.

A registrant that participates in the voluntary XBRL (eXtensible Business Reporting Language) program may submit, in electronic format as an exhibit to a filing on Form N-1A (§§ 239.15A and 274.11A of this chapter), Form N-CSR (§§ 249.331 and 274.128 of this chapter), or Form N-Q (§§ 249.332 and 274.130 of this chapter) to which they relate, XBRL Related Documents (§ 232.11 of this chapter). A registrant that submits XBRL Related Documents as an exhibit to a form must name each XBRL Related Document “EX 100” as specified in the EDGAR Filer Manual and submit the XBRL Related Documents in such a manner that will permit the information for each series and, for any information that does not relate to all of the classes in a filing, each class of an investment company registrant and each contract of an insurance company separate account to be separately identified. A registrant may submit such exhibit with, or in an amendment to, the Form N-CSR or Form N-Q filing to which it relates, or in an amendment to the Form N-1A filing to which it relates, in accordance with rule 401 of Regulation S-T (§ 232.401).

[72 FR 39299, July 17, 2007]

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.

2012-11-23; vol. 77 # 226 - Friday, November 23, 2012

77 FR 70117 - Purchase of Certain Debt Securities by Business and Industrial Development Companies Relying on an Investment Company Act Exemption

GPO FDSys XML | Text

Additional Documents

type	regulations.gov
FR Doc.	2012-28456
RIN	3235-AL02
Release No.	IC-30268
File No.	S7-07-11

SECURITIES AND EXCHANGE COMMISSION

Final rule.

Effective date: December 24, 2012.

17 CFR Part 270

Summary

The Securities and Exchange Commission (“Commission”) is adopting a new rule under the Investment Company Act of 1940 (“Investment Company Act”) to establish a standard of credit-worthiness in place of a statutory reference to credit ratings that the Dodd-Frank Wall Street Reform and Consumer Protection Act (“Dodd-Frank Act”) removes. The rule will establish the standard of credit quality that must be met by certain debt securities purchased by entities relying on the Investment Company Act exemption for business and industrial development companies.

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

§ 30 - Repealed.

§ 37 - Immunity from antitrust laws

§ 77f - Registration of securities

§ 77g - Information required in registration statement

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

§ 77j - Information required in prospectus

§ 77q - Fraudulent interstate transactions

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

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

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

§ 78d - Securities and Exchange Commission

15 USC § -

§ 78n - Proxies

§ 78bb - Effect on existing law

§ 78ee - Transaction fees

§ 79c

§ 79t

15 USC § 80a–1 - Findings and declaration of policy

15 USC § 80a–2 - Definitions; applicability; rulemaking considerations

15 USC § 80a–3 - Definition of investment company

15 USC § 80a–3a - Protection of philanthropy under State law

15 USC § 80a–4 - Classification of investment companies

15 USC § 80a–5 - Subclassification of management companies

15 USC § 80a–6 - Exemptions

15 USC § 80a–7 - Transactions by unregistered investment companies

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

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

15 USC § 80a–10 - Affiliations or interest of directors, officers, and employees

15 USC § 80a–11 - Offers to exchange securities

15 USC § 80a–12 - Functions and activities of investment companies

15 USC § 80a–13 - Changes in investment policy

15 USC § 80a–14 - Size of investment companies

15 USC § 80a–15 - Contracts of advisers and underwriters

15 USC § 80a–16 - Board of directors

15 USC § 80a–17 - Transactions of certain affiliated persons and underwriters

15 USC § 80a–18 - Capital structure of investment companies

15 USC § 80a–19 - Payments or distributions

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

15 USC § 80a–21 - Loans by management companies

15 USC § 80a–22 - Distribution, redemption, and repurchase of securities; regulations by securities associations

15 USC § 80a–23 - Closed-end companies

15 USC § 80a–24 - Registration of securities under Securities Act of 1933

15 USC § 80a–25 - Reorganization plans; reports by Commission

15 USC § 80a–26 - Unit investment trusts

15 USC § 80a–27 - Periodic payment plans

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–31 - Accountants and auditors

15 USC § 80a–32 - Filing of documents with Commission in civil actions

15 USC § 80a–33 - Destruction and falsification of reports and records

15 USC § 80a–34 - Unlawful representations and names

15 USC § 80a–35 - Breach of fiduciary duty

15 USC § 80a–36 - Larceny and embezzlement

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 § 80a–40 - Hearings by Commission

15 USC § 80a–41 - Enforcement of subchapter

15 USC § 80a–42 - Court review of orders

15 USC § 80a–43 - Jurisdiction of offenses and suits

15 USC § 80a–44 - Disclosure of information filed with Commission; copies

15 USC § 80a–45 - Reports by Commission; hiring and leasing authority

15 USC § 80a–46 - Validity of contracts

15 USC § 80a–47 - Liability of controlling persons; preventing compliance with subchapter

15 USC § 80a–48 - Penalties

15 USC § 80a–49 - Construction with other laws

15 USC § 80a–50 - Separability

15 USC § 80a–51 - Short title

15 USC § 80a–52 - Effective date

15 USC § 80a–53 - Election to be regulated as business development company

15 USC § 80a–54 - Acquisition of assets by business development companies

15 USC § 80a–55 - Qualifications of directors

15 USC § 80a–56 - Transactions with certain affiliates

15 USC § 80a–57 - Changes in investment policy

15 USC § 80a–58 - Incorporation of subchapter provisions

15 USC § 80a–59 - Functions and activities of business development companies

15 USC § 80a–60 - Capital structure

15 USC § 80a–61 - Loans

15 USC § 80a–62 - Distribution and repurchase of securities

15 USC § 80a–63 - Accounts and records

15 USC § 80a–64 - Preventing compliance with subchapter; liability of controlling persons

15 USC § 79 to 79z–6 - Repealed.

15 USC § 80b–3 - Registration of investment advisers

15 USC § 80b–4 - Reports by investment advisers

15 USC § 79 to 79z–6 - Repealed.

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 270 after this date.

2012-11-23; vol. 77 # 226 - Friday, November 23, 2012

77 FR 70117 - Purchase of Certain Debt Securities by Business and Industrial Development Companies Relying on an Investment Company Act Exemption

GPO FDSys XML | Text

Additional Documents

type	regulations.gov
FR Doc.	2012-28456
RIN	3235-AL02
Release No.	IC-30268
File No.	S7-07-11

SECURITIES AND EXCHANGE COMMISSION

Final rule.

Effective date: December 24, 2012.

17 CFR Part 270

Summary

2012-04-06; vol. 77 # 67 - Friday, April 6, 2012

77 FR 20749 - Investment Company Advertising: Target Date Retirement Fund Names and Marketing

GPO FDSys XML | Text

Additional Documents

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

Summary

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.

17 CFR 270.8b-33 - XBRL-Related Documents.

CFR Toolbox

Law about... Articles from Wex

Find a Lawyer

Get Involved