Home > 2004 Unified Agenda > ua13de04 4242. COLLECTION PRACTICES UNDER SECTION 31 OF THE EXCHANGE ACT...

ua13de04 4242. COLLECTION PRACTICES UNDER SECTION 31 OF THE EXCHANGE ACT...


Google
 
Web GovRecords.org

<DOC>
[December 13, 2004 (Volume 69, Number 238)]
[Unified Agenda]
 [frwais.access.gpo.gov]
                         

[Page 74260-74263]
 
SECURITIES AND EXCHANGE COMMISSION (SEC)

_______________________________________________________________________


-----------------------------------------------------------------------

Part LXI





Securities and Exchange Commission





-----------------------------------------------------------------------



Semiannual Regulatory Agenda

[[Page 74260]]




SECURITIES AND EXCHANGE COMMISSION

17 CFR Ch. II

[Release Nos. 33-8491, 34-50445, 35-27893, 39-2427, IA-2306, IC-26621, 
File No. S7-34-04]

Regulatory Flexibility Agenda

AGENCY: Securities and Exchange Commission.

ACTION: Semiannual regulatory agenda.

_______________________________________________________________________

SUMMARY: The Securities and Exchange Commission is publishing an agenda 
of its rulemaking actions, pursuant to the Regulatory Flexibility Act. 
Information in the agenda was accurate on September 24, 2004, the date 
on which the Commission's staff completed compilation of the data. To 
the extent possible, rulemaking actions by the Commission since that 
date have been reflected in the agenda. The Commission invites 
questions and public comment on the agenda and on the individual agenda 
entries.

DATES: Comments should be received on or before December 30, 2004.

ADDRESSES:  Comments may be submitted by any of the following methods:

    Electronic comments:

<bullet> Use the Commission'sInternet comment form (http://www.sec.gov/
rules/other.shtml); or

<bullet> Send an email to rule-comments@sec.gov. Please includeFile 
Number S7-34-04 on the subject line; or

<bullet> Use the Federal eRulemaking Portal (http://
www.regulations.gov).Follow the instructions for submitting comments.

    Paper comments:

<bullet> Send paper comments in triplicate to Jonathan G. Katz, 
Secretary, Securities and Exchange Commission, 450 5th Street NW., 
Washington, DC 20549-0609.

    All submissions should refer to File No. S7-34-04. This file 
number should be included on the subject line if email is used. To 
help us process and review your comments more efficiently, please 
use only one method. The Commission will post all comments on the 
Commission's Internet website (http://www.sec.gov/rules/
other.shtml). Comments are also available for public inspection and 
copying in the Commission's Public Reference Room, 450 5th Street 
NW., Washington, DC 20549. All comments received will be posted 
without change; we do not edit personal identifying information 
from submissions. You should submit only information that you wish 
to make available publicly.

FOR FURTHER INFORMATION CONTACT: Anne Sullivan, Office of the General 
Counsel, 202-942-0954.

SUPPLEMENTARY INFORMATION: The Regulatory Flexibility Act (RFA) (Pub. 
L. No. 96-354, 94 Stat. 1164) (September 19, 1980) requires each 
Federal agency, in April and October of each year, to publish in the 
Federal Register an agenda identifying rules that the agency expects to 
propose or adopt that are likely to have a significant economic impact 
on a substantial number of small entities (5 U.S.C. 602(a)). The RFA 
specifically provides that publication of the agenda does not preclude 
an agency from considering or acting on any matter not included in the 
agenda and that an agency is not required to consider or act on any 
matter that is included in the agenda (5 U.S.C. 602(d)). Actions that 
do not have an estimated date are placed in the long-term category; the 
Commission may nevertheless act on items in that category within the 
next 12 months. The agenda includes new entries, entries carried over 
from prior publications, and rulemaking actions that have been 
completed (or withdrawn) since publication of the last agenda.

     The following abbreviations for the acts administered by the 
Commission are used in the agenda:

    ``Securities Act''--Securities Act of 1933

    ``Exchange Act''--Securities Exchange Act of 1934

    ``PUHCA''--Public Utility Holding Company Act of 1935

    ``Investment Company Act''--Investment Company Act of 1940

    ``Investment Advisers Act''--Investment Advisers Act of 1940

     The Commission's RFA agenda is set forth below. The Commission 
invites public comment on the agenda and on the individual agenda 
entries.

Dated: September 24, 2004.

By the Commission.

 Margaret H. McFarland,

Deputy Secretary.

                              DIVISION OF CORPORATION FINANCE--Proposed Rule Stage
----------------------------------------------------------------------------------------------------------------
                                                                                                     Regulation
 Sequence                                           Title                                            Identifier
  Number                                                                                               Number
----------------------------------------------------------------------------------------------------------------
4171        Industry Guide 3--Statistical Disclosure by Bank Holding Companies....................    3235-AI10
4172        Streamlining Rule 144.................................................................    3235-AH13
4173        Electronic Signatures Act and Information Delivery Under the Securities Act of 1933...    3235-AI82
4174        Revision to Accelerated Filer Definition..............................................    3235-AJ29
4175        Definition of Securities ``Held of Record''...........................................    3235-AJ22
4176        XBRL Voluntary Financial Reporting Program on the EDGAR System........................    3235-AJ32
4177        Lock-Up Agreements....................................................................    3235-AI09
4178        Equal Treatment of Security Holders Pursuant to Rule 14d-10 and Rule 13e-4(f) Under       3235-AJ23
            the Securities Exchange Act of 1934...................................................
4179        Securities Act Reform.................................................................    3235-AI11
4180        Proxy Disclosure Regarding Executive Compensation and Related Party Transactions......    3235-AI80
----------------------------------------------------------------------------------------------------------------


[[Page 74261]]


                                DIVISION OF CORPORATION FINANCE--Final Rule Stage
----------------------------------------------------------------------------------------------------------------
                                                                                                     Regulation
 Sequence                                           Title                                            Identifier
  Number                                                                                               Number
----------------------------------------------------------------------------------------------------------------
4181        Asset-Backed Securities Disclosure....................................................    3235-AF74
4182        Disclosure in Management's Discussion and Analysis Regarding the Application of           3235-AI44
            Critical Accounting Policies..........................................................
4183        Additional Form F-6 Eligibility Requirement Related to the Listed Status of Deposited     3235-AI89
            Securities Underlying American Depositary Receipts....................................
4184        First Time Application of International Financial Reporting Standards.................    3235-AI92
4185        Temporary Postponement of the Phase-In Period for Acceleration of Periodic Report         3235-AJ30
            Filing Dates..........................................................................
4186        Use of Form S-8 and Form 8-K by Public Shell Companies................................    3235-AH88
4187        Security Holder Director Nominations..................................................    3235-AI93
4188        Ownership Reports and Trading by Officers, Directors, and Principal Security Holders..    3235-AJ27
4189        Defining ``Qualified Purchasers''.....................................................    3235-AI25
----------------------------------------------------------------------------------------------------------------


                               DIVISION OF CORPORATION FINANCE--Completed Actions
----------------------------------------------------------------------------------------------------------------
                                                                                                     Regulation
 Sequence                                           Title                                            Identifier
  Number                                                                                               Number
----------------------------------------------------------------------------------------------------------------
4190        Exemption of Certain Classes of Debt Securities From the Section 12(a) Registration       3235-AJ21
            Requirement of the Securities Exchange Act of 1934....................................
----------------------------------------------------------------------------------------------------------------


                             DIVISION OF INVESTMENT MANAGEMENT--Proposed Rule Stage
----------------------------------------------------------------------------------------------------------------
                                                                                                     Regulation
 Sequence                                           Title                                            Identifier
  Number                                                                                               Number
----------------------------------------------------------------------------------------------------------------
4191        Amendments to Registration Form and Rules for Registration of Certain Investment          3235-AI84
            Company Securities....................................................................
4192        Investment Company Portfolio Transaction Costs........................................    3235-AI94
4193        Interagency Proposal To Consider Alternative Forms of Privacy Notices Under the Gramm-    3235-AJ06
            Leach-Bliley Act......................................................................
4194        Expanding the Definition of ``Eligible Portfolio Company'' for Business Development       3235-AJ31
            Companies.............................................................................
4195        Amendments to Form N-SAR, Semiannual Report of Registered Investment Companies........    3235-AF93
4196        Regional Transmission Organizations and Independent Transmission Companies............    3235-AI27
4197        Exemptions From Section 17(c) of the Public Utility Holding Company Act Regarding         3235-AI59
            Officers and Directors of Registered Holding Companies................................
4198        Exemption of Holding Companies Which Are Intrastate or Predominantly Operating            3235-AJ35
            Companies.............................................................................
----------------------------------------------------------------------------------------------------------------


                               DIVISION OF INVESTMENT MANAGEMENT--Final Rule Stage
----------------------------------------------------------------------------------------------------------------
                                                                                                     Regulation
 Sequence                                           Title                                            Identifier
  Number                                                                                               Number
----------------------------------------------------------------------------------------------------------------
4199        Political Contributions by Certain Investment Advisers................................    3235-AH72
4200        Certain Broker-Dealers Deemed Not To Be Investment Advisers...........................    3235-AH78
4201        Certain Thrift Institutions Deemed Not To Be Investment Advisers......................    3235-AI16
4202        Amendments to Form ADV................................................................    3235-AI17
4203        Registration Under the Advisers Act of Certain Hedge Fund Advisers....................    3235-AJ25
4204        Fund of Funds Investments.............................................................    3235-AI30
4205        Exemption From Shareholder Approval for Certain Subadvisory Contracts.................    3235-AH80
4206        Amendments to Rules Governing Pricing of Mutual Fund Shares...........................    3235-AJ01
4207        Disclosure Regarding Portfolio Managers of Registered Management Investment Companies.    3235-AJ16
4208        Mandatory Redemption Fees for Redeemable Fund Securities..............................    3235-AJ17
4209        Privacy of Consumer Financial Information.............................................    3235-AJ24
4210        Rulemaking for EDGAR System...........................................................    3235-AI18
4211        PUHCA: Exemption for Certain Acquisitions of Foreign Utility Companies; Subsidiaries      3235-AF78
            Authorized To Perform Services or Construction or To Sell Goods.......................
----------------------------------------------------------------------------------------------------------------


[[Page 74262]]


                              DIVISION OF INVESTMENT MANAGEMENT--Long-Term Actions
----------------------------------------------------------------------------------------------------------------
                                                                                                     Regulation
 Sequence                                           Title                                            Identifier
  Number                                                                                               Number
----------------------------------------------------------------------------------------------------------------
4212        Books and Records To Be Maintained by Investment Advisers.............................    3235-AH24
4213        Amendments to the Cash Solicitation Rule..............................................    3235-AH33
----------------------------------------------------------------------------------------------------------------


                              DIVISION OF INVESTMENT MANAGEMENT--Completed Actions
----------------------------------------------------------------------------------------------------------------
                                                                                                     Regulation
 Sequence                                           Title                                            Identifier
  Number                                                                                               Number
----------------------------------------------------------------------------------------------------------------
4214        Principal Transactions With Investment Advisory Clients...............................    3235-AH34
4215        Investment Adviser Codes of Ethics....................................................    3235-AJ08
4216        Disclosure Regarding Approval of Investment Advisory Contracts by Directors of            3235-AJ10
            Investment Companies..................................................................
4217        Disclosure of Breakpoint Discounts by Mutual Funds....................................    3235-AI95
4218        Prohibition on the Use of Brokerage Commissions To Finance Distribution...............    3235-AJ07
4219        Investment Company Governance.........................................................    3235-AJ05
----------------------------------------------------------------------------------------------------------------


                                  DIVISION OF MARKET REGULATION--Prerule Stage
----------------------------------------------------------------------------------------------------------------
                                                                                                     Regulation
 Sequence                                           Title                                            Identifier
  Number                                                                                               Number
----------------------------------------------------------------------------------------------------------------
4220        Concept Release on SRO Structure......................................................    3235-AJ36
----------------------------------------------------------------------------------------------------------------


                               DIVISION OF MARKET REGULATION--Proposed Rule Stage
----------------------------------------------------------------------------------------------------------------
                                                                                                     Regulation
 Sequence                                           Title                                            Identifier
  Number                                                                                               Number
----------------------------------------------------------------------------------------------------------------
4221        Risk Assessment Recordkeeping and Reporting Requirement...............................    3235-AH06
4222        Registration Requirements for Banks Acting as Brokers or Dealers in Security Futures      3235-AI83
            Products..............................................................................
4223        Self-Regulatory Organization Fair Administration, Governance, and Disclosure..........    3235-AJ33
4224        Processing of Reorganization Events, Tender Offers, and Exchange Offers...............    3235-AH53
4225        Net Capital Requirements for Brokers or Dealers--Definition of the Term Nationally        3235-AH28
            Recognized Statistical Rating Organization............................................
----------------------------------------------------------------------------------------------------------------


                                 DIVISION OF MARKET REGULATION--Final Rule Stage
----------------------------------------------------------------------------------------------------------------
                                                                                                     Regulation
 Sequence                                           Title                                            Identifier
  Number                                                                                               Number

Pages: 1 2 3 4 5 6 Next >>

Other Popular 2004 Unified Agenda Documents:

1 ua28jn04 NATIONAL SCIENCE FOUNDATION (NSF)...
2 ua13de04 3719. CHANGES TO SSI INCOME AND RESOURCES PROVISIONS...
3 ua13de04 4032. POLICY STATEMENT ON MATTERS RELATED TO BULK...
4 ua13de04 3492. REPRESENTATIONS AND CERTIFICATIONS--OTHER THAN COMMERCIAL ITEMS...
5 ua28jn04 4129. REGULATION: Y -- BANK HOLDING COMPANIES AND CHANGE IN BANK CONTROL...
6 ua28jn04 3026. AMERICANS WITH DISABILITIES ACT (ADA) ACCESSIBILITY GUIDELINES FOR...
7 ua13de04 3685. AMENDMENT TO SBA'S REGULATIONS REGARDING ADMINISTRATIVE OFFSET...
8 ua13de04 4125. ADMINISTRATIVE FEES...
9 ua28jn04 3502. FEDERAL TRAVEL REGULATION (FTR) AMENDMENT 2004-...
10 ua28jn04 3559. NONDISCRIMINATION IN FEDERALLY ASSISTED PROGRAMS AND ACTIVITIES;...
11 ua28jn04 4188. TRIBAL BACKGROUND INVESTIGATION SUBMISSION REQUIREMENTS AND TIMING...
12 ua28jn04 3509. CODE OF CONDUCT FOR INTERNATIONAL SPACE STATION CREW...
13 ua28jn04 3700. PAYMENT OF BENEFITS IN PBGC-TRUSTEED PLANS...
14 ua28jn04 C. INDEX TO ENTRIES THAT MAY AFFECT SMALL ENTITIES WHEN A REGULATORY...
15 ua13de04 2998. USAID ACQUISITION REGULATION (AIDAR) DELETION OF APPENDIX D AND...
16 ua13de04 429. SPECIAL EQUIPMENT CONTRACT (NOT INCLUDING INSTALLATION), RUS FORM...
17 ua28jn04 DEPARTMENT OF AGRICULTURE (USDA)...
18 ua28jn04 1847. REORGANIZATION AND CLARIFICATION OF DEA REGULATIONS...
19 ua13de04 3014. CORPORATION FOR NATIONAL & COMMUNITY SERVICE REGULATION...
20 ua28jn04 873. PRIOR NOTICE OF IMPORTED FOOD UNDER THE PUBLIC HEALTH SECURITY AND...
21 ua28jn04 4103. COLOADING PRACTICES AND POSSIBLE SECTION 16 EXEMPTION FOR...
22 ua28jn04 NATIONAL ENDOWMENT FOR THE ARTS (NEA)...
23 ua13de04 1186. ADMINISTRATIVE APPEALS OFFICE: PROCEDURAL...
24 ua13de04 1941. EXECUTION OF REMOVAL ORDERS; COUNTRIES TO WHICH...
25 ua28jn04 2939. RULES ON APPORTIONMENTS TO DEPENDENTS, PAYMENTS TO FIDUCIARIES AND...
26 ua13de04 3850. FUNDING AND FISCAL AFFAIRS, LOAN POLICIES AND OPERATIONS, AND...
27 ua13de04 FEDERAL COMMUNICATIONS COMMISSION (FCC)...
28 ua28jn04 4170. COMMUNITY DEVELOPMENT REVOLVING LOAN PROGRAM...
29 ua13de04 3450. NONDISCRIMINATION ON THE BASIS OF SEX IN EDUCATION PROGRAMS OR...
30 ua13de04 1. NATIONAL ORGANIC PROGRAM: ADD STANDARDS FOR THE ORGANIC...


Other Documents:

2004 Unified Agenda Records and Documents

GovRecords.org presents information on various agencies of the United States Government. Even though all information is believed to be credible and accurate, no guarantees are made on the complete accuracy of our government records archive. Care should be taken to verify the information presented by responsible parties. Please see our reference page for congressional, presidential, and judicial branch contact information. GovRecords.org values visitor privacy. Please see the privacy page for more information.
House Rules:

104th House Rules
105th House Rules
106th House Rules

Congressional Bills:

104th Congressional Bills
105th Congressional Bills
106th Congressional Bills
107th Congressional Bills
108th Congressional Bills

Supreme Court Decisions

Supreme Court Decisions

Additional

1995 Privacy Act Documents
1997 Privacy Act Documents
1994 Unified Agenda
2004 Unified Agenda

Congressional Documents:

104th Congressional Documents
105th Congressional Documents
106th Congressional Documents
107th Congressional Documents
108th Congressional Documents

Congressional Directory:

105th Congressional Directory
106th Congressional Directory
107th Congressional Directory
108th Congressional Directory

Public Laws:

104th Congressional Public Laws
105th Congressional Public Laws
106th Congressional Public Laws
107th Congressional Public Laws
108th Congressional Public Laws

Presidential Records

1994 Presidential Documents
1995 Presidential Documents
1996 Presidential Documents
1997 Presidential Documents
1998 Presidential Documents
1999 Presidential Documents
2000 Presidential Documents
2001 Presidential Documents
2002 Presidential Documents
2003 Presidential Documents
2004 Presidential Documents

Home Executive Judicial Legislative Additional Reference About Privacy