Home > 1994 Unified Agenda > ua25ap94 5029. DEFINITIONS PRINCIPALLY RELATING TO INTERNATIONAL TRANSACTIONS...ua25ap94 5029. DEFINITIONS PRINCIPALLY RELATING TO INTERNATIONAL TRANSACTIONS...
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Part LXI
Securities and Exchange Commission
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Semiannual Regulatory Agenda
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SECURITIES AND EXCHANGE COMMISSION (SEC)
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SECURITIES AND EXCHANGE COMMISSION
17 CFR Ch. II
[Release Nos. 33-7051, 34-33808, 35-26009, 39-2319, IC-20157, IA-1407;
File No. S7-10-94]
Regulatory Flexibility Agenda
AGENCY: Securities and Exchange Commission.
ACTION: Publication of regulatory flexibility agenda.
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SUMMARY: The Securities and Exchange Commission is publishing an agenda
of its rulemaking actions, pursuant to chapter 6 of the Administrative
Procedure Act. Information in the agenda is believed to be accurate as
of February 11, 1994, the date on which the Commission's staff
completed compilation of the data. The Commission invites questions and
public comment on the agenda and on the individual agenda entries.
DATES: Public comments are due by May 31, 1994.
ADDRESSES: Persons wishing to submit written comments should file three
copies of their comments with Jonathan G. Katz, Secretary, Securities
and Exchange Commission, 450 5th Street NW., Room 6184, Stop 6-9,
Washington, DC 20549. All submissions should refer to File No. S7-10-94
and will be available for public inspection and copying at the
Commission's Public Reference Room, Room 1026, at the same address.
FOR FURTHER INFORMATION CONTACT: Kevin M. Kirchoff, Senior Counsel,
Office of the General Counsel, Securities and Exchange Commission, 450
5th Street NW., Room 6146, Stop 6-6, Washington, DC 20549, (202) 272-
2428. Each specific item on the agenda indicates the names and
addresses of persons to contact with regard to such item.
SUPPLEMENTARY INFORMATION: The Regulatory Flexibility Act (RFA) (Pub.
L. No. 96-354, 94 Stat. 1164 (September 19, 1980)) requires each
Federal agency, during April and October of each year, to publish in
the Federal Register an agenda identifying rules which 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 which is included in the agenda (5 U.S.C.
602(d)). The agenda includes new entries, entries carried over from
previous publications, and rulemaking actions which have been completed
(or withdrawn) since publication of the last agenda.
The Commission's April 1994 regulatory flexibility agenda is
set forth below. The Commission invites public comment on the
agenda and on the individual agenda entries.
Dated: March 24, 1994.
By the Commission.
Jonathan G. Katz,
Secretary.
Prerule Stage
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Regulation
Sequence Title Identifier
Number Number
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5012 17 CFR 274.11A Technical Amendments to Rules 24f-1 and 24f-2......................... 3235-AC25
5013 17 CFR 240.19h-1 Notice By SRO of Proposed Admission to or Continuance in Membership
With Any Person Subject to a Statutory Disqualification............................... 3235-AE39
5014 17 CFR 230.482 Amendments to Investment Company Registration Form N-1A and Other
Forms................................................................................. 3235-AE46
5015 17 CFR 230 American Depositary Receipts.............................................. 3235-AE57
5016 17 CFR 240.10b-6 Prohibitions Against Trading by Persons Interested in a
Distribution; Stabilizing To Facilitate a Distribution; Distributions Through Rights.. 3235-AF54
5017 17 CFR 240.16a-1 to 240.16a-11 Ownership Reports and Trading by Officers, Directors,
and Principal Security Holders........................................................ 3235-AF66
5018 17 CFR 270.30f-1 Applicability of Section 30(f) of the Investment Company Act of 1940
to Certain Affiliated Persons of an Investment Adviser to a Registered Closed-End
Investment Company.................................................................... 3235-AF81
5019 17 CFR 271 to 276 Staff Interpretive Statement on Wrap Fee Programs.................. 3235-AG07
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Proposed Rule Stage
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Regulation
Sequence Title Identifier
Number Number
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5020 17 CFR 239.16 Simplification of Registration Statements Filed by, and Advertising
Rules for, Unit Investment Trusts..................................................... 3235-AA47
5021 17 CFR 270.6c-12(New) Rule 6c-12 Under the Investment Company Act of 1940............ 3235-AC84
5022 17 CFR 275 Revisions to the Registration and the Annual Supplement Forms Used by
Investment Advisers................................................................... 3235-AD21
5023 17 CFR 240.15c3-3 Customer Protection Reserves and Custody of Securities............. 3235-AD60
5024 17 CFR 240.14e-5 Debt Tender Offers.................................................. 3235-AD69
5025 17 CFR 210.3-20 Reporting Currency in Financial Statements Under Rule 3-20 of
Regulation S-X........................................................................ 3235-AD70
5026 17 CFR 240.15c3-1 Net Capital Requirements for Brokers or Dealers.................... 3235-AD79
5027 17 CFR 240.15c2-11 Initiation or Resumption of Quotations Without Specific
Information........................................................................... 3235-AD94
5028 17 CFR 240.10b-7 Stabilizing To Facilitate a Distribution............................ 3235-AE11
5029 17 CFR 240.3b-10 Definitions Principally Relating to International Transactions...... 3235-AE15
5030 17 CFR 230.482 Tax Exempt Money Market Fund Rule Proposals........................... 3235-AE17
5031 17 CFR 240.17Ad-16 Notice of Assumption or Termination of Transfer Agent Services.... 3235-AE20
5032 17 CFR 240.3b-3 Definition of ``Short Sale''......................................... 3235-AE41
5033 17 CFR 240.13h-1 Large Trader Reporting System....................................... 3235-AE42
5034 17 CFR 240.31-1 Securities Transactions Exempt From Transaction Fees................. 3235-AE52
5035 17 CFR 270.31a-1 Investment Company Books and Records Requirements................... 3235-AE94
5036 17 CFR 270.3a-5 Exemption for Subsidiaries Organized to Finance Operations of
Domestic or Foreign Companies......................................................... 3235-AE95
5037 17 CFR 270.17f-5 Rule 17f-5 Under the Investment Company Act of 1940................. 3235-AE98
5038 17 CFR 270.15a-4 Temporary Exemption for Certain Investment Advisers................. 3235-AF57
5039 17 CFR 270.12b-1 Amendments to Rules 12b-1 and 17d-3 Under the Investment Company Act
of 1940............................................................................... 3235-AF62
5040 17 CFR 270.17f-2 Rule 17f-2 Under the Investment Company Act--Custody of Investments
by Registered Management Investment Company........................................... 3235-AF70
5041 17 CFR 229 Asset-Backed Securities Disclosure........................................ 3235-AF74
5042 17 CFR 250.55 Exemption for Certain Acquisitions of One or More Foreign Utility
Companies............................................................................. 3235-AF78
5043 17 CFR 240.10b-10 Amendments to Confirmation Requirements of Rule 10b-10............. 3235-AF84
5044 17 CFR 240.3a12-8 Amendment to Rule 3a12-8 Under the Securities Exchange Act of 1934. 3235-AF88
5045 17 CFR 270.9a-1 Rule 9a-1: Exemption From Disqualification for Certain Affiliated
Persons............................................................................... 3235-AF89
5046 17 CFR 249.330 Amendments to Form-N-SAR, Semi-Annual Report of Registered Investment
Companies............................................................................. 3235-AF93
5047 17 CFR 210 Accounting Treatment of Investment Company Expenses Paid Through Brokerage
Commission............................................................................ 3235-AF94
5048 17 CFR 230.482 Proposed Amendments to Form N-1A Pertaining to Money Market Funds..... 3235-AF95
5049 17 CFR 270.17f-6 Custody of Investment Company Assets With Futures Commission
Merchants and Commodity Clearing Organizations........................................ 3235-AF97
5050 17 CFR 240.10b-10(a)(7)(iii) Disclosure of Payment for Order Flow.................... 3235-AG00
5051 17 CFR 240.17a-23 Recordkeeping and Reporting Requirements for Trading Systems
Operated by Brokers and Dealers....................................................... 3235-AG03
5052 17 CFR 250.46 Dividend Declarations and Payments on Certain Indebtedness............. 3235-AG04
5053 17 CFR 259.313 Annual Report of Mutual and Subsidiary Service Companies.............. 3235-AG05
5054 17 CFR 275.204-2 Suitability of Investment Advice Provided by Investment Advisers;
Custodial Account Statements To Be Sent to Certain Advisory Clients................... 3235-AG06
5055 17 CFR 230.178 Disclosure of Information Required by Section 17(b) of the Securities
Act of 1933........................................................................... 3235-AG08
5056 17 CFR 229.901 Limited Partnership Roll-up Transactions.............................. 3235-AG09
5057 17 CFR 249.3A12-11 New Exemptive Relief and Simplification of Filing Requirements for
Debt Securities To Be Listed on a National Securities Exchange........................ 3235-AG11
5058 17 CFR 240.15c2-13 New Rule 15c2-13 Requiring Disclosure of Mark-ups................. 3235-AG12
5059 17 CFR 240.15c2-12 Municipal Securities Disclosure................................... 3235-AG13
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Final Rule Stage
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Regulation
Sequence Title Identifier
Number Number
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5060 17 CFR 240.14a-1 to 240.14a-102 Revision of Investment Company Proxy Rules........... 3235-AA69
5061 17 CFR 240.13d-1 Regulation 13D-G.................................................... 3235-AD09
5062 17 CFR 230.801(New) Rule 801 and Registration Forms for Rights Offerings............. 3235-AD44
5063 17 CFR 270.31a-2 Amendment to Rule 31a-2 Under the Investment Company Act of 1940.... 3235-AD66
5064 17 CFR 240.12g3-2(b) Forms for Furnishing Information Pursuant to Rule 12g3-2(b)
Under the Securities Exchange Act of 1934............................................. 3235-AD72
5065 17 CFR 230 Summary Prospectuses...................................................... 3235-AD90
5066 17 CFR 200 International Tender and Exchange Offers.................................. 3235-AD97
5067 17 CFR 270.6c-10 Exemptions for Certain Registered Open-End Management Investment
Companies To Impose Deferred Sales Loads.............................................. 3235-AE97
5068 17 CFR 270.18f-3 (New) Exemption for Open-End Management Investment Companies Issuing
Multiple Classes of Shares; Disclosure by Multiple Class and Master-Feeder Funds...... 3235-AF00
5069 17 CFR 250.45 Revision of Registered Public Utility Company Financing Rules.......... 3235-AF49
5070 17 CFR 200.30-5 Expedited Procedure for Exemptive Orders and Expanded Delegated
Authority............................................................................. 3235-AF56
5071 17 CFR 230.482 Off-the-Page Prospectuses for Open-End Management Investment Companies 3235-AF58
5072 17 CFR 250.7 Proposals To Update Rules and Forms Under the Public Utility Holding
Company Act........................................................................... 3235-AF68
5073 17 CFR 270.3a-8 Certain Research and Development Companies........................... 3235-AF69
5074 17 CFR 250.56 Exemption for Subsidiary Companies of Registered Holding Companies
Formed to Hold Interests in Foreign Companies......................................... 3235-AF79
5075 17 CFR 230 Simplification of Registration Procedures for Securities Offerings by
Foreign Private Issuers............................................................... 3235-AF83
5076 17 CFR 230.415 Continuous or Delayed Offerings by Certain Closed-End Management
Investment Companies; Automatic Effectiveness of Certain Registration Statements...... 3235-AF86
5077 17 CFR 250.87 Subsidiaries Authorized To Perform Services or Construction or To Sell
Goods................................................................................. 3235-AF87
5078 17 CFR 201 Rules of Practice......................................................... 3235-AF91
5079 17 CFR 200.30-5 Effective Date of Post-Effective Amendments Filed by Certain
Registered Investment Companies, Separate Accounts of Insurance Companies and Certain
Closed-End Management Investment Companies............................................ 3235-AF96
5080 17 CFR 270.0-1 Redemptions by Open-End Management Investment Companies at Periodic
Intervals or With Extended Payment.................................................... 3235-AF98
5081 17 CFR 275 Disclosure by Investment Adviser Regarding Wrap Fee Programs.............. 3235-AG02
5082 17 CFR 228 EDGAR Implementation...................................................... 3235-AG10
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Completed Actions
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Regulation
Sequence Title Identifier
Number Number
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5083 17 CFR 240.15c2-10 Rule 15c2-10...................................................... 3235-AC94
5084 17 CFR 240.15c3-1 Net Capital Requirements for Brokers or Dealers.................... 3235-AD62
5085 17 CFR 210.3-19 Special Provisions as to Age of Financial Statements for Foreign
Private Issuers Under Regulation S-X.................................................. 3235-AD96
5086 17 CFR 240.17a-3 Designation of Orders as ``Solicited'' and ``Unsolicited''.......... 3235-AE18
5087 17 CFR 210 Multijurisdictional Disclosure With the United Kingdom.................... 3235-AE23
5088 17 CFR 270.12d3-1 Amendments to Rule 12d3-1 Under the Investment Company Act of 1940. 3235-AE47
5089 17 CFR 270.2a19-2 Investment Company General Partners Not Deemed Interested Persons;
Investment Company Limited Partners Not Deemed Affiliated Persons..................... 3235-AF01
5090 17 CFR 270.10f-3 Revision of Certain Annual Review Requirements of Investment Company
Boards of Directors................................................................... 3235-AF60
5091 17 CFR 240.24c-1(New) Access to Nonpublic Information in the Commission's Possession. 3235-AF72
5092 17 CFR 240.17a-5 Reports To Be Made by Certain Brokers and Dealers................... 3235-AF73
5093 17 CFR 229 Amendments to the Multijurisdictional Disclosure System................... 3235-AF75
5094 17 CFR 250.54 Effect of Exempt Wholesale Generators on Other Transactions............ 3235-AF77
5095 17 CFR 250.57 Notices and Reports Concerning Acquisition of Foreign Utility Companies 3235-AF80
5096 17 CFR 250.53 Certain Registered Holding Company Financings in Connection With the
Acquisition of One or More Exempt Wholesale Generators................................ 3235-AF82
5097 17 CFR 240.15c6-1 Securities Transactions Settlement................................. 3235-AF85
5098 17 CFR 240.3a51-1 Penny Stock Definition for Purposes of the Blank Check Rule........ 3235-AF90
5099 17 CFR 229.402 Executive Compensation Disclosure..................................... 3235-AF92
5100 17 CFR 270.3a-4 Rulemaking Regarding Individualized Investment Advisory Program...... 3235-AF99
5101 17 CFR 240.14a-6 Limitation of Filing Requirements for Preliminary Proxy Materials
Under Certain Circumstances........................................................... 3235-AG01
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SECURITIES AND EXCHANGE COMMISSION (SEC) Prerule Stage
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5012. TECHNICAL AMENDMENTS TO RULES 24F-1 AND 24F-2
Legal Authority: 15 USC 80a-8; 15 USC 80a-58; 15 USC 80a-24
CFR Citation: 17 CFR 274.11A; 17 CFR 270.24f-1; 17 CFR 270.24f-2
Legal Deadline: None
Abstract: The Division of Investment Management is considering changes
in rules 24f-1 and 24f-2, the rules that permit certain investment
companies to register securities sold in excess of the number of shares
included in a registration statement, to clarify the rules' operation
with respect to the measurement of time periods and filing requirements
in the context of investment company reorganizations.
Timetable: Next Action Undetermined
Small Entities Affected: Undetermined
Government Levels Affected: Undetermined
Agency Contact: Kenneth J. Berman, Deputy Office Chief, Securities and
Exchange Commission, Division of Investment Management, 450 5th Street
NW., Washington, DC 20549, 202 272-5287
RIN: 3235-AC25
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