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ua25ap94 5029. DEFINITIONS PRINCIPALLY RELATING TO INTERNATIONAL TRANSACTIONS...


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_______________________________________________________________________

Part LXI




 
Securities and Exchange Commission





_______________________________________________________________________



Semiannual Regulatory Agenda


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SECURITIES AND EXCHANGE COMMISSION (SEC)                               
  
  
_______________________________________________________________________
  

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.

_______________________________________________________________________

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                                                  
----------------------------------------------------------------------------------------------------------------
                                                                                                     Regulation 
 Sequence                                           Title                                            Identifier 
 Number                                                                                                Number   
----------------------------------------------------------------------------------------------------------------
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  
----------------------------------------------------------------------------------------------------------------


                                              Proposed Rule Stage                                               
----------------------------------------------------------------------------------------------------------------
                                                                                                     Regulation 
 Sequence                                           Title                                            Identifier 
 Number                                                                                                Number   
----------------------------------------------------------------------------------------------------------------
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  
----------------------------------------------------------------------------------------------------------------


                                                Final Rule Stage                                                
----------------------------------------------------------------------------------------------------------------
                                                                                                     Regulation 
 Sequence                                           Title                                            Identifier 
 Number                                                                                                Number   
----------------------------------------------------------------------------------------------------------------
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  
----------------------------------------------------------------------------------------------------------------


                                               Completed Actions                                                
----------------------------------------------------------------------------------------------------------------
                                                                                                     Regulation 
 Sequence                                           Title                                            Identifier 
 Number                                                                                                Number   
----------------------------------------------------------------------------------------------------------------
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
  
  
_______________________________________________________________________
 
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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