Home > 1994 Unified Agenda > ua25ap94 5029. DEFINITIONS PRINCIPALLY RELATING TO INTERNATIONAL TRANSACTIONS...ua25ap94 5029. DEFINITIONS PRINCIPALLY RELATING TO INTERNATIONAL TRANSACTIONS...
<DOC> _______________________________________________________________________ Part LXI Securities and Exchange Commission _______________________________________________________________________ Semiannual Regulatory Agenda ======================================================================= 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 ---------------------------------------------------------------------------------------------------------------- <DOC> _______________________________________________________________________ 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 _______________________________________________________________________ <DOC> _______________________________________________________________________ Other Popular 1994 Unified Agenda 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. |
![]() |