Home > 2004 Unified Agenda > ua28jn04 4302. RULE 15C2-2: CONFIRMATION OF TRANSACTIONS IN...

ua28jn04 4302. RULE 15C2-2: CONFIRMATION OF TRANSACTIONS IN...


Google
 
Web GovRecords.org

<DOC>
[June 28, 2004 (Volume 69, Number 123)]
[Unified Agenda]
 [frwais.access.gpo.gov]
                         

[Page 38644-38648]
 
SECURITIES AND EXCHANGE COMMISSION (SEC)

_______________________________________________________________________


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

Part LX





Securities and Exchange Commission





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



Semiannual Regulatory Agenda

[[Page 38644]]




SECURITIES AND EXCHANGE COMMISSION

17 CFR Ch. II

[Release Nos. 33-8421, 34-49706, 35-27846, 39-2421, IA-2235, IC-26447, 
File No. S7-23-04]

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 May 14, 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 June 30, 2004.

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

    Electronic comments:

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

<bullet> Send an email to rule-comments@sec.gov. Please include File 
Number S7-23-04 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 referto File No. S7-
23-04. 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, during the spring and fall 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: May 14, 2004.

By the Commission.

 J. Lynn Taylor,

Assistant Secretary.

                              DIVISION OF CORPORATION FINANCE--Proposed Rule Stage
----------------------------------------------------------------------------------------------------------------
                                                                                                     Regulation
 Sequence                                           Title                                            Identifier
  Number                                                                                               Number
----------------------------------------------------------------------------------------------------------------
4236        Industry Guide 3--Statistical Disclosure by Bank Holding Companies....................    3235-AI10
4237        Asset-Backed Securities Disclosure....................................................    3235-AF74
4238        Streamlining Rule 144.................................................................    3235-AH13
4239        Electronic Signatures Act and Information Delivery Under the Securities Act of 1933...    3235-AI82
4240        Exemption of Certain Classes of Debt Securities From the Section 12(a) Registration       3235-AJ21
            Requirement of the Securities Exchange Act of 1934....................................
4241        Definition of Securities ``Held of Record''...........................................    3235-AJ22
4242        Lock-Up Agreements....................................................................    3235-AI09
4243        Equal Treatment of Security Holders Pursuant to Rule 14d-10 and Rule 13e-4(f) Under       3235-AJ23
            the Securities Exchange Act of 1934...................................................
4244        Securities Act Reform.................................................................    3235-AI11
4245        Proxy Disclosure Regarding Executive Compensation and Related Party Transactions......    3235-AI80
----------------------------------------------------------------------------------------------------------------


[[Page 38645]]


                                DIVISION OF CORPORATION FINANCE--Final Rule Stage
----------------------------------------------------------------------------------------------------------------
                                                                                                     Regulation
 Sequence                                           Title                                            Identifier
  Number                                                                                               Number
----------------------------------------------------------------------------------------------------------------
4246        Disclosure in Management's Discussion and Analysis Regarding the Application of           3235-AI44
            Critical Accounting Policies..........................................................
4247        Additional Form F-6 Eligibility Requirement Related to the Listed Status of Deposited     3235-AI89
            Securities Underlying American Depository Receipts....................................
4248        First Time Application of International Financial Reporting Standards.................    3235-AI92
4249        Use of Form S-8 and Form 8-K by Public Shell Companies................................    3235-AH88
4250        Security Holder Director Nominations..................................................    3235-AI93
4251        Defining ``Qualified Purchasers''.....................................................    3235-AI25
----------------------------------------------------------------------------------------------------------------


                               DIVISION OF CORPORATION FINANCE--Completed Actions
----------------------------------------------------------------------------------------------------------------
                                                                                                     Regulation
 Sequence                                           Title                                            Identifier
  Number                                                                                               Number
----------------------------------------------------------------------------------------------------------------
4252        Form 8-K Disclosure of Certain Management Transactions................................    3235-AI43
4253        Mandated Electronic Filing for Form ID................................................    3235-AJ09
4254        Revision of Multijurisdictional Disclosure System.....................................    3235-AH99
4255        Disclosure Regarding Nominating Committee Functions and Communications Between            3235-AI90
            Security Holders and Boards of Directors..............................................
4256        Additional Form 8-K Disclosure Requirements and Acceleration of Filing Date...........    3235-AI47
4257        Foreign Bank Exemption From The Insider Lending Prohibition of Exchange Act Section       3235-AI81
            13(k).................................................................................
----------------------------------------------------------------------------------------------------------------


                             DIVISION OF INVESTMENT MANAGEMENT--Proposed Rule Stage
----------------------------------------------------------------------------------------------------------------
                                                                                                     Regulation
 Sequence                                           Title                                            Identifier
  Number                                                                                               Number
----------------------------------------------------------------------------------------------------------------
4258        Books and Records To Be Maintained by Investment Advisers.............................    3235-AH24
4259        Principal Transactions With Investment Advisory Clients...............................    3235-AH34
4260        Certain Thrift Institutions Deemed Not To Be Investment Advisers......................    3235-AI16
4261        Registration Under the Advisers Act of Certain Hedge Fund Advisers....................    3235-AJ25
4262        Amendments to Registration Form and Rules for Registration of Certain Investment          3235-AI84
            Company Securities....................................................................
4263        Investment Company Portfolio Transaction Costs........................................    3235-AI94
4264        Privacy of Consumer Financial Information.............................................    3235-AJ24
4265        Amendments to Form N-SAR, Semiannual Report of Registered Investment Companies........    3235-AF93
4266        Amendments to the Cash Solicitation Rule..............................................    3235-AH33
4267        Regional Transmission Organizations and Independent Transmission Companies............    3235-AI27
4268        Exemptions From Section 17(c) of the Public Utility Holding Company Act Regarding         3235-AI59
            Officers and Directors of Registered Holding Companies................................
----------------------------------------------------------------------------------------------------------------


                               DIVISION OF INVESTMENT MANAGEMENT--Final Rule Stage
----------------------------------------------------------------------------------------------------------------
                                                                                                     Regulation
 Sequence                                           Title                                            Identifier
  Number                                                                                               Number
----------------------------------------------------------------------------------------------------------------
4269        Political Contributions by Certain Investment Advisers................................    3235-AH72
4270        Certain Broker-Dealers Deemed Not To Be Investment Advisers...........................    3235-AH78
4271        Amendments to Form ADV................................................................    3235-AI17
4272        Investment Adviser Codes of Ethics....................................................    3235-AJ08
4273        Disclosure Regarding Basis for Approval of Existing Investment Advisory Contracts.....    3235-AJ10
4274        Fund of Funds Investments.............................................................    3235-AI30
4275        Disclosure of Breakpoint Discounts by Mutual Funds....................................    3235-AI95
4276        Prohibition on the Use of Brokerage Commissions To Finance Distribution...............    3235-AJ07
4277        Exemption From Shareholder Approval for Certain Subadvisory Contracts.................    3235-AH80
4278        Amendments to Rules Governing Pricing of Mutual Fund Shares...........................    3235-AJ01
4279        Enhanced Governance Standards for Investment Companies................................    3235-AJ05
4280        Interagency Proposal To Consider Alternative Forms of Privacy Notices Under the Gramm-    3235-AJ06
            Leach-Bliley Act......................................................................

[[Page 38646]]


4281        Disclosure Regarding Portfolio Managers of Registered Management Investment Companies.    3235-AJ16
4282        Mandatory Redemption Fees for Redeemable Fund Securities..............................    3235-AJ17
4283        Rulemaking for EDGAR System...........................................................    3235-AI18
----------------------------------------------------------------------------------------------------------------


                              DIVISION OF INVESTMENT MANAGEMENT--Long-Term Actions
----------------------------------------------------------------------------------------------------------------
                                                                                                     Regulation
 Sequence                                           Title                                            Identifier
  Number                                                                                               Number
----------------------------------------------------------------------------------------------------------------
4284        PUHCA: Exemption for Certain Acquisitions of Foreign Utility Companies; Subsidiaries      3235-AF78
            Authorized To Perform Services or Construction or To Sell Goods.......................
----------------------------------------------------------------------------------------------------------------


                              DIVISION OF INVESTMENT MANAGEMENT--Completed Actions
----------------------------------------------------------------------------------------------------------------
                                                                                                     Regulation
 Sequence                                           Title                                            Identifier
  Number                                                                                               Number
----------------------------------------------------------------------------------------------------------------
4285        Exemption From Registration for Certain Commodity Pool Operators......................    3235-AI29
4286        Compliance Programs of Investment Companies and Investment Advisers...................    3235-AI77
4287        Shareholder Report and Financial Statement Revisions..................................    3235-AG64
4288        Substitution of Funds Underlying Variable Insurance Products..........................    3235-AI58
4289        Investment in Money Market Funds......................................................    3235-AI45
4290        Disclosure of Policies Regarding Market Timing and Selective Disclosure of Portfolio      3235-AI99
            Holdings..............................................................................
----------------------------------------------------------------------------------------------------------------


                               DIVISION OF MARKET REGULATION--Proposed Rule Stage
----------------------------------------------------------------------------------------------------------------
                                                                                                     Regulation
 Sequence                                           Title                                            Identifier
  Number                                                                                               Number
----------------------------------------------------------------------------------------------------------------
4291        Risk Assessment Recordkeeping and Reporting Requirement...............................    3235-AH06
4292        Registration Requirements for Banks Acting as Brokers or Dealers in Security Futures      3235-AI83
            Products..............................................................................
4293        Tender and Reorganization Agents......................................................    3235-AH53
4294        Net Capital Requirements for Brokers or Dealers--Definition of the Term Nationally        3235-AH28
            Recognized Statistical Rating Organization............................................
4295        Definition of Terms in and Specific Exemptions for Banks, Savings Associations, and       3235-AI19
            Savings Banks Under Sections 3(a)(4) and 3(a)(5) of the Securities Exchange Act of
            1934..................................................................................
4296        Removal From Listing and Registration of Securities Pursuant to Section 12(d) of the      3235-AJ04
            Securities Exchange Act of 1934.......................................................
4297        Restrictions or Prohibitions on Ownership by Securities Intermediaries................    3235-AJ26
----------------------------------------------------------------------------------------------------------------


                                 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 ua13de04 2998. USAID ACQUISITION REGULATION (AIDAR) DELETION OF APPENDIX D AND...
2 ua28jn04 3239. NESHAP FOR FLEXIBLE POLYURETHANE FOAM PRODUCTION: RESIDUAL RISK...
3 ua28jn04 2939. RULES ON APPORTIONMENTS TO DEPENDENTS, PAYMENTS TO FIDUCIARIES AND...
4 ua28jn04 3798. NEW DISABILITY CLAIMS PROCESS--ROLES OF STATE AGENCY (816F)...
5 ua13de04 740. PROVISION OF EARLY INTERVENTION AND SPECIAL EDUCATION SERVICES TO...
6 ua13de04 3719. CHANGES TO SSI INCOME AND RESOURCES PROVISIONS...
7 ua28jn04 3710. FREEDOM OF INFORMATION ACT REQUESTS...
8 ua13de04 3005. AMERICANS WITH DISABILITIES ACT (ADA) ACCESSIBILITY GUIDELINES FOR...
9 ua13de04 2072. HAGUE INTERCOUNTRY ADOPTION PRESERVATION OF CONVENTION RECORDS...
10 ua13de04 2941. PAYMENTS AND ADJUSTMENTS TO PAYMENTS...
11 ua13de04 4242. COLLECTION PRACTICES UNDER SECTION 31 OF THE EXCHANGE ACT...
12 ua13de04 867. ENERGY EFFICIENCY STANDARDS FOR COMMERCIAL UNITARY AIR CONDITIONERS...
13 ua28jn04 3460. PROCEDURES--THE AGE DISCRIMINATION IN EMPLOYMENT ACT...
14 ua28jn04 C. INDEX TO ENTRIES THAT MAY AFFECT SMALL ENTITIES WHEN A REGULATORY...
15 ua13de04 3685. AMENDMENT TO SBA'S REGULATIONS REGARDING ADMINISTRATIVE OFFSET...
16 ua28jn04 737. FEDERAL POLICY FOR THE PROTECTION OF HUMAN...
17 ua13de04 3850. FUNDING AND FISCAL AFFAIRS, LOAN POLICIES AND OPERATIONS, AND...
18 ua13de04 4051. COMMON CARRIER STATUS UNDER THE SHIPPING ACT OF 1984...
19 ua13de04 3523. IMPLEMENTATION OF TITLE IX OF THE EDUCATION ACT AMENDMENTS OF 1972...
20 ua28jn04 3559. NONDISCRIMINATION IN FEDERALLY ASSISTED PROGRAMS AND ACTIVITIES;...
21 ua28jn04 FEDERAL ENERGY REGULATORY COMMISSION (FERC)...
22 ua28jn04 604. ACQUISITION AND PROTECTION OF FOREIGN RIGHTS IN INVENTIONS...
23 ua13de04 E. INDEX TO ENTRIES THAT MAY HAVE FEDERALISM IMPLICATIONS...
24 ua28jn04 4137. TRADE REGULATION RULE CONCERNING THE LABELING AND ADVERTISING OF...
25 ua13de04 4251. CLASS EXEMPTION FOR EXPEDITED ABANDONMENT PROCEDURE FOR CLASS II...
26 ua13de04 1941. EXECUTION OF REMOVAL ORDERS; COUNTRIES TO WHICH...
27 ua28jn04 D. INDEX TO ENTRIES THAT MAY AFFECT GOVERNMENT LEVELS...
28 ua28jn04 1388. DISASTER ASSISTANCE; PUBLIC ASSISTANCE...
29 ua13de04 3974. REVIEW OF PART 87 OF THE COMMISSION'S RULES CONCERNING AVIATION...
30 ua28jn04 1968. GRANTS AND AGREEMENTS...


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