Monday - December 11, 2017
Federal Regulatory Agencies

News releases, reports, statements and associated documents from federal regulatory agencies ranging from the Securities Exchange Commission to the Commodities Futures Trading Commission

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NRC Receives Event Notification on Radiography Trainee Overexposure
WASHINGTON, Dec. 9 -- The Nuclear Regulatory Commission issued the following event notification (53097):

AGREEMENT STATE REPORT - RADIOGRAPHY TRAINEE OVEREXPOSURE

The following report was received via e-mail:

"On November 28, 2017, the Agency [Texas Department of State Health Services] was contacted by the licensee's Radiation Safety Officer (RSO) who reported that on November 28, 2017, they were notified by their dosimetry processor that one of their radiographer trainee's exposure badges was reported to read 62 Rem. The RSO stated the trainee was returning to the Longview office from West ... Show Full Article

SEC Modifies Approach to Form N-PORT Filing Requirements
WASHINGTON, Dec. 8 -- The Securities and Exchange Commission issued the following news release:

In recognition of the importance of sound data security practices and protocols for sensitive, non-public information, the Securities and Exchange Commission today modified its approach to the pending requirement for registered investment companies to file Form N PORT electronically while the agency continues its previously announced review and uplift of its EDGAR and other systems.

For the first nine months after the Form N-PORT compliance date of June 1, 2018, larger fund groups will maintain the ... Show Full Article

SEC Issues Administrative Proceeding on Institutional Investor Advisers
WASHINGTON, Dec. 8 -- The Securities and Exchange Commission issued the following administrative proceeding (File No. 3-18303) involving Institutional Investor Advisers on violation of the Investment Advisers Act of 1940 and Investment Company Act of 1940:

In the Matter of

INSTITUTIONAL INVESTOR ADVISERS, INC.,

Respondent.

ORDER INSTITUTING ADMINISTRATIVE AND CEASE-AND-DESIST PROCEEDINGS PURSUANT TO SECTION 8A OF THE SECURITIES ACT OF 1933, SECTIONS 203(e) AND 203(k) OF THE INVESTMENT ADVISERS ACT OF 1940, AND SECTIONS 9(b) AND 9(f) OF THE INVESTMENT COMPANY ACT OF 1940, MAKING FINDINGS, AND ... Show Full Article

SEC Issues Administrative Proceeding on Ameriprise Financial Services
WASHINGTON, Dec. 8 -- The Securities and Exchange Commission issued the following administrative proceeding (File No. 3-18301) involving Ameriprise Financial Services on failure to adopt and implement written compliance policies and procedures of the Investment Advisers Act of 1940:

In the Matter of

AMERIPRISE FINANCIAL SERVICES, INC.,

Respondent.

ORDER INSTITUTING ADMINISTRATIVE AND CEASE-AND- DESIST PROCEEDINGS PURSUANT TO SECTION 15(b) OF THE SECURITIES EXCHANGE ACT OF 1934 AND SECTIONS 203(e) AND 203(k) OF THE INVESTMENT ADVISERS ACT OF 1940, MAKING FINDINGS, AND IMPOSING REMEDIAL SANCTIONS ... Show Full Article

NRC Receives Event Notification on Stolen Moisture Density Gauge
WASHINGTON, Dec. 8 -- The Nuclear Regulatory Commission issued the following event notification (53078):

AGREEMENT STATE REPORT - STOLEN MOISTURE DENSITY GAUGE

The following information was received from the State of California via email:

"On 11/17/17, the RSO [Radiation Safety Officer] contacted RHB [CA Radiologic Health Branch] to report a stolen moisture density gauge. The stolen gauge is a CPN Model MC-1DR, S/N MD90209216, containing 10 mCi of Cs-137 and 50 mCi of Am-241. The user had taken the gauge home and left it secured in the back of his truck. The truck was parked at his residence ... Show Full Article

NRC Receives Event Notification on Offsite Notification of Groundwater Results
WASHINGTON, Dec. 8 -- The Nuclear Regulatory Commission issued the following event notification (53107) involving Surry nuclear plant, Virginia:

OFFSITE NOTIFICATION OF GROUNDWATER RESULTS TO STATE AND LOCAL AGENCIES

"This non-emergency notification is being made in accordance with 10 CFR 50.72(b)(2)(xi), any event or situation related to the protection of the environment for which notification to other government agencies has been made. Dominion Energy is in the process of informing the Virginia Department of Health, Department of Environmental Quality, Department of Emergency Management, and ... Show Full Article

CFTC Approves Exemption From SEF Registration Requirement for Multilateral Trading Facilities, Organised Trading Facilities Authorized Within EU
WASHINGTON, Dec. 8 -- The Commodity Futures Trading Commission issued the following news release:

The Commodity Futures Trading Commission (CFTC) today announced the issuance of an order exempting certain multilateral trading facilities (MTFs) and organised trading facilities (OTFs) authorized within the European Union (EU) from the requirement to register with the CFTC as swap execution facilities (SEFs). The order will become effective on January 3, 2018.

"Today's announcement by the CFTC of a registration exemption for EU-authorized trading venues, combined with Tuesday's announcement by the ... Show Full Article