Securities and Exchange Commission – Federal Register Recent Federal Regulation Documents
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Clearing Agency Governance and Conflicts of Interest
The Securities and Exchange Commission (``Commission'') is adopting rules under the Securities Exchange Act of 1934 (``Exchange Act'') to improve the governance of clearing agencies registered with the Commission (``registered clearing agencies'') by reducing the likelihood that conflicts of interest may influence the board of directors or equivalent governing body (``board'') of a registered clearing agency. The rules identify certain responsibilities of the board, increase transparency into board governance, and, more generally, improve the alignment of incentives among owners and participants of a registered clearing agency. In support of these objectives, the rules establish new requirements for board and committee composition, independent directors, management of conflicts of interest, and board oversight.
Deregistration Under Section 8(f) of the Investment Company Act of 1940
Applicant seeks an order declaring that it has ceased to be an investment company. Applicant currently has 49 beneficial owners, is not presently making a public offering of securities and does not propose to make any public offering of securities. Applicant will continue to operate as a private investment fund in reliance on Section 3(c)(1) of the Act. Filing Date: The application was filed on October 30, 2023. Applicant's Address: 8310 South Valley Highway, Englewood, Colorado 80112.
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