Securities and Exchange Commission 2009 – Federal Register Recent Federal Regulation Documents
Results 1,201 - 1,250 of 1,827
Citibank, N.A.; Notice of Application
Summary of Application: Applicant requests an order that would permit an issuer of asset-backed securities that is not registered as an investment company under the Act in reliance on rule 3a-7 under the Act (an ``Issuer'') to appoint the applicant as a trustee to the Issuer when the applicant is affiliated with an underwriter for the Issuer's securities.
Delegation of Authority to the General Counsel
The Commission is amending its rules to delegate to the General Counsel its authority to designate officers in authorized investigations conducted by the Office of General Counsel. The Office of General Counsel of the Commission has the authority to conduct authorized investigations under Section 21 of the Securities Exchange Act of 1934 (15 U.S.C. 78u) of possible violations by attorneys of the Commission Rules of Practice. In connection with these investigations, it may be necessary from time to time to amend the formal orders to add or remove officers designated to conduct the inquiry.
Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 1940
Each applicant seeks an order declaring that it has ceased to be an investment company. On June 11, 2007, each applicant made a liquidating distribution to its shareholders, based on net asset value. Applicants incurred no expenses in connection with the liquidations.
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