Securities and Exchange Commission 2012 – Federal Register Recent Federal Regulation Documents

Results 401 - 450 of 2,063
Van Eck Funds, et al.; Notice of Application
Document Number: 2012-26910
Type: Notice
Date: 2012-11-05
Agency: Securities and Exchange Commission, Agencies and Commissions
Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 1940
Document Number: 2012-26863
Type: Notice
Date: 2012-11-02
Agency: Securities and Exchange Commission, Agencies and Commissions
Applicant seeks an order declaring that it has ceased to be an investment company. On June 29, 2012, applicant made a final liquidating distribution to its shareholders, based on net asset value. Expenses of $6,500 incurred in connection with the liquidation were paid by Acadia Mutual Fund Management, LLC, applicant's investment adviser. Filing Dates: The application was filed on August 23, 2012, and amended on October 3, 2012. Applicant's Address: One Penn Plaza, 36th Floor, New York, NY 10119.
Clearing Agency Standards
Document Number: 2012-26407
Type: Rule
Date: 2012-11-02
Agency: Securities and Exchange Commission, Agencies and Commissions
The Securities and Exchange Commission (``SEC'' or ``Commission'') is adopting a new rule in accordance with the Securities Exchange Act of 1934 (``Exchange Act''), and the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010 (``Dodd-Frank Act''). The new rule establishes minimum requirements regarding how registered clearing agencies must maintain effective risk management procedures and controls as well as meet the statutory requirements under the Exchange Act on an ongoing basis.
Privacy Act of 1974: Systems of Records.
Document Number: 2012-26724
Type: Notice
Date: 2012-10-31
Agency: Securities and Exchange Commission, Agencies and Commissions
In accordance with the requirements of the Privacy Act of 1974, as amended, 5 U.S.C. 552a, the Securities and Exchange Commission (``Commission'' or ``SEC'') proposes to establish a new system of records, ``Backup Care Employee and Family Records (SEC-66).'' Additionally, two existing systems of records are being revised: ``Freedom of Information Act Requests (SEC-24)'' last published in the Federal Register Volume 62, Number 176 on Thursday, September 11, 1997 and ``Child Care Subsidy Program (SEC-41)'', last published in the Federal Register Volume 65, Number 155 on Thursday, August 10, 2000.
Sunshine Act Meeting Notice
Document Number: 2012-26715
Type: Notice
Date: 2012-10-30
Agency: Securities and Exchange Commission, Agencies and Commissions
Chimera Energy Corporation; Order of Suspension of Trading
Document Number: 2012-26609
Type: Notice
Date: 2012-10-29
Agency: Securities and Exchange Commission, Agencies and Commissions
Proposed Collection; Comment Request
Document Number: 2012-26541
Type: Notice
Date: 2012-10-29
Agency: Securities and Exchange Commission, Agencies and Commissions
PNC Capital Advisors, LLC, et al.; Notice of Application
Document Number: 2012-26540
Type: Notice
Date: 2012-10-29
Agency: Securities and Exchange Commission, Agencies and Commissions
MedLink International, Inc.; Order of Suspension of Trading
Document Number: 2012-26503
Type: Notice
Date: 2012-10-26
Agency: Securities and Exchange Commission, Agencies and Commissions
Legg Mason ETF Trust, et al.; Notice of Application
Document Number: 2012-26344
Type: Notice
Date: 2012-10-26
Agency: Securities and Exchange Commission, Agencies and Commissions
Neuberger Berman Alternative Funds, et al.; Notice of Application
Document Number: 2012-26341
Type: Notice
Date: 2012-10-26
Agency: Securities and Exchange Commission, Agencies and Commissions
Sunshine Act Meeting Notice.
Document Number: 2012-26402
Type: Notice
Date: 2012-10-25
Agency: Securities and Exchange Commission, Agencies and Commissions
Proposed Collection; Comment Request
Document Number: 2012-26254
Type: Notice
Date: 2012-10-25
Agency: Securities and Exchange Commission, Agencies and Commissions
Trust for Professional Managers and Collins Capital Investments, LLC; Notice of Application
Document Number: 2012-26163
Type: Notice
Date: 2012-10-24
Agency: Securities and Exchange Commission, Agencies and Commissions
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