Securities and Exchange Commission February 4, 2021 – Federal Register Recent Federal Regulation Documents

Results 1 - 5 of 5
Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 1940
Document Number: 2021-02269
Type: Notice
Date: 2021-02-04
Agency: Securities and Exchange Commission, Agencies and Commissions
Applicant seeks an order declaring that it has ceased to be an investment company. On December 7, 2018, applicant made a liquidating distribution to its shareholders based on net asset value. Expenses of $357,000 incurred in connection with the liquidation were paid by the applicant. Filing Dates: The application was filed on February 6, 2020, and amended on October 14, 2020, and Deember 29, 2020. Applicant's Address: tlesc@csacompliance.com.
https://regulations.justia.com/regulations/fedreg/2021/02/04/2021-02269.html
Self-Regulatory Organizations; Long-Term Stock Exchange, Inc.; Notice of Filing of a Proposed Rule Change To Amend LTSE Rule 14.501 To Specify the Process for Enforcing Compliance With LTSE Rule 14.425 for Listed Companies
Document Number: 2021-02267
Type: Notice
Date: 2021-02-04
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2021/02/04/2021-02267.html
Self-Regulatory Organizations; Investors Exchange, LLC; Order Granting Approval of Proposed Rule Change To Amend IEX Rule 11.510 To Reduce the Outbound Latency That Presently Applies to All Messages Sent From IEX Back to Users of the Exchange
Document Number: 2021-02266
Type: Notice
Date: 2021-02-04
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2021/02/04/2021-02266.html
Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Sections 902.02 and 902.11 of the NYSE Listed Company Manual To Defer the Billing of Initial Listing Fees Payable by Acquisition Companies
Document Number: 2021-02265
Type: Notice
Date: 2021-02-04
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2021/02/04/2021-02265.html
Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Amend Its Rules To Prohibit Member Organizations From Seeking Reimbursement, in Certain Circumstances, From Issuers for Forwarding Proxy and Other Materials to Beneficial Owners
Document Number: 2021-02264
Type: Notice
Date: 2021-02-04
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2021/02/04/2021-02264.html
This site is protected by reCAPTCHA and the Google Privacy Policy and Terms of Service apply.