Securities and Exchange Commission 2007 – Federal Register Recent Federal Regulation Documents
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Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 1940
Applicant, a unit investment trust, seeks an order declaring that it has ceased to be an investment company. By January 10, 2005, each series of applicant had made its final liquidating distribution to unitholders, based on net asset value. Applicant incurred no expenses in connection with the liquidation. Filing Dates: The application was filed on March 1, 2007, and amended on May 22, 2007. Applicant's Address: First Trust Portfolios, L.P., 1001 Warrenville Rd., Suite 300, Lisle, IL 60532.
Amendments to Financial Responsibility Rules for Broker-Dealers
The Securities and Exchange Commission is extending the comment period for a release proposing amendments to its net capital, customer protection, books and records, and notification rules for broker-dealers under the Securities Exchange Act of 1934 (``Exchange Act''), which was issued by the Commission on March 9, 2007 (Exchange Act Release No. 55431, 72 FR 12862 (Mar. 19, 2007)). The original comment period for Release No. 34-55431 is scheduled to end on May 18, 2007. The Commission is extending the time period in which to provide the Commission with comments on the proposed amendments described in Release No. 34-55431 for thirty-one days until Monday, June 18, 2007. This action will allow all interested persons additional time to analyze the issues and prepare their comments.
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