Securities and Exchange Commission August 6, 2009 – 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
Document Number: E9-18765
Type: Notice
Date: 2009-08-06
Agency: Securities and Exchange Commission, Agencies and Commissions
Each applicant seeks an order declaring that it has ceased to be an investment company. On January 30, 2009, each applicant transferred its assets to Waddell & Reed Advisors Funds, based on net asset value. Expenses of approximately $32,052, $66,879, $109,131, $29,201, $31,474 and $46,466, respectively, incurred in connection with the reorganizations were paid by each applicant.
https://regulations.justia.com/regulations/fedreg/2009/08/06/E9-18765.html
Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Notice of Filing and Immediate Effectiveness of Amendments to Rule A-3, on Membership on the Board, Rule A-4, on Meetings of the Board, Rule A-5, on Officers and Employees of the Board, and Rule A-6, on Committees of the Board
Document Number: E9-18764
Type: Notice
Date: 2009-08-06
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2009/08/06/E9-18764.html
Joint Industry Plan; Order Approving the National Market System Plan Relating to Options Order Protection and Locked/Crossed Markets Submitted by the Chicago Board Options Exchange, Incorporated, International Securities Exchange, LLC, The NASDAQ Stock Market LLC, NASDAQ OMX BX, Inc., NASDAQ OMX PHLX, Inc., NYSE Amex LLC, and NYSE Arca, Inc.
Document Number: E9-18763
Type: Notice
Date: 2009-08-06
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2009/08/06/E9-18763.html
Program for Allocation of Regulatory Responsibilities Pursuant to Rule 17d-2; Notice of Filing and Order Declaring Effective a Proposed Plan for the Allocation of Regulatory Responsibilities Among the Financial Industry Regulatory Authority, Inc., New York Stock Exchange LLC, NYSE Regulation, Inc. and NYSE Amex LLC
Document Number: E9-18762
Type: Notice
Date: 2009-08-06
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2009/08/06/E9-18762.html
Approval of Investment Adviser Registration Depository Filing Fees
Document Number: E9-18761
Type: Notice
Date: 2009-08-06
Agency: Securities and Exchange Commission, Agencies and Commissions
The Securities and Exchange Commission (``Commission'' or ``SEC'') is, for five months, waiving Investment Adviser Registration Depository annual and initial filing fees for investment advisers.
https://regulations.justia.com/regulations/fedreg/2009/08/06/E9-18761.html
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