Securities and Exchange Commission October 2011 – Federal Register Recent Federal Regulation Documents
Results 51 - 100 of 192
Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Amendment No. 1 to Proposed Rule Change To Adopt FINRA Rule 2231 (Customer Account Statements) in the Consolidated FINRA Rulebook; Correction
The Securities and Exchange Commission published in the Federal Register of August 2, 2011 a Notice of Filing of Amendment No. 1 to Proposed Rule Change to Adopt FINRA Rule 2231 (Customer Account Statements) in the Consolidated FINRA Rulebook (``Notice''). The Notice contained incorrect information regarding the timing for Commission action.
NGP Capital Resources Company, et al.;
Summary of Application: Applicants request an order to permit a business development company (``BDC'') to co-invest with certain affiliates in portfolio companies. Applicants: NGP Capital Resources Company (the ``Company''), NGP Co-Investment Opportunity Fund, LP (``NGPC'') and NGP Investment Advisor, L.P. (the ``Adviser'').
Advisory Committee on Small and Emerging Companies
The Securities and Exchange Commission Advisory Committee on Small and Emerging Companies is providing notice that it will hold a public meeting on Monday, October 31, 2011 in the Multi-Purpose Room, L-006, at the Commission's headquarters, 100 F Street, NE., Washington, DC 20549. The meeting will begin at 9 a.m. (EDT) and will be open to the public, except for a period of approximately one hour when the Committee will meet in an administrative work session during lunch. The public portions of the meeting will be Web cast on the Commission's Web site at https://www.sec.gov. Persons needing special accommodations to take part because of a disability should notify the contact person listed below. The public is invited to submit written statements to the Committee. The agenda for the meeting includes opening remarks, introduction of Committee members, discussion of the Committee's agenda and organization, and discussion of capital formation issues relevant to small and emerging companies.
Public Roundtable on Execution, Clearance and Settlement of Microcap Securities
On Monday, October 17, 2011, commencing at 1 p.m. and ending at 5 p.m., staff of the Securities and Exchange Commission (``SEC'' or ``Agency'') will hold a public roundtable meeting at which invited participants will discuss various issues related to the Execution, Clearance and Settlement of Microcap Securities. The roundtable discussion will be held in the multi-purpose room of the Securities and Exchange Commission headquarters at 100 F Street, NE., in Washington, DC on Monday, October 17, 2011, commencing at 1 p.m. and ending at 5 p.m. The public is invited to observe the roundtable discussion. Seating will be available on a first-come, first-served basis. The roundtable discussion also will be available via webcast on the Commission's Web site at https://www.sec.gov. The roundtable will consist of a series of three panels. Panelists will consider a range of microcap securities topics, such as the current issues facing small cap issuers in the clearance and settlement process, potential regulatory changes impacting the Over-The-Counter markets, and Anti-Money Laundering concerns specific to microcap issuers.
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