Securities and Exchange Commission November 4, 2011 – Federal Register Recent Federal Regulation Documents

Self-Regulatory Organizations; NYSE Arca, Inc.; Order Granting Approval of Proposed Rule Change to List and Trade Managed Fund Shares of TrimTabs Float Shrink ETF under NYSE Arca Equities Rule 8.600; Correction
Document Number: 2011-28609
Type: Notice
Date: 2011-11-04
Agency: Securities and Exchange Commission, Agencies and Commissions
On October 11, 2011, the Securities and Exchange Commission published an Order Granting Approval of Proposed Rule Change to List and Trade Managed Fund Shares of TrimTabs Float Shrink ETF under NYSE Arca Equities Rule 8.600 (``Notice'') in the Federal Register. The Order, in the second-to-last sentence of the introductory paragraph, contained the phrase ``[CONFIRM]'' which should have been deleted.
Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 1940
Document Number: 2011-28585
Type: Notice
Date: 2011-11-04
Agency: Securities and Exchange Commission, Agencies and Commissions
Applicant seeks an order declaring that it has ceased to be an investment company. On or about December 30, 1994, applicant transferred its assets to Keystone Capital Preservation and Income Fund, based on net asset value. Records listing the expenses incurred in connection with the reorganization are no longer available. Filing Date: The application was filed on October 5, 2011. Applicant's Address: 200 Berkeley St., Boston, MA 02116.