Securities and Exchange Commission December 15, 2011 – Federal Register Recent Federal Regulation Documents

Sunshine Act Meeting
Document Number: 2011-32219
Type: Notice
Date: 2011-12-15
Agency: Securities and Exchange Commission, Agencies and Commissions
Wells Fargo Bank, N.A., et al.; Notice of Application and Temporary Order
Document Number: 2011-32169
Type: Notice
Date: 2011-12-15
Agency: Securities and Exchange Commission, Agencies and Commissions
Summary of Application: Applicants have received a temporary order exempting them from section 9(a) of the Act, with respect to an injunction entered against Wells Fargo Bank, N.A. (``Wells Fargo Bank'') on December 9, 2011 by the United States District Court for the District of New Jersey (``Injunction'') until the Commission takes final action on an application for a permanent order. Applicants also have applied for a permanent order. Applicants: Wells Fargo Bank, First International Advisors, LLC (``First International''), Metropolitan West Capital Management, LLC (``Metropolitan West''), Golden Capital Management, LLC (``Golden Capital''), Alternative Strategies Brokerage Services, Inc. (``Alternative Strategies Brokerage''), Alternative Strategies Group, Inc. (``Alternative Strategies''), Wells Fargo Funds Management, LLC (``WF Funds Management''), Wells Capital Management Incorporated (``Wells Capital Management''), Peregrine Capital Management, Inc. (``Peregrine''), Galliard Capital Management, Inc. (``Galliard''), Nelson Capital Management (``Nelson''), and Wells Fargo Funds Distributor, LLC (``WF Funds Distributor'') (each an ``Applicant'' and collectively, the ``Applicants'').\1\
Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing of Proposed Rule Change To Modify Its Co-Location Fee Schedule Regarding Low Latency Network Connections; Correction
Document Number: 2011-32132
Type: Notice
Date: 2011-12-15
Agency: Securities and Exchange Commission, Agencies and Commissions
The Securities and Exchange Commission published a document in the Federal Register of November 10, 2011 concerning a Proposed Rule Change by NASDAQ OMX PHLX LLC to Modify its Co-Location Fee Schedule Regarding Low Latency Network Connections; The document contained a typographical error in the heading.