Securities and Exchange Commission 2011 – Federal Register Recent Federal Regulation Documents
Results 451 - 500 of 2,021
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.
Roundtable on Issues Relating to Conflict Minerals
On October 18, 2011, the Commission will hold a public roundtable at which invited participants will discuss various issues related to the Commission's required rulemaking under Section 1502 of the Dodd-Frank Wall Street Reform and Consumer Protection Act (the ``Act''), which relates to reporting requirements regarding conflict minerals originating in the Democratic Republic of the Congo and adjoining countries. Roundtable panelists are expected to reflect the views of different constituencies, including investors, affected issuers, human rights organizations, and other stakeholders. The roundtable will consist of a series of panels that are designed to provide a forum for various stakeholders to exchange views and provide input on issues related to the Commission's required rulemaking.
Global X Funds, et al.
Summary of Application: Applicants request an order that would permit (a) series of certain open-end management investment companies to issue shares (``Shares'') redeemable in large aggregations only (``Creation Units''); (b) secondary market transactions in Shares to occur at negotiated market prices; (c) certain series to pay redemption proceeds, under certain circumstances, more than seven days after the tender of Creation Units for redemption; (d) certain affiliated persons of the series to deposit securities into, and receive securities from, the series in connection with the purchase and redemption of Creation Units; and (e) certain registered management investment companies and unit investment trusts outside of the same group of investment companies as the series to acquire Shares. The order would supersede a prior order.\1\
Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 1940
Applicant, a closed-end investment company, seeks an order declaring that it has ceased to be an investment company. On October 22, 2010, applicant transferred its assets to Rivus Bond Fund, based on net asset value. Expenses of approximately $834,811 incurred in connection with the reorganization were paid by Cutwater Asset Management Corp., investment adviser for the acquiring fund, and Hartford Investment Financial Services, LLC, applicant's investment adviser. Filing Dates: The application was filed on August 10, 2011, and amended on September 21, 2011. Applicant's Address: P.O. Box 2999, Hartford, CT 06104-2999.
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