Securities and Exchange Commission 2011 – Federal Register Recent Federal Regulation Documents

Results 301 - 350 of 2,021
Submission for OMB Review; Comment Request
Document Number: 2011-28911
Type: Notice
Date: 2011-11-08
Agency: Securities and Exchange Commission, Agencies and Commissions
Submission for OMB Review; Comment Request
Document Number: 2011-28910
Type: Notice
Date: 2011-11-08
Agency: Securities and Exchange Commission, Agencies and Commissions
Submission for OMB Review; Comment Request
Document Number: 2011-28909
Type: Notice
Date: 2011-11-08
Agency: Securities and Exchange Commission, Agencies and Commissions
Submission for OMB Review; Comment Request
Document Number: 2011-28908
Type: Notice
Date: 2011-11-08
Agency: Securities and Exchange Commission, Agencies and Commissions
Submission for OMB Review; Comment Request
Document Number: 2011-28907
Type: Notice
Date: 2011-11-08
Agency: Securities and Exchange Commission, Agencies and Commissions
Submission for OMB Review; Comment Request
Document Number: 2011-28905
Type: Notice
Date: 2011-11-08
Agency: Securities and Exchange Commission, Agencies and Commissions
Submission for OMB Review; Comment Request
Document Number: 2011-28904
Type: Notice
Date: 2011-11-08
Agency: Securities and Exchange Commission, Agencies and Commissions
Submission for OMB Review; Comment Request
Document Number: 2011-28903
Type: Notice
Date: 2011-11-08
Agency: Securities and Exchange Commission, Agencies and Commissions
Submission for OMB Review; Comment Request
Document Number: 2011-28902
Type: Notice
Date: 2011-11-08
Agency: Securities and Exchange Commission, Agencies and Commissions
Submission for OMB Review; Comment Request
Document Number: 2011-28901
Type: Notice
Date: 2011-11-08
Agency: Securities and Exchange Commission, Agencies and Commissions
Submission for OMB Review; Comment Request
Document Number: 2011-28900
Type: Notice
Date: 2011-11-08
Agency: Securities and Exchange Commission, Agencies and Commissions
Submission for OMB Review; Comment Request
Document Number: 2011-28899
Type: Notice
Date: 2011-11-08
Agency: Securities and Exchange Commission, Agencies and Commissions
Proposed Collection; Comment Request
Document Number: 2011-28721
Type: Notice
Date: 2011-11-07
Agency: Securities and Exchange Commission, Agencies and Commissions
Proposed Collection; Comment Request
Document Number: 2011-28720
Type: Notice
Date: 2011-11-07
Agency: Securities and Exchange Commission, Agencies and Commissions
Proposed Collection; Comment Request
Document Number: 2011-28719
Type: Notice
Date: 2011-11-07
Agency: Securities and Exchange Commission, Agencies and Commissions
Prohibitions and Restrictions on Proprietary Trading and Certain Interests in, and Relationships With, Hedge Funds and Private Equity Funds
Document Number: 2011-27184
Type: Proposed Rule
Date: 2011-11-07
Agency: Federal Deposit Insurance Corporation, Agencies and Commissions, Securities and Exchange Commission, Office of the Comptroller of the Currency, Department of Treasury, Department of the Treasury, Board of Governors of the Federal Reserve System
The OCC, Board, FDIC, and SEC (individually, an ``Agency,'' and collectively, ``the Agencies'') are requesting comment on a proposed rule that would implement Section 619 of the Dodd-Frank Wall Street Reform and Consumer Protection Act (``Dodd-Frank Act'') which contains certain prohibitions and restrictions on the ability of a banking entity and nonbank financial company supervised by the Board to engage in proprietary trading and have certain interests in, or relationships with, a hedge fund or private equity fund.
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.
Citadel LLC (formerly Citadel Investment Group, L.L.C.) and CEIF LLC; Notice of Application
Document Number: 2011-28351
Type: Notice
Date: 2011-11-02
Agency: Securities and Exchange Commission, Agencies and Commissions
Technical Amendment to Delegation of Authority to the Director of the Division of Trading and Markets
Document Number: 2011-28313
Type: Rule
Date: 2011-11-02
Agency: Securities and Exchange Commission, Agencies and Commissions
The Securities and Exchange Commission (``Commission'') is making a technical amendment to the rule that delegates authority to the Director of the Division of Trading and Markets to grant exemptions upon specified terms, conditions, and periods to persons subject to Rule 17f-2 under the Securities Exchange Act of 1934 (``Exchange Act'').
Curatech Industries, Inc., Order of Suspension of Trading
Document Number: 2011-28356
Type: Notice
Date: 2011-11-01
Agency: Securities and Exchange Commission, Agencies and Commissions