Securities and Exchange Commission August 2012 – Federal Register Recent Federal Regulation Documents
Results 151 - 194 of 194
Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 1940
Applicant seeks an order declaring that it has ceased to be an investment company. On June 25, 2012, applicant made a liquidating distribution to its shareholders, based on net asset value. Expenses of $3,250 incurred in connection with the liquidation were paid by Claremont Investment Partners, LLC, applicant's investment adviser. Filing Date: The application was filed on June 29, 2012. Applicant's Address: 175 Oak Ridge Ave., Summit, NJ 07901.
Consolidated Audit Trail
The Securities and Exchange Commission (``Commission'') is adopting Rule 613 under the Securities Exchange Act of 1934 (``Exchange Act'' or ``Act'') to require national securities exchanges and national securities associations (``self-regulatory organizations'' or ``SROs'') to submit a national market system (``NMS'') plan to create, implement, and maintain a consolidated order tracking system, or consolidated audit trail, with respect to the trading of NMS securities, that would capture customer and order event information for orders in NMS securities, across all markets, from the time of order inception through routing, cancellation, modification, or execution.
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