List of Rules To Be Reviewed Pursuant to the Regulatory Flexibility Act
The Securities and Exchange Commission is publishing a list of rules to be reviewed pursuant to Section 610 of the Regulatory Flexibility Act. The list is published to provide the public with notice that these rules are scheduled for review by the agency and to invite public comment on them.
Capital, Margin, and Segregation Requirements for Security-Based Swap Dealers and Major Security-Based Swap Participants and Capital Requirements for Broker-Dealers; Correction
Technical corrections are being made to the Commission's Release No. 34-68071, which proposed capital and margin requirements for security-based swap dealers (``SBSDs'') and major security-based swap participants (``MSBSPs''), segregation requirements for SBSDs, and notification requirements with respect to segregation for SBSDs and MSBSPs, as well as increases to the minimum net capital requirements for broker-dealers permitted to use the alternative internal model- based method for computing net capital.
Blackstone Alternative Alpha Fund, et al.; Notice of Application
Summary of Application: Applicants request an order to permit certain registered closed-end management investment companies to issue multiple classes of shares of beneficial interest (``Shares'') and to impose asset-based service and/or distribution fees and contingent deferred sales loads (``CDSCs'').