Securities and Exchange Commission April 29, 2015 – Federal Register Recent Federal Regulation Documents

Applicants have received a temporary order (the ``Temporary Order'') exempting them from section 9(a) of the Act, with respect to a guilty plea entered April 23, 2015, by DB Group Services (UK) Ltd. (the ``Settling Firm'') in the U.S. District Court for the District of Connecticut (the ``District Court'') in connection with a plea agreement between the Settling Firm and the U.S. Department of Justice (``DOJ''), until the Commission takes final action on an application for a permanent order. Applicants have also requested a permanent order (the ``Permanent Order,'' and with the Temporary Order, the ``Orders'').