Securities and Exchange Commission April 2015 – Federal Register Recent Federal Regulation Documents
Results 1 - 50 of 192
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 19, 2014, applicant made a liquidating distribution to its shareholders, based on net asset value. Applicant has retained $4,093 in cash to pay outstanding liabilities. Expenses of $66,724 incurred in connection with the liquidation were paid by UBS Global Asset Management (Americas) Inc., applicant's investment adviser. Filing Date: The application was filed on March 12, 2015. Applicant's Address: c/o UBS Global Asset Management (Americas) Inc., Attn: Keith A. Weller, 1285 Avenue of the Americas, 12th Floor, New York, NY 10019-6028.
Deutsche Bank AG, et al.; Notice of Application and Temporary Order
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'').
Equity Market Structure Advisory Committee
The Securities and Exchange Commission Equity Market Structure Advisory Committee is providing notice that it will hold a public meeting on Wednesday, May 13, 2015, in Multi-Purpose Room LL-006 at the Commission's headquarters, 100 F Street NE., Washington, DC The meeting will begin at 9:30 a.m. (EDT) and will be open to the public, except for a period of approximately 90 minutes when the Committee will meet in an administrative work session during lunch. The public portions of the meeting will be webcast on the Commission's Web site at 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 was announced on April 17, 2015 and will focus on Rule 611 of SEC Regulation NMS.
D-W Investments LLC; Notice of Application
The Applicant requests that the Commission issue an order declaring the Applicant to be a person not within the intent of section 202(a)(11), which defines the term ``investment adviser.''
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