Securities and Exchange Commission November 5, 2015 – Federal Register Recent Federal Regulation Documents

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Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 1940
Document Number: 2015-28149
Type: Notice
Date: 2015-11-05
Agency: Securities and Exchange Commission, Agencies and Commissions
Applicant seeks an order declaring that it has ceased to be an investment company. Applicant has never made a public offering of its securities and does not propose to make a public offering or engage in business of any kind. Filing Dates: The application was filed on September 28, 2015. Applicant's Address: 2 Morrissey Boulevard, Dorchester, Massachusetts 02125.
https://regulations.justia.com/regulations/fedreg/2015/11/05/2015-28149.html
Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Designation of Longer Period for Commission Action on Proceedings To Determine Whether To Disapprove Proposed Rule Change, as Modified by Amendment No. 1, Amending Sections 312.03(b) and 312.04 of the NYSE Listed Company Manual to Exempt Early Stage Companies From Having To Obtain Shareholder Approval Before Issuing Shares for Cash to Related Parties, Affiliates of Related Parties or Entities in Which a Related Party Has a Substantial Interest
Document Number: 2015-28148
Type: Notice
Date: 2015-11-05
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2015/11/05/2015-28148.html
Order Exempting Certain Large Traders From the Self-Identification Requirements of Rule 13h-1 Under the Securities Exchange Act of 1934, and Exempting Certain Broker-Dealers From the Recordkeeping, Reporting, and Monitoring Responsibilities Under the Rule
Document Number: 2015-28147
Type: Notice
Date: 2015-11-05
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2015/11/05/2015-28147.html
Self-Regulatory Organizations; EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rules 21.2, 21.6, and 21.7, as They Relate To Order Acceptance Time
Document Number: 2015-28146
Type: Notice
Date: 2015-11-05
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2015/11/05/2015-28146.html
Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Rules 21.2, 21.6, and 21.7, as They Relate to Order Acceptance Time
Document Number: 2015-28145
Type: Notice
Date: 2015-11-05
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2015/11/05/2015-28145.html
Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to the Risk Monitor Mechanism
Document Number: 2015-28144
Type: Notice
Date: 2015-11-05
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2015/11/05/2015-28144.html
Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Risk Monitor Mechanism
Document Number: 2015-28143
Type: Notice
Date: 2015-11-05
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2015/11/05/2015-28143.html
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