Securities and Exchange Commission 2015 – Federal Register Recent Federal Regulation Documents

Results 1,101 - 1,150 of 1,842
In the Matter of Jet Neko, Inc., Order of Suspension of Trading
Document Number: 2015-10187
Type: Notice
Date: 2015-04-30
Agency: Securities and Exchange Commission, Agencies and Commissions
Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 1940
Document Number: 2015-10094
Type: Notice
Date: 2015-04-30
Agency: Securities and Exchange Commission, Agencies and Commissions
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.
Order Regarding Review of FASB Accounting Support Fee For 2015 Under Section 109 of the Sarbanes-Oxley Act of 2002
Document Number: 2015-10034
Type: Notice
Date: 2015-04-30
Agency: Securities and Exchange Commission, Agencies and Commissions
Sunshine Act Meeting
Document Number: 2015-10037
Type: Notice
Date: 2015-04-29
Agency: Securities and Exchange Commission, Agencies and Commissions
Deutsche Bank AG, et al.; Notice of Application and Temporary Order
Document Number: 2015-09965
Type: Notice
Date: 2015-04-29
Agency: Securities and Exchange Commission, Agencies and Commissions
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'').
Hartford Funds NextShares Trust, et al.; Notice of Application
Document Number: 2015-09964
Type: Notice
Date: 2015-04-29
Agency: Securities and Exchange Commission, Agencies and Commissions
Gabelli ETMF Trust, et al.; Notice of Application
Document Number: 2015-09963
Type: Notice
Date: 2015-04-29
Agency: Securities and Exchange Commission, Agencies and Commissions
Equity Market Structure Advisory Committee
Document Number: 2015-09792
Type: Notice
Date: 2015-04-28
Agency: Securities and Exchange Commission, Agencies and Commissions
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.
Sunshine Act Meeting.
Document Number: 2015-09789
Type: Notice
Date: 2015-04-27
Agency: Securities and Exchange Commission, Agencies and Commissions
In the Matter of First American Scientific Corp., Order of Suspension of Trading
Document Number: 2015-09685
Type: Notice
Date: 2015-04-24
Agency: Securities and Exchange Commission, Agencies and Commissions
D-W Investments LLC; Notice of Application
Document Number: 2015-09556
Type: Notice
Date: 2015-04-24
Agency: Securities and Exchange Commission, Agencies and Commissions
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.''
Proposed Collection; Comment Request
Document Number: 2015-09496
Type: Notice
Date: 2015-04-24
Agency: Securities and Exchange Commission, Agencies and Commissions
Proposed Collection; Comment Request
Document Number: 2015-09495
Type: Notice
Date: 2015-04-24
Agency: Securities and Exchange Commission, Agencies and Commissions
ForceField Energy Inc.; Order of Suspension of Trading
Document Number: 2015-09555
Type: Notice
Date: 2015-04-23
Agency: Securities and Exchange Commission, Agencies and Commissions
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