Securities and Exchange Commission 2015 – Federal Register Recent Federal Regulation Documents
Results 1,251 - 1,300 of 1,842
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 January 30, 2015, applicant made a liquidating distribution to its shareholders, based on net asset value. Expenses of $2,923 incurred in connection with the liquidation were paid by applicant's investment adviser. Filing Dates: The application was filed on February 19, 2015. Applicant's Address: 24140 E. Greystone Lane, Woodway, Washington 98020.
Exemption for Certain Exchange Members
The Securities and Exchange Commission (``Commission'') is proposing to amend Rule 15b9-1 (``Rule'') under the Securities Exchange Act of 1934 (``Act'' or ``Exchange Act''), which exempts certain brokers or dealers from membership in a registered national securities association (``Association''). The proposed amendments would replace the current gross income allowance in the Rule with a narrower exemption from Association membership for a broker or dealer that carries no customer accounts and effects transactions on a national securities exchange. The proposed amendments would create an exemption for a dealer that effects transactions off the exchange of which it is a member solely for the purpose of hedging the risks of its floor-based activity, or a broker or dealer that effects transactions off the exchange resulting from orders that are routed by a national securities exchange of which it is a member, to prevent trade-throughs consistent with the provisions of Rule 611 of Regulation NMS.
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