Securities and Exchange Commission 2015 – Federal Register Recent Federal Regulation Documents
Results 351 - 400 of 1,842
Agency Information Collection; Submission for OMB Review; Joint Comment Request; Joint Standards for Assessing the Diversity Policies and Practices of Entities Regulated by the Agencies
The OCC, FDIC, CFPB, and SEC (each, an Agency and collectively, the Agencies) have submitted to OMB a request for approval under the PRA of the collection of information discussed below. The Board (also an Agency and included in Agencies) reviewed the joint notice under the authority delegated to the Board by OMB. An agency may not conduct or sponsor, and a respondent is not required to respond to, an information collection unless it displays a currently valid OMB control number.
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. 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.
Securities Investor Protection Corporation
The Securities Investor Protection Corporation (``SIPC'') filed proposed rules with the Securities and Exchange Commission (``Commission''). SIPC proposes to adopt the SIPC Series 600 Rules, entitled ``Rules Relating to Supplemental Report of SIPC Membership,'' in accordance with paragraph (e)(4) of Rule 17a-5 under the Securities Exchange Act of 1934 (``Exchange Act''). The Commission is publishing the proposed rules for public comment. Because SIPC rules have the force and effect as if promulgated by the Commission, those rules are published in Title 17 of the Code of Federal Regulations.
Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval to a Proposed Rule Change, as Modified by Amendment No. 1, Adopting New Equity Trading Rules Relating to Trading Halts, Short Sales, Limit Up-Limit Down, and Odd Lots and Mixed Lots to Reflect the Implementation of Pillar, the Exchange's New Trading Technology Platform; Correction
The Securities and Exchange Commission published a document in the Federal Register on October 26, 2015, concerning a Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval to a Proposed Rule Change, as Modified by Amendment No. 1, Adopting New Equity Trading Rules Relating to Trading Halts, Short Sales, Limit Up- Limit Down, and Odd Lots and Mixed Lots to Reflect the Implementation of Pillar, the Exchange's New Trading Technology Platform. The document contained typographical errors.
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