Securities and Exchange Commission October 2016 – Federal Register Recent Federal Regulation Documents

Results 101 - 150 of 160
Legg Mason Global Asset Management Trust, et al.; Notice of Application
Document Number: 2016-24286
Type: Notice
Date: 2016-10-07
Agency: Securities and Exchange Commission, Agencies and Commissions
Legg Mason Global Asset Management Trust, et al.; Notice of Application
Document Number: 2016-24285
Type: Notice
Date: 2016-10-07
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: 2016-24150
Type: Notice
Date: 2016-10-06
Agency: Securities and Exchange Commission, Agencies and Commissions
Applicant, a closed-end investment company and a feeder fund in a master/feeder structure, seeks an order declaring that it has ceased to be an investment company. On May 31, 2016, applicant made a liquidating distribution to its shareholders, based on net asset value. Expenses of approximately $37,218 incurred in connection with the liquidation were paid by applicant. Filing Date: The application was filed on August 17, 2016. Applicant's Address: 1200 Prospect Street, Suite 400, La Jolla, CA 92037.
Self-Regulatory Organizations; Bats EDGX Exchange, Inc.; Notice of Filing of a Proposed Rule Change Related to the Exchange's Equity Options Platform To Adopt a Price Improvement Auction, the Bats Auction Mechanism
Document Number: 2016-24010
Type: Notice
Date: 2016-10-05
Agency: Securities and Exchange Commission, Agencies and Commissions
Initiating Member & Priority Quote interest fully satisfies Agency Order; all participants eligible for Priority Quote status. Assumptions:
Amendment to Securities Transaction Settlement Cycle
Document Number: 2016-23890
Type: Proposed Rule
Date: 2016-10-05
Agency: Securities and Exchange Commission, Agencies and Commissions
The Securities and Exchange Commission (``Commission'') proposes to amend Rule 15c6-1(a) under the Securities Exchange Act of 1934 (``Exchange Act'') to shorten the standard settlement cycle for most broker-dealer transactions from three business days after the trade date (``T+3'') to two business days after the trade date (``T+2''). The proposed amendment is designed to reduce a number of risks, including credit risk, market risk, and liquidity risk and, as a result, reduce systemic risk for U.S. market participants.
Sunshine Act Meeting
Document Number: 2016-24091
Type: Notice
Date: 2016-10-04
Agency: Securities and Exchange Commission, Agencies and Commissions
In the Matter of Rainbow International, Corp., a/k/a Raintree Brands Incorporated; Order of Suspension of Trading
Document Number: 2016-24062
Type: Notice
Date: 2016-10-04
Agency: Securities and Exchange Commission, Agencies and Commissions
In the Matter of Infinex Ventures, Inc.; Order of Suspension of Trading
Document Number: 2016-24061
Type: Notice
Date: 2016-10-04
Agency: Securities and Exchange Commission, Agencies and Commissions
In the Matter of Sierra Resource Group, Inc.; Order of Suspension of Trading
Document Number: 2016-23996
Type: Notice
Date: 2016-10-04
Agency: Securities and Exchange Commission, Agencies and Commissions
Virtus Alternative Solutions Trust, et al.; Notice of Application
Document Number: 2016-23911
Type: Notice
Date: 2016-10-04
Agency: Securities and Exchange Commission, Agencies and Commissions
Sunshine Act Meeting
Document Number: 2016-23910
Type: Notice
Date: 2016-10-03
Agency: Securities and Exchange Commission, Agencies and Commissions
Proposed Collection; Comment Request
Document Number: 2016-23762
Type: Notice
Date: 2016-10-03
Agency: Securities and Exchange Commission, Agencies and Commissions
Proposed Collection; Comment Request
Document Number: 2016-23761
Type: Notice
Date: 2016-10-03
Agency: Securities and Exchange Commission, Agencies and Commissions
Proposed Collection; Comment Request
Document Number: 2016-23760
Type: Notice
Date: 2016-10-03
Agency: Securities and Exchange Commission, Agencies and Commissions
Foreside ETF Trust, et al.; Notice of Application
Document Number: 2016-23759
Type: Notice
Date: 2016-10-03
Agency: Securities and Exchange Commission, Agencies and Commissions
This site is protected by reCAPTCHA and the Google Privacy Policy and Terms of Service apply.