Securities and Exchange Commission October 2016 – Federal Register Recent Federal Regulation Documents
Results 101 - 150 of 160
Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 1940
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
Initiating Member & Priority Quote interest fully satisfies Agency Order; all participants eligible for Priority Quote status. Assumptions:
Amendment to Securities Transaction Settlement Cycle
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.
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