Securities and Exchange Commission July 2019 – Federal Register Recent Federal Regulation Documents

Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 1940
Document Number: 2019-16317
Type: Notice
Date: 2019-07-31
Agency: Securities and Exchange Commission, Agencies and Commissions
Applicant seeks an order declaring that it has ceased to be an investment company. On May 13, 2019, applicant made liquidating distributions to its shareholders based on net asset value. Expenses of $40,272 incurred in connection with the liquidation were paid by applicant's investment adviser. Applicant also has retained $37,826 for the purpose of paying certain outstanding liabilities. Filing Dates: The application was filed on June 19, 2019, and amended on July 11, 2019. Applicant's Address: 11111 Santa Monica Boulevard, c/o Causeway Capital Management LLC, 15th Floor, Los Angeles, California 90025.
Submission for OMB Review; Comment Request
Document Number: 2019-16294
Type: Notice
Date: 2019-07-31
Agency: Securities and Exchange Commission, Agencies and Commissions
Submission for OMB Review; Comment Request
Document Number: 2019-16293
Type: Notice
Date: 2019-07-31
Agency: Securities and Exchange Commission, Agencies and Commissions
Submission for OMB Review; Comment Request
Document Number: 2019-16292
Type: Notice
Date: 2019-07-31
Agency: Securities and Exchange Commission, Agencies and Commissions
Submission for OMB Review; Comment Request
Document Number: 2019-16291
Type: Notice
Date: 2019-07-31
Agency: Securities and Exchange Commission, Agencies and Commissions
Submission for OMB Review; Comment Request
Document Number: 2019-16290
Type: Notice
Date: 2019-07-31
Agency: Securities and Exchange Commission, Agencies and Commissions
Submission for OMB Review; Comment Request
Document Number: 2019-16090
Type: Notice
Date: 2019-07-30
Agency: Securities and Exchange Commission, Agencies and Commissions
Proposed Collection; Comment Request
Document Number: 2019-16089
Type: Notice
Date: 2019-07-30
Agency: Securities and Exchange Commission, Agencies and Commissions
Proposed Collection; Comment Request
Document Number: 2019-16088
Type: Notice
Date: 2019-07-30
Agency: Securities and Exchange Commission, Agencies and Commissions
Liquid Strategies, LLC and Listed Funds Trust
Document Number: 2019-16086
Type: Notice
Date: 2019-07-30
Agency: Securities and Exchange Commission, Agencies and Commissions
The Guardian Insurance & Annuity Company, Inc., et al.
Document Number: 2019-15975
Type: Notice
Date: 2019-07-29
Agency: Securities and Exchange Commission, Agencies and Commissions
Zacks Investment Management, Inc. and Zacks Trust
Document Number: 2019-15968
Type: Notice
Date: 2019-07-29
Agency: Securities and Exchange Commission, Agencies and Commissions
Zacks Investment Management, Inc. and Zacks Trust
Document Number: 2019-15955
Type: Notice
Date: 2019-07-29
Agency: Securities and Exchange Commission, Agencies and Commissions
PFS Funds and Castle Investment Management, LLC.; Notice of Application
Document Number: 2019-15954
Type: Notice
Date: 2019-07-29
Agency: Securities and Exchange Commission, Agencies and Commissions
Customer Margin Rules Relating to Security Futures
Document Number: 2019-15400
Type: Proposed Rule
Date: 2019-07-26
Agency: Commodity Futures Trading Commission, Agencies and Commissions, Securities and Exchange Commission
The Commodity Futures Trading Commission (``CFTC'') and the Securities and Exchange Commission (``SEC'') (collectively, the ``Commissions'') are proposing amendments to regulations that establish minimum customer margin requirements for security futures. More specifically, the proposed amendments would lower the margin requirement for an unhedged security futures position from 20% to 15%, as well as propose certain revisions to the margin offset table consistent with the proposed reduction in margin.
Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing of Proposed Rule Change To Amend Rule 4121
Document Number: 2019-15776
Type: Notice
Date: 2019-07-25
Agency: Securities and Exchange Commission, Agencies and Commissions
Sunshine Act Meetings
Document Number: 2019-15826
Type: Notice
Date: 2019-07-24
Agency: Securities and Exchange Commission, Agencies and Commissions
Proposed Collection; Comment Request
Document Number: 2019-15695
Type: Notice
Date: 2019-07-24
Agency: Securities and Exchange Commission, Agencies and Commissions
Sunshine Act Meetings
Document Number: 2019-15674
Type: Notice
Date: 2019-07-23
Agency: Securities and Exchange Commission, Agencies and Commissions
Sunshine Act Meetings
Document Number: 2019-15673
Type: Notice
Date: 2019-07-23
Agency: Securities and Exchange Commission, Agencies and Commissions