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

Applicant, a closed-end investment company, seeks an order declaring that it has ceased to be an investment company. The applicant has transferred its assets to ClearBridge Energy Midstream Opportunity Fund Inc. and, on November 16, 2018, made a final distribution to its shareholders based on net asset value. Expenses of $1,140,539 incurred in connection with the reorganization were paid by the applicant's investment adviser or an affiliate thereof. Filing Date: The application was filed on March 7, 2019. Applicant's Address: 620 Eighth Avenue, 49th Floor, New York, New York 10018.

The Securities and Exchange Commission Small Business Capital Formation Advisory Committee, established pursuant to Section 40 of the Securities Exchange Act of 1934 as added by the SEC Small Business Advocate Act of 2016, is providing notice that it will hold a public meeting. The public is invited to submit written statements to the Committee.

The Commission is extending the compliance date for the recently adopted amendments to Rule 606 of Regulation National Market System (``Regulation NMS'') under the Securities Exchange Act of 1934 (``Exchange Act''), which require additional disclosures by broker- dealers to customers concerning the handling of customer orders. Specifically, the Commission is extending the compliance date for the recently adopted amendments to Rule 606. Following September 30, 2019, broker-dealers must begin to collect the information required by Rules 606(a) and 606(b) as amended. The compliance date remains May 20, 2019 for the amendments to Rule 605. The Commission is extending the compliance date for the recently adopted amendments to Rule 606 in order to give broker-dealers additional time to develop, program, and test for compliance with the new and amended requirements of the rule.