Securities and Exchange Commission April 30, 2020 – Federal Register Recent Federal Regulation Documents

Results 1 - 9 of 9
Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 1940
Document Number: 2020-09142
Type: Notice
Date: 2020-04-30
Agency: Securities and Exchange Commission, Agencies and Commissions
Applicant seeks an order declaring that it has ceased to be an investment company. Expenses of $9,000 incurred in connection with the liquidation were paid by the applicant. Filing Date: The application was filed on September 18, 2019, and amended on April 7, 2020. Applicant's Address: king@sewkis.com.
https://regulations.justia.com/regulations/fedreg/2020/04/30/2020-09142.html
Edmunds Private Capital, LLC
Document Number: 2020-09141
Type: Notice
Date: 2020-04-30
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2020/04/30/2020-09141.html
Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 2, To Modify Rule 6.60-O Regarding the Treatment of Orders Subject to Trade Collar Protection
Document Number: 2020-09129
Type: Notice
Date: 2020-04-30
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2020/04/30/2020-09129.html
Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Amendment No. 1 and Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change, as Modified by Amendment No. 1, To List and Trade Shares of the SPDR SSGA Responsible Reserves ESG ETF Under NYSE Arca Rule 8.600-E
Document Number: 2020-09128
Type: Notice
Date: 2020-04-30
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2020/04/30/2020-09128.html
Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Add a New Version of the Silexx Platform
Document Number: 2020-09126
Type: Notice
Date: 2020-04-30
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2020/04/30/2020-09126.html
Self-Regulatory Organizations; NYSE American LLC; Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 2, To Modify Rule 967NY Regarding the Treatment of Orders Subject to Trade Collar Protection
Document Number: 2020-09125
Type: Notice
Date: 2020-04-30
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2020/04/30/2020-09125.html
Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1, To Assume Operational Responsibility for Certain Enforcement Functions Currently Performed by FINRA Under the Exchange's Authority and Supervision
Document Number: 2020-09124
Type: Notice
Date: 2020-04-30
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2020/04/30/2020-09124.html
Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Order Approving Proposed Rule Change To Amend Rules 4702(b)(14) and (b)(15) To Shorten the Holding Period Requirements for Midpoint Extended Life Orders and Midpoint Extended Life Orders Plus Continuous Book
Document Number: 2020-09123
Type: Notice
Date: 2020-04-30
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2020/04/30/2020-09123.html
Legg Mason Partners Equity Trust, et al.; Notice of Application
Document Number: 2020-09121
Type: Notice
Date: 2020-04-30
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2020/04/30/2020-09121.html
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