Securities and Exchange Commission October 1, 2020 – Federal Register Recent Federal Regulation Documents

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Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 1940
Document Number: 2020-21676
Type: Notice
Date: 2020-10-01
Agency: Securities and Exchange Commission, Agencies and Commissions
Applicant seeks an order declaring that it has ceased to be an investment company. On April 24, 2020, applicant made liquidating distributions to its shareholders based on net asset value. Expenses of $6,295 incurred in connection with the liquidation were paid by the applicant, and the applicant's investment adviser. Filing Dates: The application was filed on July 1, 2020, and amended on September 18, 2020. Applicant's Address: swellman@bmtc.com.
https://regulations.justia.com/regulations/fedreg/2020/10/01/2020-21676.html
Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Amend Rules Relating to the Processing of Auction Responses
Document Number: 2020-21662
Type: Notice
Date: 2020-10-01
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2020/10/01/2020-21662.html
Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Temporary Period for Specified Commentaries to Rules 7.35, 7.35A, 7.35B, and 7.35C and Temporary Rule Relief in Rule 36.30
Document Number: 2020-21661
Type: Notice
Date: 2020-10-01
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2020/10/01/2020-21661.html
Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of a Proposed Rule Change To Amend the Codes of Arbitration Procedure Relating to Requests To Expunge Customer Dispute Information, Including Creating a Special Arbitrator Roster To Decide Certain Expungement Requests
Document Number: 2020-21660
Type: Notice
Date: 2020-10-01
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2020/10/01/2020-21660.html
Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Consisting of Amendments to MSRB Rules A-3 and A-4 Relating to Board Quorum, Meeting, and Voting Requirements
Document Number: 2020-21659
Type: Notice
Date: 2020-10-01
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2020/10/01/2020-21659.html
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