Securities and Exchange Commission 2020 – Federal Register Recent Federal Regulation Documents
Results 551 - 600 of 2,159
Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 1940
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.
Deutsche Bank AG, et al.
Applicants have received a temporary order (``Temporary Order'') exempting them from section 9(a) of the Act, with respect to an injunction entered against Deutsche Bank AG on June 17, 2020 by the U.S. District Court for the Southern District of New York (``District Court''), in connection with a consent order between Deutsche Bank AG and the U.S. Commodity Futures Trading Commission (``CFTC''), until the Commission takes final action on an application for a permanent order (the ``Permanent Order,'' and with the Temporary Order, the ``Orders''). Applicants also have applied for a Permanent Order. Applicants: Deutsche Bank AG; DWS Investment Management Americas, Inc. (``DIMA''), DWS International GmbH (``DWSI''), DWS Investments Australia Limited (``DIAL''), RREEF America L.L.C. (``RREEF''), DWS Alternatives Global Limited (``DAAM Global''), DBX Advisors LLC (``DBX Advisors''), DWS Distributors, Inc. (``DDI''), Harvest Global Investments Limited (``Harvest'') and DWS Investments Hong Kong Limited (``DIHK'') (each a ``Fund Servicing Applicant,'' and together with Deutsche Bank AG, the ``Applicants''). Filing Date: The application was filed on September 24, 2020, and amended on September 24, 2020. Hearing or Notification of Hearing: An order granting the application will be issued unless the Commission orders a hearing. Interested persons may request a hearing by emailing the Commission's Secretary Secretarys-Office@sec.gov and serving Applicants with a copy of the request by email. Hearing requests should be received by the Commission by 5:30 p.m. on October 19, 2020 and should be accompanied by proof of service on Applicants, in the form of an affidavit, or for lawyers, a certificate of service. Pursuant to rule 0-5 under the Act, hearing requests should state the nature of the writer's interest, any facts bearing upon the desirability of a hearing on the matter, the reason for the request, and the issues contested. Persons who wish to be notified of a hearing may request notification by emailing the Commission's Secretary at Secretarys-Office@sec.gov.
Prohibitions and Restrictions on Proprietary Trading and Certain Interests in, and Relationships With, Hedge Funds and Private Equity Funds; Correction
The OCC, Board, FDIC, SEC, and CFTC (together, the agencies) are issuing this correction to make technical corrections to the Federal Register rule adopting amendments to the regulations implementing section 13 of the Bank Holding Company Act published on July 31, 2020.
This site is protected by reCAPTCHA and the Google
Privacy Policy and
Terms of Service apply.
