Securities and Exchange Commission 2020 – Federal Register Recent Federal Regulation Documents

Results 2,151 - 2,159 of 2,159
Self-Regulatory Organizations; Long-Term Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Membership Waive-in Process for FINRA Members
Document Number: 2019-28360
Type: Notice
Date: 2020-01-03
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2020/01/03/2019-28360.html
Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 1940
Document Number: 2019-28349
Type: Notice
Date: 2020-01-03
Agency: Securities and Exchange Commission, Agencies and Commissions
Applicant, a closed-end investment company, seeks an order declaring that it has ceased to be an investment company. On November 8, 2019, applicant made a final liquidating distribution to its shareholders based on net asset value. Expenses of $11,000 incurred in connection with the liquidation were paid by applicant. Filing Date: The application was filed on November 8, 2019. Applicant's Address: c/o UBS Hedge Fund Solutions LLC, 600 Washington Boulevard, Stamford, Connecticut 06901.
https://regulations.justia.com/regulations/fedreg/2020/01/03/2019-28349.html
Submission for OMB Review; Comment Request
Document Number: 2019-28320
Type: Notice
Date: 2020-01-02
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2020/01/02/2019-28320.html
Submission for OMB Review; Comment Request
Document Number: 2019-28319
Type: Notice
Date: 2020-01-02
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2020/01/02/2019-28319.html
Proposed Collection; Comment Request
Document Number: 2019-28318
Type: Notice
Date: 2020-01-02
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2020/01/02/2019-28318.html
Submission for OMB Review; Comment Request
Document Number: 2019-28317
Type: Notice
Date: 2020-01-02
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2020/01/02/2019-28317.html
Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Change To Add Certain Recently Adopted Trading Rules To the List of Minor Rule Violations in Rule 9217
Document Number: 2019-28278
Type: Notice
Date: 2020-01-02
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2020/01/02/2019-28278.html
Self-Regulatory Organizations; ICE Clear Credit LLC; Order Approving Proposed Rule Change Relating to ICC's Treasury Operations Policies and Procedures
Document Number: 2019-28277
Type: Notice
Date: 2020-01-02
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2020/01/02/2019-28277.html
Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing of Proposed Rule Change To Enhance National Securities Clearing Corporation's Haircut-Based Volatility Charge Applicable to Municipal Bonds
Document Number: 2019-28276
Type: Notice
Date: 2020-01-02
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2020/01/02/2019-28276.html
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