Securities and Exchange Commission June 2021 – Federal Register Recent Federal Regulation Documents
Results 101 - 150 of 150
Recordkeeping and Reporting Requirements for Security-Based Swap Dealers, Major Security-Based Swap Participants, and Broker-Dealers; Correction
On September 19, 2019, the Securities and Exchange Commission (the ``Commission'') adopted recordkeeping, reporting, and notification requirements applicable to security-based swap dealers and major security-based swap participants, securities count requirements applicable to certain security-based swap dealers, and additional recordkeeping requirements applicable to broker-dealers to account for their security-based swap and swap activities. Release 34-87005 (Sept. 19, 2019) was published in the Federal Register on Dec. 16, 2019 ( ). This document corrects certain technical inaccuracies in that release.
Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 1940
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 A&Q Long/Short Strategies Fund LLC., and on March 31, 2021 made a final distribution to its shareholders based on net asset value. Expenses of $383,202.32 incurred in connection with the reorganization were paid by the acquiring fund. Filing Date: The application was filed on April 7, 2021. Applicant's Address: frank.pluchino@ubs.com.
Investor Advisory Committee Meeting
The Securities and Exchange Commission Investor Advisory Committee, established pursuant to Section 911 of the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010, is providing notice that it will hold a public meeting. The public is invited to submit written statements to the Committee.
Market Data Infrastructure
This document makes technical corrections to amendments to modernize the national market system for the collection, consolidation, and dissemination of information with respect to quotations for and transactions in national market system stocks adopted in Release No. 34-90610 (December 9, 2020) (``Adopting Release''), which was published in the Federal Register on April 9, 2021.
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