Securities and Exchange Commission – Federal Register Recent Federal Regulation Documents

Results 301 - 350 of 26,177
Northern Lights Fund Trust and AlphaCore Capital, LLC
Document Number: 2018-00156
Type: Notice
Date: 2018-01-09
Agency: Securities and Exchange Commission, Agencies and Commissions
Sunshine Act Meeting
Document Number: 2018-00212
Type: Notice
Date: 2018-01-08
Agency: Securities and Exchange Commission, Agencies and Commissions
Notice of Applications for Deregistration Under the Investment Company Act of 1940
Document Number: 2017-28488
Type: Notice
Date: 2018-01-04
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 June 29, 2017 and August 7, 2017, applicant made liquidating distributions to its shareholders, based on net asset value. Expenses of $147,554 incurred in connection with the liquidation were paid by the applicant. Filing Dates: The application was filed on November 28, 2017. Applicant's Address: Worldwide Plaza, 309 West 49th Street, New York, New York, 10019.
Sunshine Act Meetings
Document Number: 2017-28446
Type: Notice
Date: 2018-01-03
Agency: Securities and Exchange Commission, Agencies and Commissions
Freedom of Information Act Regulations
Document Number: 2017-27967
Type: Proposed Rule
Date: 2018-01-03
Agency: Securities and Exchange Commission, Agencies and Commissions
The Securities and Exchange Commission (``Commission'' or ``SEC'') is publishing for comment proposed amendments to the Commission's regulations under the Freedom of Information Act (``FOIA''). This rule proposes revisions to the Commission's regulations under the FOIA to reflect changes required by the FOIA Improvement Act of 2016 (``Improvement Act''); and clarify, update, and streamline the language of several procedural provisions.
Oppenheimer Capital Appreciation Fund et al.; Application
Document Number: 2017-28299
Type: Notice
Date: 2018-01-02
Agency: Securities and Exchange Commission, Agencies and Commissions
Validea Capital Management, LLC, et al.; Notice of Application
Document Number: 2017-28166
Type: Notice
Date: 2017-12-29
Agency: Securities and Exchange Commission, Agencies and Commissions