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Sample records for company act puhca

  1. Public Utility Holding Company Act of 1935: 1935-1992

    EIA Publications

    1993-01-01

    This report provides an economic and legislative history and analysis of the Public Utilities Holding Company Act (PUHCA) of 1935. This Act was substantially amended for the first time in 1992 by passage of the Energy Policy Act (EPACT). The report also includes a discussion of the issues which led to the amendment of PUHCA and projections of the impact of these changes on the electric industry.

  2. 18 CFR 366.21 - Accounts and records of holding companies.

    Code of Federal Regulations, 2013 CFR

    2013-04-01

    ... in 17 CFR part 257. (c) Nothing in this section shall relieve any company subject thereto from..., FEDERAL POWER ACT AND NATURAL GAS ACT BOOKS AND RECORDS Accounting and Recordkeeping Under PUHCA 2005, the Federal Power Act and the Natural Gas Act § 366.21 Accounts and records of holding companies. (a)...

  3. 18 CFR 366.21 - Accounts and records of holding companies.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... in 17 CFR part 257. (c) Nothing in this section shall relieve any company subject thereto from..., FEDERAL POWER ACT AND NATURAL GAS ACT BOOKS AND RECORDS Accounting and Recordkeeping Under PUHCA 2005, the Federal Power Act and the Natural Gas Act § 366.21 Accounts and records of holding companies. (a)...

  4. 18 CFR 366.21 - Accounts and records of holding companies.

    Code of Federal Regulations, 2014 CFR

    2014-04-01

    ... in 17 CFR part 257. (c) Nothing in this section shall relieve any company subject thereto from..., FEDERAL POWER ACT AND NATURAL GAS ACT BOOKS AND RECORDS Accounting and Recordkeeping Under PUHCA 2005, the Federal Power Act and the Natural Gas Act § 366.21 Accounts and records of holding companies. (a)...

  5. 18 CFR 366.21 - Accounts and records of holding companies.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... in 17 CFR part 257. (c) Nothing in this section shall relieve any company subject thereto from..., FEDERAL POWER ACT AND NATURAL GAS ACT BOOKS AND RECORDS Accounting and Recordkeeping Under PUHCA 2005, the Federal Power Act and the Natural Gas Act § 366.21 Accounts and records of holding companies. (a)...

  6. 18 CFR 366.21 - Accounts and records of holding companies.

    Code of Federal Regulations, 2012 CFR

    2012-04-01

    ... in 17 CFR part 257. (c) Nothing in this section shall relieve any company subject thereto from..., FEDERAL POWER ACT AND NATURAL GAS ACT BOOKS AND RECORDS Accounting and Recordkeeping Under PUHCA 2005, the Federal Power Act and the Natural Gas Act § 366.21 Accounts and records of holding companies. (a)...

  7. 18 CFR 366.22 - Accounts and records of service companies.

    Code of Federal Regulations, 2014 CFR

    2014-04-01

    ... CFR part 257. (3) Nothing in this section shall relieve any service company subject thereto from...'s Uniform System of Accounts in 17 CFR part 256. (3) Nothing in this section shall relieve any..., FEDERAL POWER ACT AND NATURAL GAS ACT BOOKS AND RECORDS Accounting and Recordkeeping Under PUHCA 2005,...

  8. 18 CFR 366.22 - Accounts and records of service companies.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... CFR part 257. (3) Nothing in this section shall relieve any service company subject thereto from...'s Uniform System of Accounts in 17 CFR part 256. (3) Nothing in this section shall relieve any..., FEDERAL POWER ACT AND NATURAL GAS ACT BOOKS AND RECORDS Accounting and Recordkeeping Under PUHCA 2005,...

  9. 18 CFR 366.22 - Accounts and records of service companies.

    Code of Federal Regulations, 2012 CFR

    2012-04-01

    ... CFR part 257. (3) Nothing in this section shall relieve any service company subject thereto from...'s Uniform System of Accounts in 17 CFR part 256. (3) Nothing in this section shall relieve any..., FEDERAL POWER ACT AND NATURAL GAS ACT BOOKS AND RECORDS Accounting and Recordkeeping Under PUHCA 2005,...

  10. 18 CFR 366.22 - Accounts and records of service companies.

    Code of Federal Regulations, 2013 CFR

    2013-04-01

    ... CFR part 257. (3) Nothing in this section shall relieve any service company subject thereto from...'s Uniform System of Accounts in 17 CFR part 256. (3) Nothing in this section shall relieve any..., FEDERAL POWER ACT AND NATURAL GAS ACT BOOKS AND RECORDS Accounting and Recordkeeping Under PUHCA 2005,...

  11. 18 CFR 366.22 - Accounts and records of service companies.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... CFR part 257. (3) Nothing in this section shall relieve any service company subject thereto from...'s Uniform System of Accounts in 17 CFR part 256. (3) Nothing in this section shall relieve any..., FEDERAL POWER ACT AND NATURAL GAS ACT BOOKS AND RECORDS Accounting and Recordkeeping Under PUHCA 2005,...

  12. 13 CFR 107.115 - 1940 Act and 1980 Act Companies.

    Code of Federal Regulations, 2010 CFR

    2010-01-01

    .... 107.115 Section 107.115 Business Credit and Assistance SMALL BUSINESS ADMINISTRATION SMALL BUSINESS... Companies. A 1940 Act or 1980 Act Company is eligible to apply for an SBIC license, and an existing Licensee is eligible to apply for SBA's approval to convert to a 1940 Act or 1980 Act Company. In either...

  13. 17 CFR 270.0-10 - Small entities under the Investment Company Act for purposes of the Regulatory Flexibility Act.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... Investment Company Act for purposes of the Regulatory Flexibility Act. 270.0-10 Section 270.0-10 Commodity..., INVESTMENT COMPANY ACT OF 1940 § 270.0-10 Small entities under the Investment Company Act for purposes of the... defined for purposes of a particular rulemaking, the term small business or small organization...

  14. 78 FR 54294 - Investment Company Act Release No. 30679; File No. 812-14167

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-09-03

    ... COMMISSION Investment Company Act Release No. 30679; File No. 812-14167 Franklin Templeton International... (``Commission''). ACTION: Notice of an application under section 6(c) of the Investment Company Act of 1940..., Investment Company Act Release Nos. 30105 (Jun. 18, 2012) (notice) and 30138 (Jul. 17, 2012)...

  15. 78 FR 54931 - Notice of Applications for Deregistration Under the Investment Company Act of 1940

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-09-06

    ... company. On July 11, 2013, applicant made a liquidating distribution to its shareholders, based on net... COMMISSION Notice of Applications for Deregistration Under the Investment Company Act of 1940 August 30, 2013... Company Act of 1940 for the month of August 2013. A copy of each application may be obtained via...

  16. 38 CFR 14.634 - Banks or trust companies acting as guardians.

    Code of Federal Regulations, 2010 CFR

    2010-07-01

    ... 38 Pensions, Bonuses, and Veterans' Relief 1 2010-07-01 2010-07-01 false Banks or trust companies... Practice and Information Concerning Fees, 38 U.s.c. 5901-5905 § 14.634 Banks or trust companies acting as guardians. Banks or trust companies, corporate entities, acting as guardians for claimants, may...

  17. 12 CFR 225.104 - “Services” under section 4(c)(1) of Bank Holding Company Act.

    Code of Federal Regulations, 2010 CFR

    2010-01-01

    ... Holding Company Act. 225.104 Section 225.104 Banks and Banking FEDERAL RESERVE SYSTEM (CONTINUED) BOARD OF... Holding Company Act. (a) Section 4(c)(1) of the Bank Holding Company Act, among other things, exempts from the nonbanking divestment requirements of section 4(a) of the Act shares of a company engaged...

  18. The Export Trading Company Act of 1982 and the photovoltaics industry: An assessment

    NASA Technical Reports Server (NTRS)

    Enfield, S.; Laporta, C.

    1983-01-01

    The potential advantages of recent export promotion legislation for the U.S. photovoltaics industry were assessed. The provisions of the Export Trading Company Act of 1982 were reviewed and the export trade sector was surveyed to determine what impact the Act is haviang on export company activity. The photovoltaics industry was then studied to determine whether the Act offers particular advantages for promoting its product overseas.

  19. 12 CFR 225.113 - Services under section 4(a) of Bank Holding Company Act.

    Code of Federal Regulations, 2011 CFR

    2011-01-01

    ... 12 Banks and Banking 3 2011-01-01 2011-01-01 false Services under section 4(a) of Bank Holding Company Act. 225.113 Section 225.113 Banks and Banking FEDERAL RESERVE SYSTEM (CONTINUED) BOARD OF GOVERNORS OF THE FEDERAL RESERVE SYSTEM BANK HOLDING COMPANIES AND CHANGE IN BANK CONTROL (REGULATION Y) Regulations Financial Holding...

  20. 12 CFR 225.113 - Services under section 4(a) of Bank Holding Company Act.

    Code of Federal Regulations, 2013 CFR

    2013-01-01

    ... 12 Banks and Banking 3 2013-01-01 2013-01-01 false Services under section 4(a) of Bank Holding Company Act. 225.113 Section 225.113 Banks and Banking FEDERAL RESERVE SYSTEM (CONTINUED) BOARD OF... (REGULATION Y) Regulations Financial Holding Companies Interpretations § 225.113 Services under section...

  1. 12 CFR 225.113 - Services under section 4(a) of Bank Holding Company Act.

    Code of Federal Regulations, 2012 CFR

    2012-01-01

    ... 12 Banks and Banking 3 2012-01-01 2012-01-01 false Services under section 4(a) of Bank Holding Company Act. 225.113 Section 225.113 Banks and Banking FEDERAL RESERVE SYSTEM (CONTINUED) BOARD OF GOVERNORS OF THE FEDERAL RESERVE SYSTEM BANK HOLDING COMPANIES AND CHANGE IN BANK CONTROL (REGULATION...

  2. 12 CFR 225.113 - Services under section 4(a) of Bank Holding Company Act.

    Code of Federal Regulations, 2010 CFR

    2010-01-01

    ... 12 Banks and Banking 3 2010-01-01 2010-01-01 false Services under section 4(a) of Bank Holding Company Act. 225.113 Section 225.113 Banks and Banking FEDERAL RESERVE SYSTEM (CONTINUED) BOARD OF GOVERNORS OF THE FEDERAL RESERVE SYSTEM BANK HOLDING COMPANIES AND CHANGE IN BANK CONTROL (REGULATION...

  3. The National Insurance Acts 1911-1947, the approved societies and the Prudential Assurance Company.

    PubMed

    Heller, Michael

    2008-01-01

    The role of the British major life assurance companies in administering the National Insurance Acts in the guise of approved societies has long been controversial. The companies have been accused of profiteering rather than civic duty or social altruism. This article, using the Prudential Assurance Company as a case study, questions this argument. Life assurance companies such as the Prudential were fundamental to the operational running of national health insurance in the first half of the twentieth century due to their scale, scope and expertise. In addition, they were keen to extend the scope of national health insurance and campaigned to make the acts more comprehensive. Finally, while the companies certainly did see benefits in administering the acts, these were related more to corporate identity, branding and public relations than to direct pecuniary gain. An analysis of the inclusion of the life insurance companies in the administration of the National Health Insurance Acts is thus as important for an understanding of twentieth-century Britain as it is for the development of modern social welfare. PMID:19069079

  4. 76 FR 12896 - References to Credit Ratings in Certain Investment Company Act Rules and Forms

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-03-09

    ...This is one of several releases that the Securities and Exchange Commission (``Commission'') will be considering relating to the use of credit ratings in our rules and forms. In this release, we are proposing a new rule as well as rule and form amendments under the Securities Act of 1933 and the Investment Company Act of 1940 to implement provisions of the Dodd-Frank Wall Street Reform and......

  5. 17 CFR 259.101 - Form U-1, application or declaration under the Public Utility Holding Company Act of 1935.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... prescribed. Editorial Note: For Federal Register citations affecting Form U-1, see the List of CFR Sections... declaration under the Public Utility Holding Company Act of 1935. 259.101 Section 259.101 Commodity and... HOLDING COMPANY ACT OF 1935 Forms for Applications and Declarations § 259.101 Form U-1, application...

  6. 12 CFR 225.109 - “Services” under section 4(c)(1) of Bank Holding Company Act.

    Code of Federal Regulations, 2011 CFR

    2011-01-01

    ... 12 Banks and Banking 3 2011-01-01 2011-01-01 false âServicesâ under section 4(c)(1) of Bank Holding Company Act. 225.109 Section 225.109 Banks and Banking FEDERAL RESERVE SYSTEM (CONTINUED) BOARD OF GOVERNORS OF THE FEDERAL RESERVE SYSTEM BANK HOLDING COMPANIES AND CHANGE IN BANK CONTROL (REGULATION Y) Regulations Financial Holding...

  7. 12 CFR 225.115 - Applicability of Bank Service Corporation Act in certain bank holding company situations.

    Code of Federal Regulations, 2013 CFR

    2013-01-01

    ... 12 Banks and Banking 3 2013-01-01 2013-01-01 false Applicability of Bank Service Corporation Act in certain bank holding company situations. 225.115 Section 225.115 Banks and Banking FEDERAL RESERVE... AND CHANGE IN BANK CONTROL (REGULATION Y) Regulations Financial Holding Companies...

  8. 12 CFR 225.109 - “Services” under section 4(c)(1) of Bank Holding Company Act.

    Code of Federal Regulations, 2013 CFR

    2013-01-01

    ... 12 Banks and Banking 3 2013-01-01 2013-01-01 false âServicesâ under section 4(c)(1) of Bank Holding Company Act. 225.109 Section 225.109 Banks and Banking FEDERAL RESERVE SYSTEM (CONTINUED) BOARD OF... (REGULATION Y) Regulations Financial Holding Companies Interpretations § 225.109 “Services” under section...

  9. 12 CFR 225.109 - “Services” under section 4(c)(1) of Bank Holding Company Act.

    Code of Federal Regulations, 2012 CFR

    2012-01-01

    ... 12 Banks and Banking 3 2012-01-01 2012-01-01 false âServicesâ under section 4(c)(1) of Bank Holding Company Act. 225.109 Section 225.109 Banks and Banking FEDERAL RESERVE SYSTEM (CONTINUED) BOARD OF GOVERNORS OF THE FEDERAL RESERVE SYSTEM BANK HOLDING COMPANIES AND CHANGE IN BANK CONTROL (REGULATION...

  10. 12 CFR 225.109 - “Services” under section 4(c)(1) of Bank Holding Company Act.

    Code of Federal Regulations, 2010 CFR

    2010-01-01

    ... 12 Banks and Banking 3 2010-01-01 2010-01-01 false âServicesâ under section 4(c)(1) of Bank Holding Company Act. 225.109 Section 225.109 Banks and Banking FEDERAL RESERVE SYSTEM (CONTINUED) BOARD OF GOVERNORS OF THE FEDERAL RESERVE SYSTEM BANK HOLDING COMPANIES AND CHANGE IN BANK CONTROL (REGULATION Y) Regulations Financial Holding...

  11. 12 CFR 225.139 - Presumption of continued control under section 2(g)(3) of the Bank Holding Company Act.

    Code of Federal Regulations, 2011 CFR

    2011-01-01

    ... 12 Banks and Banking 3 2011-01-01 2011-01-01 false Presumption of continued control under section 2(g)(3) of the Bank Holding Company Act. 225.139 Section 225.139 Banks and Banking FEDERAL RESERVE SYSTEM (CONTINUED) BOARD OF GOVERNORS OF THE FEDERAL RESERVE SYSTEM BANK HOLDING COMPANIES AND CHANGE IN BANK CONTROL (REGULATION Y)...

  12. 17 CFR 239.24 - Form N-5, form for registration of small business investment company under the Securities Act of...

    Code of Federal Regulations, 2013 CFR

    2013-04-01

    ... Register citations affecting Form N-5, see the List of CFR Sections Affected, which appears in the Finding... registration of small business investment company under the Securities Act of 1933 and the Investment Company... N-5, form for registration of small business investment company under the Securities Act of 1933...

  13. 17 CFR 239.24 - Form N-5, form for registration of small business investment company under the Securities Act of...

    Code of Federal Regulations, 2014 CFR

    2014-04-01

    ... Register citations affecting Form N-5, see the List of CFR Sections Affected, which appears in the Finding... registration of small business investment company under the Securities Act of 1933 and the Investment Company... N-5, form for registration of small business investment company under the Securities Act of 1933...

  14. 17 CFR 239.24 - Form N-5, form for registration of small business investment company under the Securities Act of...

    Code of Federal Regulations, 2012 CFR

    2012-04-01

    ... Register citations affecting Form N-5, see the List of CFR Sections Affected, which appears in the Finding... registration of small business investment company under the Securities Act of 1933 and the Investment Company... N-5, form for registration of small business investment company under the Securities Act of 1933...

  15. 17 CFR 239.24 - Form N-5, form for registration of small business investment company under the Securities Act of...

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... Register citations Form N-5, see the List of CFR Sections Affected, which appears in the Finding Aids... registration of small business investment company under the Securities Act of 1933 and the Investment Company... N-5, form for registration of small business investment company under the Securities Act of 1933...

  16. 17 CFR 239.24 - Form N-5, form for registration of small business investment company under the Securities Act of...

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... Register citations Form N-5, see the List of CFR Sections Affected, which appears in the Finding Aids... registration of small business investment company under the Securities Act of 1933 and the Investment Company... N-5, form for registration of small business investment company under the Securities Act of 1933...

  17. 17 CFR 250.14 - Exemption of acquisitions of securities of power supply companies from section 9(a)(2) of the Act.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... securities of power supply companies from section 9(a)(2) of the Act. 250.14 Section 250.14 Commodity and... of securities of power supply companies from section 9(a)(2) of the Act. (a) An electric utility... exempt from section 9(a)(2) of the Act with respect to the acquisition of any security of a power...

  18. 18 CFR 292.602 - Exemption to qualifying facilities from the Public Utility Holding Company Act and certain State...

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 18 Conservation of Power and Water Resources 1 2010-04-01 2010-04-01 false Exemption to qualifying facilities from the Public Utility Holding Company Act and certain State law and regulation. 292.602 Section 292.602 Conservation of Power and Water Resources FEDERAL ENERGY REGULATORY COMMISSION, DEPARTMENT OF ENERGY REGULATIONS UNDER THE...

  19. 78 FR 72131 - Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 1940

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-12-02

    ... COMMISSION Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 1940 November 22, 2013. The following is a notice of applications for deregistration under section 8(f) of the... Commission, 100 F Street NE., Washington, DC 20549-1090. FOR FURTHER INFORMATION CONTACT: Diane L. Titus...

  20. 77 FR 825 - Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 1940

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-01-06

    ... COMMISSION Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 1940 December 30, 2011. The following is a notice of applications for deregistration under section 8(f) of the... Commission, 100 F Street NE., Washington, DC 20549-1090. FOR FURTHER INFORMATION CONTACT: Diane L. Titus...

  1. 76 FR 12142 - Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 1940

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-03-04

    ... COMMISSION Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 1940 February 25, 2011. The following is a notice of applications for deregistration under section 8(f) of the... Commission, 100 F Street, NE., Washington, DC 20549-1090. FOR FURTHER INFORMATION CONTACT: Diane L. Titus...

  2. 75 FR 54197 - Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 1940

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-09-03

    ... COMMISSION Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 1940 August 27, 2010. The following is a notice of applications for deregistration under section 8(f) of the... Commission, 100 F Street, NE., Washington, DC 20549-1090. For Further Information Contact: Diane L. Titus...

  3. 78 FR 40779 - Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 1940

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-07-08

    ... COMMISSION Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 1940 June 28, 2013. The following is a notice of applications for deregistration under section 8(f) of the... Commission, 100 F Street NE., Washington, DC 20549-1090. FOR FURTHER INFORMATION CONTACT: Diane L. Titus...

  4. 78 FR 964 - Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 1940

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-01-07

    ... COMMISSION Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 1940 December 28, 2012. The following is a notice of applications for deregistration under section 8(f) of the... Commission, 100 F Street NE., Washington, DC 20549-1090. FOR FURTHER INFORMATION CONTACT: Diane L. Titus...

  5. 75 FR 68010 - Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 1940

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-11-04

    ... COMMISSION Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 1940 October 29, 2010. The following is a notice of applications for deregistration under section 8(f) of the... Commission, 100 F Street, NE., Washington, DC 20549-1090. FOR FURTHER INFORMATION CONTACT: Diane L. Titus...

  6. 75 FR 5812 - Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 1940

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-02-04

    ... COMMISSION Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 1940 January 29, 2010. The following is a notice of applications for deregistration under section 8(f) of the... Commission, 100 F Street, NE., Washington, DC 20549-1090. FOR FURTHER INFORMATION CONTACT: Diane L. Titus...

  7. 76 FR 54823 - Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 1940

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-09-02

    ... COMMISSION Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 1940 August 26, 2011. The following is a notice of applications for deregistration under section 8(f) of the... Commission, 100 F Street, NE., Washington, DC 20549-1090. FOR FURTHER INFORMATION CONTACT: Diane L. Titus...

  8. 77 FR 20853 - Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 1940

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-04-06

    ... COMMISSION Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 1940 March 30, 2012. The following is a notice of applications for deregistration under section 8(f) of the... Commission, 100 F Street, NE., Washington, DC 20549-1090. FOR FURTHER INFORMATION CONTACT: Diane L. Titus...

  9. 75 FR 9959 - Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 1940

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-03-04

    ... COMMISSION Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 1940 February 26, 2010. The following is a notice of applications for deregistration under section 8(f) of the... Commission, 100 F Street, NE., Washington, DC 20549-1090. FOR FURTHER INFORMATION CONTACT: Diane L. Titus...

  10. 77 FR 73064 - Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 1940

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-12-07

    ... COMMISSION Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 1940 November 30, 2012. The following is a notice of applications for deregistration under section 8(f) of the... Commission, 100 F Street NE., Washington, DC 20549-1090. For Further Information Contact: Diane L. Titus...

  11. 76 FR 17971 - Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 1940

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-03-31

    ... COMMISSION Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 1940 March 25, 2011. The following is a notice of applications for deregistration under section 8(f) of the... Commission, 100 F Street, NE., Washington, DC 20549-1090. FOR FURTHER INFORMATION CONTACT: Diane L. Titus...

  12. 78 FR 65718 - Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 1940

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-11-01

    ... COMMISSION Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 1940 October 25, 2013. The following is a notice of applications for deregistration under section 8(f) of the... Commission, 100 F Street NE., Washington, DC 20549-1090. FOR FURTHER INFORMATION CONTACT: Diane L. Titus...

  13. 76 FR 32245 - Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 1940

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-06-03

    ... COMMISSION Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 1940 May 27, 2011. The following is a notice of applications for deregistration under section 8(f) of the... F Street, NE., Washington, DC 20549-1090. For Further Information Contact: Diane L. Titus at...

  14. 77 FR 46529 - Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 1940

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-08-03

    ... COMMISSION Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 1940 July 27, 2012. The following is a notice of applications for deregistration under section 8(f) of the... Commission, 100 F Street NE., Washington, DC 20549-1090. FOR FURTHER INFORMATION CONTACT: Diane L. Titus...

  15. 78 FR 61407 - Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 1940

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-10-03

    ... COMMISSION Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 1940 September 27, 2013. The following is a notice of applications for deregistration under section 8(f) of the... Exchange Commission, 100 F Street NE., Washington, DC 20549-1090. For Further Information Contact: Diane...

  16. 75 FR 25002 - Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 1940

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-05-06

    ... COMMISSION Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 1940 April 30, 2010. The following is a notice of applications for deregistration under section 8(f) of the... Commission, 100 F Street, NE., Washington, DC 20549-1090. FOR FURTHER INFORMATION CONTACT: Diane L. Titus...

  17. 76 FR 38431 - Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 1940

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-06-30

    ... COMMISSION Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 1940 June 24, 2011. The following is a notice of applications for deregistration under section 8(f) of the... F Street, NE., Washington, DC 20549-1090. FOR FURTHER INFORMATION CONTACT: Diane L. Titus at...

  18. 75 FR 60832 - Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 1940

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-10-01

    ... COMMISSION Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 1940 September 24, 2010. The following is a notice of applications for deregistration under section 8(f) of the... Commission, 100 F Street, NE., Washington, DC 20549-1090. FOR FURTHER INFORMATION CONTACT: Diane L. Titus...

  19. 78 FR 47027 - Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 1940

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-08-02

    ... COMMISSION Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 1940 July 26, 2013. The following is a notice of applications for deregistration under section 8(f) of the... Commission, 100 F Street NE., Washington, DC 20549-1090. For Further Information Contact: Diane L. Titus...

  20. 77 FR 55234 - Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 1940

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-09-07

    ... COMMISSION Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 1940 August 31, 2012. The following is a notice of applications for deregistration under section 8(f) of the... Commission, 100 F Street NE., Washington, DC 20549-1090. FOR FURTHER INFORMATION CONTACT: Diane L. Titus...

  1. 76 FR 25726 - Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 1940

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-05-05

    ... COMMISSION Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 1940 April 29, 2011. The following is a notice of applications for deregistration under section 8(f) of the... Commission, 100 F Street, NE., Washington, DC 20549-1090. For Further Information Contact: Diane L. Titus...

  2. 76 FR 68520 - Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 1940

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-11-04

    ... COMMISSION Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 1940 October 28, 2011. The following is a notice of applications for deregistration under section 8(f) of the... Commission, 100 F Street NE., Washington, DC 20549-1090. For Further Information Contact: Diane L. Titus...

  3. 78 FR 79510 - Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 1940

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-12-30

    ... COMMISSION Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 1940 December 20, 2013. The following is a notice of applications for deregistration under section 8(f) of the... Commission, 100 F Street NE., Washington, DC 20549-1090. FOR FURTHER INFORMATION CONTACT: Diane L. Titus...

  4. 78 FR 34408 - Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 1940

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-06-07

    ... COMMISSION Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 1940 May 31, 2013. The following is a notice of applications for deregistration under section 8(f) of the... Commission, 100 F Street NE., Washington, DC 20549-1090. For Further Information Contact: Diane L. Titus...

  5. 78 FR 20700 - Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 1940

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-04-05

    ... COMMISSION Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 1940 March 29, 2013. The following is a notice of applications for deregistration under section 8(f) of the... Commission, 100 F Street NE., Washington, DC 20549-1090. FOR FURTHER INFORMATION CONTACT: Diane L. Titus...

  6. 78 FR 13916 - Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 1940

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-03-01

    ... COMMISSION Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 1940 February 22, 2013. The following is a notice of applications for deregistration under section 8(f) of the... Commission, 100 F Street NE., Washington, DC 20549-1090. FOR FURTHER INFORMATION CONTACT: Diane L. Titus...

  7. 77 FR 73065 - Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 1940

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-12-07

    ... COMMISSION Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 1940 December 4, 2012. The following is a notice of applications for deregistration under section 8(f) of the... by writing to the Secretary, U.S. Securities and Exchange Commission, 100 F Street NE.,...

  8. 12 CFR 225.134 - Escrow arrangements involving bank stock resulting in a violation of the Bank Holding Company Act.

    Code of Federal Regulations, 2011 CFR

    2011-01-01

    ... 12 Banks and Banking 3 2011-01-01 2011-01-01 false Escrow arrangements involving bank stock... Escrow arrangements involving bank stock resulting in a violation of the Bank Holding Company Act. (a) In... which shares of a bank were acquired and then placed in escrow by the applicant prior to the...

  9. 12 CFR 225.134 - Escrow arrangements involving bank stock resulting in a violation of the Bank Holding Company Act.

    Code of Federal Regulations, 2010 CFR

    2010-01-01

    ... 12 Banks and Banking 3 2010-01-01 2010-01-01 false Escrow arrangements involving bank stock... Escrow arrangements involving bank stock resulting in a violation of the Bank Holding Company Act. (a) In... which shares of a bank were acquired and then placed in escrow by the applicant prior to the...

  10. 76 FR 55308 - Treatment of Asset-Backed Issuers Under the Investment Company Act

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-09-07

    ... Commission recognized that many of the problems giving rise to the recent financial crisis involved... Protection Act, Securities Act Release No. 9175 (Jan. 20, 2011) [76 FR 4489 (Jan. 26, 2011)] (``Section 943.... 9244 (July 26, 2011) [76 FR 47948 (Aug. 5, 2011)] (``2011 ABS Re-proposal''). The Commission...

  11. 75 FR 36271 - Real Estate Settlement Procedures Act (RESPA): Home Warranty Companies' Payments to Real Estate...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-06-25

    ... of the Secretary. (See 74 FR 62801, at 62802.) A. Unlawful Compensation for Referrals RESPA does not... Brokers'' (64 FR 10080, March 1, 1999), HUD stated: Although RESPA is not a rate-making statute, HUD is... received by the person or company making the payment. (S. Rep. 93-866, at 6551.) 64 FR 10086. D....

  12. 75 FR 74620 - Real Estate Settlement Procedures Act (RESPA): Home Warranty Companies' Payments to Real Estate...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-12-01

    ... charge. (See 24 CFR 3500.14(b), (c), (g)(1), and (g)(3)). On June 25, 2010 (75 FR 36271), HUD issued an... services and not include compensation for referrals of business. 75 FR at 36273. HUD received 72 comments... URBAN DEVELOPMENT 24 CFR Part 3500 Real Estate Settlement Procedures Act (RESPA): Home...

  13. 12 CFR 225.137 - Acquisitions of shares pursuant to section 4(c)(6) of the Bank Holding Company Act.

    Code of Federal Regulations, 2012 CFR

    2012-01-01

    ... each holding company would be represented by a separate class of voting security, so that each stockholder would own 100 percent of its respective class. The participating companies would execute a formal... company if it owns or controls “25 per centum or more of any class of voting securities” of the...

  14. 12 CFR 225.137 - Acquisitions of shares pursuant to section 4(c)(6) of the Bank Holding Company Act.

    Code of Federal Regulations, 2014 CFR

    2014-01-01

    ... investment of each holding company would be represented by a separate class of voting security, so that each stockholder would own 100 percent of its respective class. The participating companies would execute a formal... company if it owns or controls “25 per centum or more of any class of voting securities” of the...

  15. 12 CFR 225.137 - Acquisitions of shares pursuant to section 4(c)(6) of the Bank Holding Company Act.

    Code of Federal Regulations, 2013 CFR

    2013-01-01

    ... investment of each holding company would be represented by a separate class of voting security, so that each stockholder would own 100 percent of its respective class. The participating companies would execute a formal... company if it owns or controls “25 per centum or more of any class of voting securities” of the...

  16. 75 FR 72848 - Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 1940

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-11-26

    ...Applicant, a closed-end investment company, seeks an order declaring that it has ceased to be an investment company. On October 19, 2009, applicant transferred its assets to Nuveen Insured Municipal Opportunity Fund, Inc., based on net asset value. Shareholders of applicant's municipal auction rate cumulative preferred shares (``preferred shares'') received one share of the acquiring fund's......

  17. 12 CFR 225.137 - Acquisitions of shares pursuant to section 4(c)(6) of the Bank Holding Company Act.

    Code of Federal Regulations, 2011 CFR

    2011-01-01

    ... group of holding companies, through concerted action, to engage in an activity as entrepreneurs. Section... that of an entrepreneur rather than that of an investor. (g) Accordingly, on the basis of the...

  18. 12 CFR 225.137 - Acquisitions of shares pursuant to section 4(c)(6) of the Bank Holding Company Act.

    Code of Federal Regulations, 2010 CFR

    2010-01-01

    ... group of holding companies, through concerted action, to engage in an activity as entrepreneurs. Section... that of an entrepreneur rather than that of an investor. (g) Accordingly, on the basis of the...

  19. 75 FR 38156 - Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 1940

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-07-01

    ...Each applicant, a closed-end investment company, seeks an order declaring that it has ceased to be an investment company. Applicants have never made a public offering of their securities and do not propose to make a public offering or engage in business of any kind. Filing Dates: The applications were filed on May 5, 2010, and amended on June 10, 2010. Applicants' Address: 2450 Colorado Ave.,......

  20. 77 FR 66194 - Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 1940

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-11-02

    ...Applicant seeks an order declaring that it has ceased to be an investment company. On June 29, 2012, applicant made a final liquidating distribution to its shareholders, based on net asset value. Expenses of $6,500 incurred in connection with the liquidation were paid by Acadia Mutual Fund Management, LLC, applicant's investment adviser. Filing Dates: The application was filed on August 23,......

  1. 76 FR 6163 - Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 1940

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-02-03

    ...Applicant seeks an order declaring that it has ceased to be an investment company. On December 7, 2009, applicant made a liquidating distribution to its shareholders, based on net asset value. Expenses of $31,000 incurred in connection with the liquidation were paid by UBS Global Asset Management (Americas) Inc., an affiliate of applicant's investment...

  2. 78 FR 47217 - Proposed Supervisory Guidance on Implementing Dodd-Frank Act Company-Run Stress Tests for Banking...

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-08-05

    ... ``covered bank'' under the FDIC Annual Stress Test Rule. 12 CFR 325.202. \\2\\ See 77 FR 61238 (October 9, 2012) (OCC final rule), 77 FR 62378 (October 12, 2012) (Board final rule), and 77 FR 62417 (October 15....\\4\\ \\3\\ In particular, companies should conduct tests in accordance with 77 FR 29458,...

  3. Acting Smart: An Investigation of Assumptions and Principles Which Underpin Training and Assessment Within One Civil Construction Company.

    ERIC Educational Resources Information Center

    Searle, Jean; Kelly, Ann

    This report focuses on an investigation of assumptions and principles underpinning training and assessment programs offered by a civil construction company in Australia. Section 1 is an introduction. To conceptualize the new workplace and consider the role of literacy and numeracy in it, Section 2 addresses changing work conditions, features of a…

  4. 77 FR 5584 - Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 1940

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-02-03

    ...Each applicant seeks an order declaring that it has ceased to be an investment company. On or about June 30, 1995, and July 1, 1995, respectively, each applicant transferred its assets to a series of First Union Funds, based on net asset value. Records are not available concerning the expenses incurred in connection with the reorganizations. Filing Date: The applications were filed on January......

  5. 12 CFR 225.104 - “Services” under section 4(c)(1) of Bank Holding Company Act.

    Code of Federal Regulations, 2013 CFR

    2013-01-01

    ... 12 Banks and Banking 3 2013-01-01 2013-01-01 false âServicesâ under section 4(c)(1) of Bank... (REGULATION Y) Regulations Financial Holding Companies Interpretations § 225.104 “Services” under section 4(c... payroll, life insurance and budget loan installment account. (2) In the second case, Corporation Y,...

  6. 12 CFR 225.104 - “Services” under section 4(c)(1) of Bank Holding Company Act.

    Code of Federal Regulations, 2011 CFR

    2011-01-01

    ... 12 Banks and Banking 3 2011-01-01 2011-01-01 false âServicesâ under section 4(c)(1) of Bank... GOVERNORS OF THE FEDERAL RESERVE SYSTEM BANK HOLDING COMPANIES AND CHANGE IN BANK CONTROL (REGULATION Y... and budget loan installment account. (2) In the second case, Corporation Y, a nonbanking subsidiary...

  7. 12 CFR 225.104 - “Services” under section 4(c)(1) of Bank Holding Company Act.

    Code of Federal Regulations, 2012 CFR

    2012-01-01

    ... GOVERNORS OF THE FEDERAL RESERVE SYSTEM BANK HOLDING COMPANIES AND CHANGE IN BANK CONTROL (REGULATION Y... and budget loan installment account. (2) In the second case, Corporation Y, a nonbanking subsidiary of... desired to convert their time sales paper into cash; but Corporation Y made no loans or purchases of...

  8. 12 CFR 225.139 - Presumption of continued control under section 2(g)(3) of the Bank Holding Company Act.

    Code of Federal Regulations, 2010 CFR

    2010-01-01

    ... Counsel the authority to issue such determinations, 12 CFR 265.2(b)(1). (b) The purpose of section 2(g)(3... allow the effectiveness of the divestiture to be assessed before the divesting company is permitted to... divests its banking interest under circumstances where the presumption of continued control arises,...

  9. 76 FR 62469 - Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 1940

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-10-07

    ... (202) 551-6810, SEC, Division of Investment Management, Office of Investment Company Regulation, 100 F... approximately $834,811 incurred in connection with the reorganization were paid by Cutwater Asset Management.... Expenses of $69,450 incurred in connection with the liquidation were paid by Columbia Management...

  10. 12 CFR 225.115 - Applicability of Bank Service Corporation Act in certain bank holding company situations.

    Code of Federal Regulations, 2010 CFR

    2010-01-01

    ... relating to banks that otherwise would prevent any such investment. From the legislative history of section... the provisions of section 2(a) of the Bank Service Corporation Act and its legislative history make...

  11. 75 FR 80865 - Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 1940

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-12-23

    ...Applicant seeks an order declaring that it has ceased to be an investment company. On February 18, 2010, applicant transferred its assets to The Jacob Wisdom Fund, a series of Jacob Funds Inc., based on net asset value. Expenses of approximately $81,630 incurred in connection with the reorganization were paid by Atlanta Investment Counsel, LLC and Jacob Asset Management of New York, LLC,......

  12. 18 CFR 292.602 - Exemption to qualifying facilities from the Public Utility Holding Company Act of 2005 and...

    Code of Federal Regulations, 2014 CFR

    2014-04-01

    ... produces electric energy solely by the use of biomass as a primary energy source. (b) Exemption from the....602 Section 292.602 Conservation of Power and Water Resources FEDERAL ENERGY REGULATORY COMMISSION, DEPARTMENT OF ENERGY REGULATIONS UNDER THE PUBLIC UTILITY REGULATORY POLICIES ACT OF 1978 REGULATIONS...

  13. 18 CFR 292.602 - Exemption to qualifying facilities from the Public Utility Holding Company Act of 2005 and...

    Code of Federal Regulations, 2013 CFR

    2013-04-01

    ... produces electric energy solely by the use of biomass as a primary energy source. (b) Exemption from the....602 Section 292.602 Conservation of Power and Water Resources FEDERAL ENERGY REGULATORY COMMISSION, DEPARTMENT OF ENERGY REGULATIONS UNDER THE PUBLIC UTILITY REGULATORY POLICIES ACT OF 1978 REGULATIONS...

  14. 18 CFR 292.602 - Exemption to qualifying facilities from the Public Utility Holding Company Act of 2005 and...

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... produces electric energy solely by the use of biomass as a primary energy source. (b) Exemption from the....602 Section 292.602 Conservation of Power and Water Resources FEDERAL ENERGY REGULATORY COMMISSION, DEPARTMENT OF ENERGY REGULATIONS UNDER THE PUBLIC UTILITY REGULATORY POLICIES ACT OF 1978 REGULATIONS...

  15. 18 CFR 292.602 - Exemption to qualifying facilities from the Public Utility Holding Company Act of 2005 and...

    Code of Federal Regulations, 2012 CFR

    2012-04-01

    ... produces electric energy solely by the use of biomass as a primary energy source. (b) Exemption from the....602 Section 292.602 Conservation of Power and Water Resources FEDERAL ENERGY REGULATORY COMMISSION, DEPARTMENT OF ENERGY REGULATIONS UNDER THE PUBLIC UTILITY REGULATORY POLICIES ACT OF 1978 REGULATIONS...

  16. 17 CFR 256.01-2 - Application to service companies doing business with nonassociate companies.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... companies doing business with nonassociate companies. 256.01-2 Section 256.01-2 Commodity and Securities... COMPANIES AND SUBSIDIARY SERVICE COMPANIES, PUBLIC UTILITY HOLDING COMPANY ACT OF 1935 General Instructions § 256.01-2 Application to service companies doing business with nonassociate companies. While...

  17. Business Development Company Modernization Act

    THOMAS, 113th Congress

    Rep. Mulvaney, Mick [R-SC-5

    2013-05-14

    10/23/2013 Hearings Held by the Subcommittee on Capital Markets and Government Sponsored Enterprises Prior to Referral. (All Actions) Tracker: This bill has the status IntroducedHere are the steps for Status of Legislation:

  18. 17 CFR 210.3-18 - Special provisions as to registered management investment companies and companies required to be...

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... EXCHANGE ACT OF 1934, PUBLIC UTILITY HOLDING COMPANY ACT OF 1935, INVESTMENT COMPANY ACT OF 1940, INVESTMENT ADVISERS ACT OF 1940, AND ENERGY POLICY AND CONSERVATION ACT OF 1975 General Instructions As to... registered management investment companies and companies required to be registered as management...

  19. 17 CFR 210.3-18 - Special provisions as to registered management investment companies and companies required to be...

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... EXCHANGE ACT OF 1934, PUBLIC UTILITY HOLDING COMPANY ACT OF 1935, INVESTMENT COMPANY ACT OF 1940, INVESTMENT ADVISERS ACT OF 1940, AND ENERGY POLICY AND CONSERVATION ACT OF 1975 General Instructions As to... registered management investment companies and companies required to be registered as management...

  20. Electric utility mergers more likely as competition spreads

    SciTech Connect

    Studness, C.M.

    1993-02-15

    Cincinnati Gas Electric and PSI Resources announced December 14 their agreement to merge through a stock swap. This is the first electric utility merger announced since the Energy Policy Act was passed by Congress in October. The new law clearly was an important factor in both motivating and timing the merger. The pressures that induced PSI and Cincinnati to enter into a merge agreement did not exist as little as five years ago. For almost 50 years, the Public Utility Holding Company Act (PUHCA) provided utilities with protection from potential competitors and corporate raiders by threatening to engulf the predator in its regulatory net. A utility's monopoly position was secure whether it was efficient or not. The incentive for utilities to merge and to do so soon has increased dramatically. This stems partly from the increase in competition generally, but mostly from the Energy Policy Act's amendments to PUHCA that provide for exempt wholesale generators (EWGs). EWGs are companies that engage exclusively in the generation of electric power for sale at wholesale, and they may be owned by other companies without either the EWG or owner becoming subject to PUHCA jurisdiction. Thus, any company through an EWG can build a power plant to sell power at wholesale anywhere in the country without being subject to PUHCA jurisdiction. This has created a real and identifiable competitive threat for every utility.

  1. 17 CFR 270.12d1-2 - Exemptions for investment companies relying on section 12(d)(1)(G) of the Act.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... by an investment company); and (3) Securities issued by a money market fund, when the acquisition is in reliance on § 270.12d1-1. (b) Definitions. For purposes of this section, money market fund has...

  2. 12 CFR 225.102 - Bank holding company indirectly owning nonbanking company through subsidiaries.

    Code of Federal Regulations, 2013 CFR

    2013-01-01

    ... 12 Banks and Banking 3 2013-01-01 2013-01-01 false Bank holding company indirectly owning... BANK CONTROL (REGULATION Y) Regulations Financial Holding Companies Interpretations § 225.102 Bank... Company Act of 1956. It is stated that Y Company is an investment company which is not a bank...

  3. 18 CFR 367.2 - Companies for which this system of accounts is prescribed.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... COMPANY ACT OF 2005, FEDERAL POWER ACT AND NATURAL GAS ACT UNIFORM SYSTEM OF ACCOUNTS FOR CENTRALIZED SERVICE COMPANIES SUBJECT TO THE PROVISIONS OF THE PUBLIC UTILITY HOLDING COMPANY ACT OF 2005, FEDERAL... service company operating, or organized specifically to operate, within a holding company system for...

  4. 17 CFR 210.6-03 - Special rules of general application to registered investment companies.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... ACT OF 1933, SECURITIES EXCHANGE ACT OF 1934, PUBLIC UTILITY HOLDING COMPANY ACT OF 1935, INVESTMENT COMPANY ACT OF 1940, INVESTMENT ADVISERS ACT OF 1940, AND ENERGY POLICY AND CONSERVATION ACT OF 1975... ratified in accordance with section 32 of the Investment Company Act of 1940. (c) Consolidated and...

  5. 17 CFR 250.12 - Exemption of certain public utility companies from the definition of subsidiary companies of...

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... utility companies from the definition of subsidiary companies of holding companies. 250.12 Section 250.12... REGULATIONS, PUBLIC UTILITY HOLDING COMPANY ACT OF 1935 Registration and General Exemptions § 250.12 Exemption of certain public utility companies from the definition of subsidiary companies of......

  6. College Companies and Commercial Activities.

    ERIC Educational Resources Information Center

    Further Education Unit, London (England).

    A feasibility study determined the number and scope of existing college companies set up by permission of the Commercial Activities in Further Education Act in Great Britain. A sample of six colleges was studied; managing directors of the six companies took part in semistructured interviews to explore some issues in greater depth. The advantages…

  7. 76 FR 23342 - Russell Investment Management Company, et al.;

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-04-26

    ... COMMISSION Russell Investment Management Company, et al.; Notice of Application April 20, 2011. AGENCY... section 6(c) of the Investment Company Act of 1940 (the ``Act'') for an exemption from sections 2(a)(32... companies as the series to acquire Shares. Applicants: Russell Investment Management Company...

  8. 12 CFR 225.102 - Bank holding company indirectly owning nonbanking company through subsidiaries.

    Code of Federal Regulations, 2012 CFR

    2012-01-01

    ... 12 Banks and Banking 3 2012-01-01 2012-01-01 false Bank holding company indirectly owning... CONTROL (REGULATION Y) Regulations Financial Holding Companies Interpretations § 225.102 Bank holding... Act of 1956. It is stated that Y Company is an investment company which is not a bank holding...

  9. 12 CFR 225.102 - Bank holding company indirectly owning nonbanking company through subsidiaries.

    Code of Federal Regulations, 2011 CFR

    2011-01-01

    ... 12 Banks and Banking 3 2011-01-01 2011-01-01 false Bank holding company indirectly owning... CONTROL (REGULATION Y) Regulations Financial Holding Companies Interpretations § 225.102 Bank holding... Act of 1956. It is stated that Y Company is an investment company which is not a bank holding...

  10. 78 FR 28831 - Mountaineer Gas Company v. Washington Gas Light Company; Notice of Complaint

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-05-16

    ... Energy Regulatory Commission Mountaineer Gas Company v. Washington Gas Light Company; Notice of Complaint... complaint against Washington Gas Light Company (WGL or Respondent), pursuant to the Natural Gas Act (NGA... the contacts of Washington Gas Light Company as listed on the Commission's list of Corporate...

  11. 78 FR 27218 - Mountaineer Gas Company v. Washington Gas Light Company: Notice of Complaint

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-05-09

    ... Energy Regulatory Commission Mountaineer Gas Company v. Washington Gas Light Company: Notice of Complaint... complaint against Washington Gas Light Company (WGL or Respondent), pursuant to the Natural Gas Act (NGA... the contacts of Washington Gas Light Company as listed on the Commission's list of Corporate...

  12. 18 CFR 367.24 - Construction and service contracts for other companies.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... organization and equipment. (4) The support services performed by the service company in connection with the... COMPANY ACT OF 2005, FEDERAL POWER ACT AND NATURAL GAS ACT UNIFORM SYSTEM OF ACCOUNTS FOR CENTRALIZED SERVICE COMPANIES SUBJECT TO THE PROVISIONS OF THE PUBLIC UTILITY HOLDING COMPANY ACT OF 2005,...

  13. 18 CFR 367.1460 - Account 146, Accounts receivable from associate companies.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... COMPANY ACT OF 2005, FEDERAL POWER ACT AND NATURAL GAS ACT UNIFORM SYSTEM OF ACCOUNTS FOR CENTRALIZED SERVICE COMPANIES SUBJECT TO THE PROVISIONS OF THE PUBLIC UTILITY HOLDING COMPANY ACT OF 2005, FEDERAL....1230). (b) On the balance sheet, accounts receivable from an associate company may be set off...

  14. 18 CFR 367.1450 - Account 145, Notes receivable from associate companies.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... COMPANY ACT OF 2005, FEDERAL POWER ACT AND NATURAL GAS ACT UNIFORM SYSTEM OF ACCOUNTS FOR CENTRALIZED SERVICE COMPANIES SUBJECT TO THE PROVISIONS OF THE PUBLIC UTILITY HOLDING COMPANY ACT OF 2005, FEDERAL....1230). (b) On the balance sheet, accounts receivable from an associate company may be set off...

  15. 18 CFR 367.14 - Transactions with associate companies.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... associate companies. 367.14 Section 367.14 Conservation of Power and Water Resources FEDERAL ENERGY REGULATORY COMMISSION, DEPARTMENT OF ENERGY REGULATIONS UNDER THE PUBLIC UTILITY HOLDING COMPANY ACT OF 2005, FEDERAL POWER ACT AND NATURAL GAS ACT UNIFORM SYSTEM OF ACCOUNTS FOR CENTRALIZED SERVICE COMPANIES...

  16. Lawmakers vie to let utilities onto the info highway

    SciTech Connect

    Burkhart, L.A.

    1994-03-15

    Capitol Hill is alive with talk of the information superhighway and the need to amend the antiquated Communications Act of 1936. Electric and gas utilities hope that whatever bill is passed will allow them to provide telecommunications services and take part in the communication revolution. After all, the Clinton Administration's white paper on the issue advocates following a policy that would allow energy utilities to provide telephone services. Rep. Boucher has become a chief advocate of allowing electric utilities to compete in the cable television and telephone industries. Under the Public Utility Holding Company Act (PUHCA), electric utility holding companies whose operations cross state lines are prohibited from offering telecommunications services. Boucher's measure would amend PUHCA by removing those restrictions.

  17. 17 CFR 256.223 - Advances from associate companies.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... companies. 256.223 Section 256.223 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) UNIFORM SYSTEM OF ACCOUNTS FOR MUTUAL SERVICE COMPANIES AND SUBSIDIARY SERVICE COMPANIES, PUBLIC UTILITY HOLDING COMPANY ACT OF 1935 6. Long-Term Debt § 256.223 Advances from associate companies....

  18. 17 CFR 256.311 - Other service company property.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 3 2010-04-01 2010-04-01 false Other service company property... (CONTINUED) UNIFORM SYSTEM OF ACCOUNTS FOR MUTUAL SERVICE COMPANIES AND SUBSIDIARY SERVICE COMPANIES, PUBLIC UTILITY HOLDING COMPANY ACT OF 1935 Service Company Property Accounts § 256.311 Other service...

  19. 17 CFR 210.6-03 - Special rules of general application to registered investment companies.

    Code of Federal Regulations, 2014 CFR

    2014-04-01

    ... application to registered investment companies. 210.6-03 Section 210.6-03 Commodity and Securities Exchanges... ACT OF 1933, SECURITIES EXCHANGE ACT OF 1934, INVESTMENT COMPANY ACT OF 1940, INVESTMENT ADVISERS ACT OF 1940, AND ENERGY POLICY AND CONSERVATION ACT OF 1975 Registered Investment Companies §...

  20. PUHCA's Repeal Appeal: Analogies to Banking and Telecom

    SciTech Connect

    Higgins, Mark D.

    2005-11-01

    There are many possible scenarios for the future of electric utility consolidation, but experiences in banking and telecommunications deregulation and consolidation suggest one as the most likely: larger players will continue to consolidate, smaller players will be acquired or focus on niche markets, and new, non-utility investors will enter utility markets, with varying degrees of success.

  1. 18 CFR 367.4584 - Account 458.4, Excess or deficiency on servicing non-associate utility companies.

    Code of Federal Regulations, 2012 CFR

    2012-04-01

    ... or deficiency on servicing non-associate utility companies. 367.4584 Section 367.4584 Conservation of... THE PUBLIC UTILITY HOLDING COMPANY ACT OF 2005, FEDERAL POWER ACT AND NATURAL GAS ACT UNIFORM SYSTEM... COMPANY ACT OF 2005, FEDERAL POWER ACT AND NATURAL GAS ACT Operating Revenue Chart of Accounts §...

  2. 18 CFR 367.1230 - Account 123, Investment in associate companies.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... ENERGY REGULATORY COMMISSION, DEPARTMENT OF ENERGY REGULATIONS UNDER THE PUBLIC UTILITY HOLDING COMPANY... COMPANIES SUBJECT TO THE PROVISIONS OF THE PUBLIC UTILITY HOLDING COMPANY ACT OF 2005, FEDERAL POWER ACT AND... not relate to a subsidiary company. (If the investment relates to a subsidiary company, it must...

  3. Liquidity Enhancement for Small Public Companies Act

    THOMAS, 112th Congress

    Rep. McHenry, Patrick T. [R-NC-10

    2012-07-13

    07/31/2012 Referred to the Subcommittee on Capital Markets and Government Sponsored Enterprises. (All Actions) Tracker: This bill has the status IntroducedHere are the steps for Status of Legislation:

  4. Ditch and Irrigation Company Tax Reform Act

    THOMAS, 112th Congress

    Sen. Udall, Mark [D-CO

    2012-11-29

    11/29/2012 Read twice and referred to the Committee on Finance. (text of measure as introduced: CR S7219-7220) (All Actions) Tracker: This bill has the status IntroducedHere are the steps for Status of Legislation:

  5. 76 FR 55300 - Companies Engaged in the Business of Acquiring Mortgages and Mortgage-Related Instruments

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-09-07

    ...The Securities and Exchange Commission (``Commission'') and its staff (``Commission staff'' or ``staff'') are reviewing interpretive issues under the Investment Company Act of 1940 (``Investment Company Act'' or ``Act'') relating to the status under the Act of companies that are engaged in the business of acquiring mortgages and mortgage-related instruments and that rely on the exclusion from......

  6. 17 CFR 256.457 - Services rendered to associate companies.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... companies. 256.457 Section 256.457 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) UNIFORM SYSTEM OF ACCOUNTS FOR MUTUAL SERVICE COMPANIES AND SUBSIDIARY SERVICE COMPANIES, PUBLIC UTILITY HOLDING COMPANY ACT OF 1935 Income and Expense Accounts § 256.457 Services rendered to...

  7. 17 CFR 256.146 - Accounts receivable from associate companies.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... associate companies. 256.146 Section 256.146 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) UNIFORM SYSTEM OF ACCOUNTS FOR MUTUAL SERVICE COMPANIES AND SUBSIDIARY SERVICE COMPANIES, PUBLIC UTILITY HOLDING COMPANY ACT OF 1935 3. Current and Accrued Assets § 256.146...

  8. 17 CFR 256.233 - Notes payable to associate companies.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... companies. 256.233 Section 256.233 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) UNIFORM SYSTEM OF ACCOUNTS FOR MUTUAL SERVICE COMPANIES AND SUBSIDIARY SERVICE COMPANIES, PUBLIC UTILITY HOLDING COMPANY ACT OF 1935 7. Current and Accrued Liabilities § 256.233 Notes payable...

  9. 17 CFR 256.458 - Services rendered to nonassociate companies.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... nonassociate companies. 256.458 Section 256.458 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) UNIFORM SYSTEM OF ACCOUNTS FOR MUTUAL SERVICE COMPANIES AND SUBSIDIARY SERVICE COMPANIES, PUBLIC UTILITY HOLDING COMPANY ACT OF 1935 Income and Expense Accounts § 256.458...

  10. 17 CFR 256.101 - Service company property.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 3 2010-04-01 2010-04-01 false Service company property. 256...) UNIFORM SYSTEM OF ACCOUNTS FOR MUTUAL SERVICE COMPANIES AND SUBSIDIARY SERVICE COMPANIES, PUBLIC UTILITY HOLDING COMPANY ACT OF 1935 Balance Sheet Accounts: Assets and Other Debit Accounts § 256.101...

  11. 17 CFR 256.234 - Accounts payable to associate companies.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... companies. 256.234 Section 256.234 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) UNIFORM SYSTEM OF ACCOUNTS FOR MUTUAL SERVICE COMPANIES AND SUBSIDIARY SERVICE COMPANIES, PUBLIC UTILITY HOLDING COMPANY ACT OF 1935 7. Current and Accrued Liabilities § 256.234 Accounts payable...

  12. Electric utilities and telecommunications

    SciTech Connect

    Moeller, J.W.

    1995-08-01

    Part I of this article will provide some background on the involvement of electric utilities in telecommunications. It will discuss the Power Radio Services, under which the FCC regulates radio communications of electric utilities, the pole attachment statute of the Communications Act, which authorized the FCC to regulate attachments of cable television cables to electric utility poles, and a recent Department of Energy (DOE) report on the need for a demonstration on the use of telecommunications for DSM. Part I will also discuss several recent developments relative to the Power Radio Services and the pole attachment statute. Part II will discuss electric utilities and telecommunications under PUHCA. It will outline the extensive and complex requirements of PUHCA that are applicable to public utility holding companies, as well as the specific requirements of PUHCA for the formation by public utility holding companies of subsidiaries to engage in telecommunications activities. It will also discuss the seven instances in the past decade in which the SEC has approved the formation by public utility holding companies of such subsidiaries. Part III of this article will discuss a principal obstacle to expanded electric utility involvement in telecommunications activities-a series of administrative and judicial decisions that illustrate the potential for dual regulation by the SEC and the FERC to result in confusion and inefficiencies. It will also discuss proposals in Congress to minimize this potential. Part IV will discuss House Bill 3636 and Senate Bill 1822 and their proposals to amend PUHCA to facilitate the formation or acquisition by public utility holding companies of non-utility subsidiaries to engage in telecommunications activities. It will also discuss their proposals to address the potential consequences of dual regulation by the SEC and the FERC of electric utilities involved in telecommunications.

  13. 17 CFR 270.3a-3 - Certain investment companies owned by companies which are not investment companies.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) RULES AND REGULATIONS, INVESTMENT COMPANY... 80a-3(a)(1)(C)), an issuer will be deemed not to be an investment company for purposes of the Act...' qualifying shares, and debt securities owned by the Small Business Administration) are directly or...

  14. 24 CFR 3500.16 - Title companies.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 24 Housing and Urban Development 5 2010-04-01 2010-04-01 false Title companies. 3500.16 Section 3500.16 Housing and Urban Development Regulations Relating to Housing and Urban Development (Continued... DEVELOPMENT REAL ESTATE SETTLEMENT PROCEDURES ACT § 3500.16 Title companies. No seller of property that...

  15. 12 CFR 1024.16 - Title companies.

    Code of Federal Regulations, 2014 CFR

    2014-01-01

    ... 12 Banks and Banking 8 2014-01-01 2014-01-01 false Title companies. 1024.16 Section 1024.16 Banks and Banking BUREAU OF CONSUMER FINANCIAL PROTECTION REAL ESTATE SETTLEMENT PROCEDURES ACT (REGULATION X) Mortgage Settlement and Escrow Accounts § 1024.16 Title companies. No seller of property...

  16. 12 CFR 1024.16 - Title companies.

    Code of Federal Regulations, 2013 CFR

    2013-01-01

    ... 12 Banks and Banking 8 2013-01-01 2013-01-01 false Title companies. 1024.16 Section 1024.16 Banks and Banking BUREAU OF CONSUMER FINANCIAL PROTECTION REAL ESTATE SETTLEMENT PROCEDURES ACT (REGULATION X) § 1024.16 Title companies. No seller of property that will be purchased with the assistance of...

  17. 12 CFR 1024.16 - Title companies.

    Code of Federal Regulations, 2012 CFR

    2012-01-01

    ... 12 Banks and Banking 8 2012-01-01 2012-01-01 false Title companies. 1024.16 Section 1024.16 Banks and Banking BUREAU OF CONSUMER FINANCIAL PROTECTION REAL ESTATE SETTLEMENT PROCEDURES ACT (REGULATION X) § 1024.16 Title companies. No seller of property that will be purchased with the assistance of...

  18. 18 CFR 367.4580 - Account 458, Services rendered to non-associate companies.

    Code of Federal Regulations, 2012 CFR

    2012-04-01

    ... rendered to non-associate companies. 367.4580 Section 367.4580 Conservation of Power and Water Resources... COMPANY ACT OF 2005, FEDERAL POWER ACT AND NATURAL GAS ACT UNIFORM SYSTEM OF ACCOUNTS FOR CENTRALIZED... POWER ACT AND NATURAL GAS ACT Operating Revenue Chart of Accounts § 367.4580 Account 458,...

  19. 18 CFR 367.4580 - Account 458, Services rendered to non-associate companies.

    Code of Federal Regulations, 2013 CFR

    2013-04-01

    ... rendered to non-associate companies. 367.4580 Section 367.4580 Conservation of Power and Water Resources... COMPANY ACT OF 2005, FEDERAL POWER ACT AND NATURAL GAS ACT UNIFORM SYSTEM OF ACCOUNTS FOR CENTRALIZED... POWER ACT AND NATURAL GAS ACT Operating Revenue Chart of Accounts § 367.4580 Account 458,...

  20. 18 CFR 367.4580 - Account 458, Services rendered to non-associate companies.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... rendered to non-associate companies. 367.4580 Section 367.4580 Conservation of Power and Water Resources... COMPANY ACT OF 2005, FEDERAL POWER ACT AND NATURAL GAS ACT UNIFORM SYSTEM OF ACCOUNTS FOR CENTRALIZED... POWER ACT AND NATURAL GAS ACT Operating Revenue Chart of Accounts § 367.4580 Account 458,...

  1. 18 CFR 367.4580 - Account 458, Services rendered to non-associate companies.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... rendered to non-associate companies. 367.4580 Section 367.4580 Conservation of Power and Water Resources... COMPANY ACT OF 2005, FEDERAL POWER ACT AND NATURAL GAS ACT UNIFORM SYSTEM OF ACCOUNTS FOR CENTRALIZED... POWER ACT AND NATURAL GAS ACT Operating Revenue Chart of Accounts § 367.4580 Account 458,...

  2. 26 CFR 1.1247-1 - Election by foreign investment companies to distribute income currently.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... Investment Company Act of 1940. See section 8(a) of such Act (15 U.S.C. 80a-8(a)) and 17 CFR 274.10. A... company; (ii) The principal place of business of the company; (iii) The date and the country under whose... company exercised ordinary business care and prudence. For example, if in determining its taxable...

  3. 76 FR 6756 - Recommendations Regarding Modifications to the Concentration Limit on Large Financial Companies

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-02-08

    ...Section 622 of the Dodd-Frank Wall Street Reform and Consumer Protection Act (the ``Act'' or ``Dodd-Frank Act'') establishes a financial sector concentration limit that generally prohibits a financial company \\1\\ from merging or consolidating with, acquiring all or substantially all of the assets of, or otherwise acquiring control of, another company if the resulting company's consolidated......

  4. 12 CFR 250.400 - Service of open-end investment company.

    Code of Federal Regulations, 2010 CFR

    2010-01-01

    ... 12 Banks and Banking 3 2010-01-01 2010-01-01 false Service of open-end investment company. 250.400....400 Service of open-end investment company. An open-end investment company is defined in section 5(a)(1) of the Investment Company Act of 1940 as a company “which is offering for sale or has...

  5. 12 CFR 250.400 - Service of open-end investment company.

    Code of Federal Regulations, 2011 CFR

    2011-01-01

    ... 12 Banks and Banking 3 2011-01-01 2011-01-01 false Service of open-end investment company. 250.400....400 Service of open-end investment company. An open-end investment company is defined in section 5(a)(1) of the Investment Company Act of 1940 as a company “which is offering for sale or has...

  6. 17 CFR 270.35d-1 - Investment company names.

    Code of Federal Regulations, 2013 CFR

    2013-04-01

    ... 17 Commodity and Securities Exchanges 3 2013-04-01 2013-04-01 false Investment company names. 270... (CONTINUED) RULES AND REGULATIONS, INVESTMENT COMPANY ACT OF 1940 § 270.35d-1 Investment company names. (a... name of a Fund includes: (1) Names suggesting guarantee or approval by the United States government....

  7. 17 CFR 270.35d-1 - Investment company names.

    Code of Federal Regulations, 2014 CFR

    2014-04-01

    ... 17 Commodity and Securities Exchanges 4 2014-04-01 2014-04-01 false Investment company names. 270... (CONTINUED) RULES AND REGULATIONS, INVESTMENT COMPANY ACT OF 1940 § 270.35d-1 Investment company names. (a... name of a Fund includes: (1) Names suggesting guarantee or approval by the United States government....

  8. 77 FR 60972 - The Gas Company, LLC; Notice of Application

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-10-05

    ... Energy Regulatory Commission The Gas Company, LLC; Notice of Application Take notice that on August 9, 2012, The Gas Company, LLC (the Company), Topa Financial Center 18th Floor, 745 Fort Street, Honolulu... Gas Act (NGA) for authorization to operate facilities that fall within the definition of...

  9. 31 CFR 223.6 - Requirements applicable to surety companies.

    Code of Federal Regulations, 2011 CFR

    2011-07-01

    ... companies. 223.6 Section 223.6 Money and Finance: Treasury Regulations Relating to Money and Finance... BUSINESS WITH THE UNITED STATES § 223.6 Requirements applicable to surety companies. Every company now or hereafter authorized to do business under the act of Congress referred to in § 223.1 shall be subject to...

  10. 17 CFR 270.3a-2 - Transient investment companies.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 3 2010-04-01 2010-04-01 false Transient investment companies... (CONTINUED) RULES AND REGULATIONS, INVESTMENT COMPANY ACT OF 1940 § 270.3a-2 Transient investment companies... which an issuer owns or proposes to acquire investment securities (as defined in section 3(a) of the...

  11. 17 CFR 270.35d-1 - Investment company names.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... 17 Commodity and Securities Exchanges 3 2011-04-01 2011-04-01 false Investment company names. 270... (CONTINUED) RULES AND REGULATIONS, INVESTMENT COMPANY ACT OF 1940 § 270.35d-1 Investment company names. (a... words “United States” or “U.S. government.” (2) Names suggesting investment in certain investments...

  12. 17 CFR 256.123 - Investment in associate companies.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 3 2010-04-01 2010-04-01 false Investment in associate companies. 256.123 Section 256.123 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION... UTILITY HOLDING COMPANY ACT OF 1935 2. Investments § 256.123 Investment in associate companies....

  13. 17 CFR 256.123 - Investment in associate companies.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... 17 Commodity and Securities Exchanges 3 2011-04-01 2011-04-01 false Investment in associate companies. 256.123 Section 256.123 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION... UTILITY HOLDING COMPANY ACT OF 1935 2. Investments § 256.123 Investment in associate companies....

  14. 17 CFR 270.3a-2 - Transient investment companies.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... 17 Commodity and Securities Exchanges 3 2011-04-01 2011-04-01 false Transient investment companies... (CONTINUED) RULES AND REGULATIONS, INVESTMENT COMPANY ACT OF 1940 § 270.3a-2 Transient investment companies... which an issuer owns or proposes to acquire investment securities (as defined in section 3(a) of the...

  15. 17 CFR 270.35d-1 - Investment company names.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... 17 Commodity and Securities Exchanges 3 2010-04-01 2010-04-01 false Investment company names. 270... (CONTINUED) RULES AND REGULATIONS, INVESTMENT COMPANY ACT OF 1940 § 270.35d-1 Investment company names. (a... words “United States” or “U.S. government.” (2) Names suggesting investment in certain investments...

  16. 17 CFR 270.35d-1 - Investment company names.

    Code of Federal Regulations, 2012 CFR

    2012-04-01

    ... 17 Commodity and Securities Exchanges 3 2012-04-01 2012-04-01 false Investment company names. 270... (CONTINUED) RULES AND REGULATIONS, INVESTMENT COMPANY ACT OF 1940 § 270.35d-1 Investment company names. (a... words “United States” or “U.S. government.” (2) Names suggesting investment in certain investments...

  17. 17 CFR 270.3a-2 - Transient investment companies.

    Code of Federal Regulations, 2012 CFR

    2012-04-01

    ... 17 Commodity and Securities Exchanges 3 2012-04-01 2012-04-01 false Transient investment companies... (CONTINUED) RULES AND REGULATIONS, INVESTMENT COMPANY ACT OF 1940 § 270.3a-2 Transient investment companies... which an issuer owns or proposes to acquire investment securities (as defined in section 3(a) of the...

  18. 18 CFR 2.57 - Temporary certificates-pipeline companies.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ...-pipeline companies. 2.57 Section 2.57 Conservation of Power and Water Resources FEDERAL ENERGY REGULATORY... Policy and Interpretations Under the Natural Gas Act § 2.57 Temporary certificates—pipeline companies... the proposed construction is of major proportions. Pipeline companies are accordingly urged to...

  19. 12 CFR 225.82 - How does a bank holding company elect to become a financial holding company?

    Code of Federal Regulations, 2012 CFR

    2012-01-01

    ... 12 Banks and Banking 3 2012-01-01 2012-01-01 false How does a bank holding company elect to become... CONTROL (REGULATION Y) Regulations Financial Holding Companies § 225.82 How does a bank holding company... relevant capital measures, as defined in section 38 of the Federal Deposit Insurance Act (12 U.S.C....

  20. 12 CFR 225.82 - How does a bank holding company elect to become a financial holding company?

    Code of Federal Regulations, 2013 CFR

    2013-01-01

    ... 12 Banks and Banking 3 2013-01-01 2013-01-01 false How does a bank holding company elect to become... BANK CONTROL (REGULATION Y) Regulations Financial Holding Companies § 225.82 How does a bank holding... Deposit Insurance Act (12 U.S.C. 1831o), for each depository institution controlled by the company on...

  1. 12 CFR 225.82 - How does a bank holding company elect to become a financial holding company?

    Code of Federal Regulations, 2011 CFR

    2011-01-01

    ... 12 Banks and Banking 3 2011-01-01 2011-01-01 false How does a bank holding company elect to become... CONTROL (REGULATION Y) Regulations Financial Holding Companies § 225.82 How does a bank holding company... relevant capital measures, as defined in section 38 of the Federal Deposit Insurance Act (12 U.S.C....

  2. 18 CFR 367.23 - Transactions with non-associate companies.

    Code of Federal Regulations, 2012 CFR

    2012-04-01

    ... 18 Conservation of Power and Water Resources 1 2012-04-01 2012-04-01 false Transactions with non..., FEDERAL POWER ACT AND NATURAL GAS ACT UNIFORM SYSTEM OF ACCOUNTS FOR CENTRALIZED SERVICE COMPANIES SUBJECT TO THE PROVISIONS OF THE PUBLIC UTILITY HOLDING COMPANY ACT OF 2005, FEDERAL POWER ACT AND...

  3. 12 CFR 250.400 - Service of open-end investment company.

    Code of Federal Regulations, 2012 CFR

    2012-01-01

    ... 12 Banks and Banking 4 2012-01-01 2012-01-01 false Service of open-end investment company. 250.400...-Steagall Act § 250.400 Service of open-end investment company. An open-end investment company is defined in section 5(a)(1) of the Investment Company Act of 1940 as a company “which is offering for sale or...

  4. 12 CFR 250.400 - Service of open-end investment company.

    Code of Federal Regulations, 2014 CFR

    2014-01-01

    ... 12 Banks and Banking 4 2014-01-01 2014-01-01 false Service of open-end investment company. 250.400...-Steagall Act § 250.400 Service of open-end investment company. An open-end investment company is defined in section 5(a)(1) of the Investment Company Act of 1940 as a company “which is offering for sale or...

  5. 12 CFR 250.400 - Service of open-end investment company.

    Code of Federal Regulations, 2013 CFR

    2013-01-01

    ... 12 Banks and Banking 4 2013-01-01 2013-01-01 false Service of open-end investment company. 250.400...-Steagall Act § 250.400 Service of open-end investment company. An open-end investment company is defined in section 5(a)(1) of the Investment Company Act of 1940 as a company “which is offering for sale or...

  6. 17 CFR 270.18c-2 - Exemptions of certain debentures issued by small business investment companies.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... than the Small Business Administration by any small business investment company licensed under the... Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) RULES AND REGULATIONS, INVESTMENT COMPANY... business investment company licensed under the Small Business Investment Act of 1958 shall not...

  7. 17 CFR 239.15 - Form N-1 for open-end management investment companies registered on Form N-8A.

    Code of Federal Regulations, 2012 CFR

    2012-04-01

    ... affecting Form N-1, see the List of CFR Sections Affected, which appears in the Finding Aids section of the... section 2(a)(37) of the Investment Company Act of 1940 registered under the Investment Company Act of 1940... of such companies pursuant to section 8(b) of the Investment Company Act of 1940 (§ 274.11 of...

  8. 17 CFR 239.15 - Form N-1 for open-end management investment companies registered on Form N-8A.

    Code of Federal Regulations, 2013 CFR

    2013-04-01

    ... affecting Form N-1, see the List of CFR Sections Affected, which appears in the Finding Aids section of the... section 2(a)(37) of the Investment Company Act of 1940 registered under the Investment Company Act of 1940... of such companies pursuant to section 8(b) of the Investment Company Act of 1940 (§ 274.11 of...

  9. 17 CFR 239.15 - Form N-1 for open-end management investment companies registered on Form N-8A.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... affecting Form N-1, see the List of CFR Sections Affected, which appears in the Finding Aids section of the... section 2(a)(37) of the Investment Company Act of 1940 registered under the Investment Company Act of 1940... of such companies pursuant to section 8(b) of the Investment Company Act of 1940 (§ 274.11 of...

  10. 17 CFR 239.15 - Form N-1 for open-end management investment companies registered on Form N-8A.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... affecting Form N-1, see the List of CFR Sections Affected, which appears in the Finding Aids section of the... section 2(a)(37) of the Investment Company Act of 1940 registered under the Investment Company Act of 1940... of such companies pursuant to section 8(b) of the Investment Company Act of 1940 (§ 274.11 of...

  11. 17 CFR 239.15 - Form N-1 for open-end management investment companies registered on Form N-8A.

    Code of Federal Regulations, 2014 CFR

    2014-04-01

    ... affecting Form N-1, see the List of CFR Sections Affected, which appears in the Finding Aids section of the... section 2(a)(37) of the Investment Company Act of 1940 registered under the Investment Company Act of 1940... of such companies pursuant to section 8(b) of the Investment Company Act of 1940 (§ 274.11 of...

  12. 17 CFR 239.14 - Form N-2 for closed end management investment companies registered on Form N-8A.

    Code of Federal Regulations, 2013 CFR

    2013-04-01

    ... of CFR Sections Affected, which appears in the Finding Aids section of the printed volume and at www... closed end management investment companies registered under the Investment Company Act of 1940 on form N... companies pursuant to section 8(b) of the Investment Company Act of 1940 (§ 274.11a-1 of this chapter)....

  13. 17 CFR 239.14 - Form N-2 for closed end management investment companies registered on Form N-8A.

    Code of Federal Regulations, 2014 CFR

    2014-04-01

    ... of CFR Sections Affected, which appears in the Finding Aids section of the printed volume and at www... closed end management investment companies registered under the Investment Company Act of 1940 on form N... companies pursuant to section 8(b) of the Investment Company Act of 1940 (§ 274.11a-1 of this chapter)....

  14. 17 CFR 239.14 - Form N-2 for closed end management investment companies registered on Form N-8A.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... of CFR Sections Affected, which appears in the Finding Aids section of the printed volume and on GPO... closed end management investment companies registered under the Investment Company Act of 1940 on form N... companies pursuant to section 8(b) of the Investment Company Act of 1940 (§ 274.11a-1 of this chapter)....

  15. 17 CFR 239.14 - Form N-2 for closed end management investment companies registered on Form N-8A.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... of CFR Sections Affected, which appears in the Finding Aids section of the printed volume and at www... closed end management investment companies registered under the Investment Company Act of 1940 on form N... companies pursuant to section 8(b) of the Investment Company Act of 1940 (§ 274.11a-1 of this chapter)....

  16. 17 CFR 239.14 - Form N-2 for closed end management investment companies registered on Form N-8A.

    Code of Federal Regulations, 2012 CFR

    2012-04-01

    ... of CFR Sections Affected, which appears in the Finding Aids section of the printed volume and at www... closed end management investment companies registered under the Investment Company Act of 1940 on form N... companies pursuant to section 8(b) of the Investment Company Act of 1940 (§ 274.11a-1 of this chapter)....

  17. 17 CFR 230.489 - Filing of form by foreign banks and insurance companies and certain of their holding companies...

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... (17 CFR 270.3a-6) under the Investment Company Act of 1940 (the “1940 Act”); (2) A foreign issuer that... investment company by rule 3a-1 (17 CFR 270.3a-1) under the 1940 Act because some or all of its majority... apply to: (1) A foreign issuer that has filed Form F-X (17 CFR 239.42) under the Securities Act of...

  18. 17 CFR 230.489 - Filing of form by foreign banks and insurance companies and certain of their holding companies...

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... (17 CFR 270.3a-6) under the Investment Company Act of 1940 (the “1940 Act”); (2) A foreign issuer that... investment company by rule 3a-1 (17 CFR 270.3a-1) under the 1940 Act because some or all of its majority... apply to: (1) A foreign issuer that has filed Form F-X (17 CFR 239.42) under the Securities Act of...

  19. 17 CFR 230.489 - Filing of form by foreign banks and insurance companies and certain of their holding companies...

    Code of Federal Regulations, 2012 CFR

    2012-04-01

    ... (17 CFR 270.3a-6) under the Investment Company Act of 1940 (the “1940 Act”); (2) A foreign issuer that... investment company by rule 3a-1 (17 CFR 270.3a-1) under the 1940 Act because some or all of its majority... apply to: (1) A foreign issuer that has filed Form F-X (17 CFR 239.42) under the Securities Act of...

  20. 17 CFR 230.489 - Filing of form by foreign banks and insurance companies and certain of their holding companies...

    Code of Federal Regulations, 2014 CFR

    2014-04-01

    ... (17 CFR 270.3a-6) under the Investment Company Act of 1940 (the “1940 Act”); (2) A foreign issuer that... investment company by rule 3a-1 (17 CFR 270.3a-1) under the 1940 Act because some or all of its majority... apply to: (1) A foreign issuer that has filed Form F-X (17 CFR 239.42) under the Securities Act of...

  1. 17 CFR 230.489 - Filing of form by foreign banks and insurance companies and certain of their holding companies...

    Code of Federal Regulations, 2013 CFR

    2013-04-01

    ... (17 CFR 270.3a-6) under the Investment Company Act of 1940 (the “1940 Act”); (2) A foreign issuer that... investment company by rule 3a-1 (17 CFR 270.3a-1) under the 1940 Act because some or all of its majority... apply to: (1) A foreign issuer that has filed Form F-X (17 CFR 239.42) under the Securities Act of...

  2. 78 FR 24249 - Lincoln National Life Insurance Company, et al; Notice of Application

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-04-24

    ... Account; or (ii) in the judgment of the Insurance Company's management, further investment in such... COMMISSION Lincoln National Life Insurance Company, et al; Notice of Application April 18, 2013 AGENCY... the Act from Section 17(a) of the Act. APPLICANTS: Lincoln National Life Insurance Company...

  3. 76 FR 35249 - Allianz Life Insurance Company of North America, et al; Notice of Application

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-06-16

    ... COMMISSION Allianz Life Insurance Company of North America, et al; Notice of Application June 10, 2011... Section 17(b) of the Act from Section 17(a) of the Act. Applicants: Allianz Life Insurance Company of North America (``Allianz Life'') and Allianz Life Insurance Company of New York (``Allianz...

  4. 78 FR 8601 - AXA Equitable Life Insurance Company, et al; Notice of Application

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-02-06

    ... COMMISSION AXA Equitable Life Insurance Company, et al; Notice of Application January 31, 2013. AGENCY... the Act from Section 17(a) of the Act. Applicants: AXA Equitable Life Insurance Company (``AXA... Equitable Life Insurance Company, 1290 Avenue of Americas, New York, New York 10104; Patricia Louie,...

  5. 76 FR 72206 - Formations of, Acquisitions by, and Mergers of Bank Holding Companies

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-11-22

    ... From the Federal Register Online via the Government Publishing Office FEDERAL RESERVE SYSTEM Formations of, Acquisitions by, and Mergers of Bank Holding Companies The companies listed in this notice have applied to the Board for approval, pursuant to the Bank Holding Company Act of 1956 (12 U.S.C. 1841 et seq.) (BHC Act), Regulation Y (12...

  6. 76 FR 52954 - Formations of, Acquisitions by, and Mergers of Bank Holding Companies

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-08-24

    ... From the Federal Register Online via the Government Publishing Office FEDERAL RESERVE SYSTEM Formations of, Acquisitions by, and Mergers of Bank Holding Companies The companies listed in this notice have applied to the Board for approval, pursuant to the Bank Holding Company Act of 1956 (12 U.S.C. 1841 et seq.) (BHC Act), Regulation Y (12...

  7. 78 FR 42074 - Formations of, Acquisitions by, and Mergers of Bank Holding Companies

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-07-15

    ... From the Federal Register Online via the Government Publishing Office FEDERAL RESERVE SYSTEM Formations of, Acquisitions by, and Mergers of Bank Holding Companies The companies listed in this notice have applied to the Board for approval, pursuant to the Bank Holding Company Act of 1956 (12 U.S.C. 1841 et seq.) (BHC Act), Regulation Y (12...

  8. 77 FR 57088 - Formations of, Acquisitions by, and Mergers of Bank Holding Companies

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-09-17

    ... From the Federal Register Online via the Government Publishing Office FEDERAL RESERVE SYSTEM Formations of, Acquisitions by, and Mergers of Bank Holding Companies The companies listed in this notice have applied to the Board for approval, pursuant to the Bank Holding Company Act of 1956 (12 U.S.C. 1841 et seq.) (BHC Act), Regulation Y (12...

  9. 75 FR 1784 - Formations of, Acquisitions by, and Mergers of Bank Holding Companies

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-01-13

    ... From the Federal Register Online via the Government Publishing Office FEDERAL RESERVE SYSTEM Formations of, Acquisitions by, and Mergers of Bank Holding Companies The companies listed in this notice have applied to the Board for approval, pursuant to the Bank Holding Company Act of 1956 (12 U.S.C. 1841 et seq.) (BHC Act), Regulation Y (12...

  10. 76 FR 15311 - Formations of, Acquisitions by, and Mergers of Bank Holding Companies

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-03-21

    ... From the Federal Register Online via the Government Publishing Office FEDERAL RESERVE SYSTEM Formations of, Acquisitions by, and Mergers of Bank Holding Companies The companies listed in this notice have applied to the Board for approval, pursuant to the Bank Holding Company Act of 1956 (12 U.S.C. 1841 et seq.) (BHC Act), Regulation Y (12...

  11. 76 FR 34231 - Formations of, Acquisitions by, and Mergers of Bank Holding Companies

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-06-13

    ... From the Federal Register Online via the Government Publishing Office FEDERAL RESERVE SYSTEM Formations of, Acquisitions by, and Mergers of Bank Holding Companies The companies listed in this notice have applied to the Board for approval, pursuant to the Bank Holding Company Act of 1956 (12 U.S.C. 1841 et seq.) (BHC Act), Regulation Y (12...

  12. 77 FR 35681 - Formations of, Acquisitions by, and Mergers of Bank Holding Companies

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-06-14

    ... From the Federal Register Online via the Government Publishing Office FEDERAL RESERVE SYSTEM Formations of, Acquisitions by, and Mergers of Bank Holding Companies The companies listed in this notice have applied to the Board for approval, pursuant to the Bank Holding Company Act of 1956 (12 U.S.C. 1841 et seq.) (BHC Act), Regulation Y (12...

  13. 77 FR 34095 - Federated Investment Management Company and Federated ETF Trust; Notice of Application

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-06-08

    ... COMMISSION Federated Investment Management Company and Federated ETF Trust; Notice of Application June 1... an order under section 6(c) of the Investment Company Act of 1940 (``Act'') for an exemption from...: Federated Investment Management Company (``Federated'') and Federated ETF Trust (the ``Trust''). Summary...

  14. 77 FR 50106 - Formations of, Acquisitions by, and Mergers of Bank Holding Companies

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-08-20

    ... From the Federal Register Online via the Government Publishing Office FEDERAL RESERVE SYSTEM Formations of, Acquisitions by, and Mergers of Bank Holding Companies The companies listed in this notice have applied to the Board for approval, pursuant to the Bank Holding Company Act of 1956 (12 U.S.C. 1841 et seq.) (BHC Act), Regulation Y (12...

  15. 17 CFR 270.6d-1 - Exemption for certain closed-end investment companies.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ...-end investment companies. 270.6d-1 Section 270.6d-1 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) RULES AND REGULATIONS, INVESTMENT COMPANY ACT OF 1940 § 270.6d-1 Exemption for certain closed-end investment companies. (a) An application under section 6(d) of the Act...

  16. 78 FR 76146 - Formations of, Acquisitions by, and Mergers of Bank Holding Companies

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-12-16

    ... From the Federal Register Online via the Government Publishing Office FEDERAL RESERVE SYSTEM Formations of, Acquisitions by, and Mergers of Bank Holding Companies The companies listed in this notice have applied to the Board for approval, pursuant to the Bank Holding Company Act of 1956 (12 U.S.C. 1841 et seq.) (BHC Act), Regulation Y (12...

  17. 17 CFR 270.3c-2 - Definition of beneficial ownership in small business investment companies.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) RULES AND REGULATIONS, INVESTMENT COMPANY ACT OF... purpose of section 3(c)(1) of the Act, beneficial ownership by a company owning 10 per centum or more of the outstanding voting securities of any issuer which is a small business investment company...

  18. 12 CFR Appendix C to Part 225 - Small Bank Holding Company Policy Statement

    Code of Federal Regulations, 2010 CFR

    2010-01-01

    ... 12 Banks and Banking 3 2010-01-01 2010-01-01 false Small Bank Holding Company Policy Statement C... Appendix C to Part 225—Small Bank Holding Company Policy Statement Policy Statement on Assessment of Financial and Managerial Factors In acting on applications filed under the Bank Holding Company Act,...

  19. 26 CFR 1.1247-1 - Election by foreign investment companies to distribute income currently.

    Code of Federal Regulations, 2012 CFR

    2012-04-01

    ... Investment Company Act of 1940. See section 8(a) of such Act (15 U.S.C. 80a-8(a)) and 17 CFR 274.10. A... 26 Internal Revenue 11 2012-04-01 2012-04-01 false Election by foreign investment companies to... Determining Capital Gains and Losses § 1.1247-1 Election by foreign investment companies to distribute...

  20. 26 CFR 1.1247-1 - Election by foreign investment companies to distribute income currently.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... Investment Company Act of 1940. See section 8(a) of such Act (15 U.S.C. 80a-8(a)) and 17 CFR 274.10. A... 26 Internal Revenue 11 2011-04-01 2011-04-01 false Election by foreign investment companies to... Determining Capital Gains and Losses § 1.1247-1 Election by foreign investment companies to distribute...

  1. 26 CFR 1.1247-1 - Election by foreign investment companies to distribute income currently.

    Code of Federal Regulations, 2014 CFR

    2014-04-01

    ... Investment Company Act of 1940. See section 8(a) of such Act (15 U.S.C. 80a-8(a)) and 17 CFR 274.10. A... 26 Internal Revenue 11 2014-04-01 2014-04-01 false Election by foreign investment companies to... Determining Capital Gains and Losses § 1.1247-1 Election by foreign investment companies to distribute...

  2. 17 CFR 270.6d-1 - Exemption for certain closed-end investment companies.

    Code of Federal Regulations, 2012 CFR

    2012-04-01

    ...-end investment companies. 270.6d-1 Section 270.6d-1 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) RULES AND REGULATIONS, INVESTMENT COMPANY ACT OF 1940 § 270.6d-1 Exemption for certain closed-end investment companies. (a) An application under section 6(d) of the Act...

  3. 12 CFR 250.403 - Service of member bank and real estate investment company.

    Code of Federal Regulations, 2012 CFR

    2012-01-01

    ... investment company. 250.403 Section 250.403 Banks and Banking FEDERAL RESERVE SYSTEM (CONTINUED) BOARD OF... 32 of the Glass-Steagall Act § 250.403 Service of member bank and real estate investment company. (a... investment companies would be subject to the provisions of sections 20 and 32 of the Banking Act of 1933...

  4. 17 CFR 270.6d-1 - Exemption for certain closed-end investment companies.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ...-end investment companies. 270.6d-1 Section 270.6d-1 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) RULES AND REGULATIONS, INVESTMENT COMPANY ACT OF 1940 § 270.6d-1 Exemption for certain closed-end investment companies. (a) An application under section 6(d) of the Act...

  5. 12 CFR 250.403 - Service of member bank and real estate investment company.

    Code of Federal Regulations, 2014 CFR

    2014-01-01

    ... investment company. 250.403 Section 250.403 Banks and Banking FEDERAL RESERVE SYSTEM (CONTINUED) BOARD OF... 32 of the Glass-Steagall Act § 250.403 Service of member bank and real estate investment company. (a... investment companies would be subject to the provisions of sections 20 and 32 of the Banking Act of 1933...

  6. 17 CFR 270.6d-1 - Exemption for certain closed-end investment companies.

    Code of Federal Regulations, 2013 CFR

    2013-04-01

    ...-end investment companies. 270.6d-1 Section 270.6d-1 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) RULES AND REGULATIONS, INVESTMENT COMPANY ACT OF 1940 § 270.6d-1 Exemption for certain closed-end investment companies. (a) An application under section 6(d) of the Act...

  7. 26 CFR 1.1247-1 - Election by foreign investment companies to distribute income currently.

    Code of Federal Regulations, 2013 CFR

    2013-04-01

    ... Investment Company Act of 1940. See section 8(a) of such Act (15 U.S.C. 80a-8(a)) and 17 CFR 274.10. A... 26 Internal Revenue 11 2013-04-01 2013-04-01 false Election by foreign investment companies to... Determining Capital Gains and Losses § 1.1247-1 Election by foreign investment companies to distribute...

  8. 17 CFR 270.6d-1 - Exemption for certain closed-end investment companies.

    Code of Federal Regulations, 2014 CFR

    2014-04-01

    ...-end investment companies. 270.6d-1 Section 270.6d-1 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) RULES AND REGULATIONS, INVESTMENT COMPANY ACT OF 1940 § 270.6d-1 Exemption for certain closed-end investment companies. (a) An application under section 6(d) of the Act...

  9. 12 CFR 250.403 - Service of member bank and real estate investment company.

    Code of Federal Regulations, 2013 CFR

    2013-01-01

    ... investment company. 250.403 Section 250.403 Banks and Banking FEDERAL RESERVE SYSTEM (CONTINUED) BOARD OF... 32 of the Glass-Steagall Act § 250.403 Service of member bank and real estate investment company. (a... investment companies would be subject to the provisions of sections 20 and 32 of the Banking Act of 1933...

  10. 17 CFR 270.3a-1 - Certain prima facie investment companies.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... companies. 270.3a-1 Section 270.3a-1 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) RULES AND REGULATIONS, INVESTMENT COMPANY ACT OF 1940 § 270.3a-1 Certain prima facie investment companies. Notwithstanding section 3(a)(1)(C) of the Act (15 U.S.C. 80a-3(a)(1)(c)), an issuer will...

  11. 77 FR 48983 - Formations of, Acquisitions by, and Mergers of Bank Holding Companies

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-08-15

    ... Formations of, Acquisitions by, and Mergers of Bank Holding Companies The companies listed in this notice have applied to the Board for approval, pursuant to the Bank Holding Company Act of 1956 (12 U.S.C... regulations to become a bank holding company and/or to acquire the assets or the ownership of, control of,...

  12. 78 FR 62363 - Formations of, Acquisitions by, and Mergers of Bank Holding Companies

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-10-21

    ... Formations of, Acquisitions by, and Mergers of Bank Holding Companies The companies listed in this notice have applied to the Board for approval, pursuant to the Bank Holding Company Act of 1956 (12 U.S.C... regulations to become a bank holding company and/or to acquire the assets or the ownership of, control of,...

  13. 77 FR 38064 - Formations of, Acquisitions by, and Mergers of Bank Holding Companies

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-06-26

    ... Formations of, Acquisitions by, and Mergers of Bank Holding Companies The companies listed in this notice have applied to the Board for approval, pursuant to the Bank Holding Company Act of 1956 (12 U.S.C... regulations to become a bank holding company and/or to acquire the assets or the ownership of, control of,...

  14. 78 FR 69852 - Formations of, Acquisitions by, and Mergers of Bank Holding Companies

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-11-21

    ... Formations of, Acquisitions by, and Mergers of Bank Holding Companies The companies listed in this notice have applied to the Board for approval, pursuant to the Bank Holding Company Act of 1956 (12 U.S.C... regulations to become a bank holding company and/or to acquire the assets or the ownership of, control of,...

  15. 78 FR 71613 - Formations of, Acquisitions by, and Mergers of Bank Holding Companies

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-11-29

    ... Formations of, Acquisitions by, and Mergers of Bank Holding Companies The companies listed in this notice have applied to the Board for approval, pursuant to the Bank Holding Company Act of 1956 (12 U.S.C... regulations to become a bank holding company and/or to acquire the assets or the ownership of, control of,...

  16. 78 FR 20644 - Formations of, Acquisitions by, and Mergers of Bank Holding Companies

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-04-05

    ... Formations of, Acquisitions by, and Mergers of Bank Holding Companies The companies listed in this notice have applied to the Board for approval, pursuant to the Bank Holding Company Act of 1956 (12 U.S.C... regulations to become a bank holding company and/or to acquire the assets or the ownership of, control of,...

  17. 78 FR 57637 - Formations of, Acquisitions by, and Mergers of Bank Holding Companies

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-09-19

    ... Formations of, Acquisitions by, and Mergers of Bank Holding Companies The companies listed in this notice have applied to the Board for approval, pursuant to the Bank Holding Company Act of 1956 (12 U.S.C... regulations to become a bank holding company and/or to acquire the assets or the ownership of, control of,...

  18. 76 FR 38395 - Formations of, Acquisitions by, and Mergers of Bank Holding Companies

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-06-30

    ... Formations of, Acquisitions by, and Mergers of Bank Holding Companies The companies listed in this notice have applied to the Board for approval, pursuant to the Bank Holding Company Act of 1956 (12 U.S.C... regulations to become a bank holding company and/or to acquire the assets or the ownership of, control of,...

  19. 76 FR 64945 - Formations of, Acquisitions by, and Mergers of Bank Holding Companies

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-10-19

    ... Formations of, Acquisitions by, and Mergers of Bank Holding Companies The companies listed in this notice have applied to the Board for approval, pursuant to the Bank Holding Company Act of 1956 (12 U.S.C... regulations to become a bank holding company and/or to acquire the assets or the ownership of, control of,...

  20. 78 FR 61960 - Formations of, Acquisitions by, and Mergers of Bank Holding Companies

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-10-08

    ... Formations of, Acquisitions by, and Mergers of Bank Holding Companies The companies listed in this notice have applied to the Board for approval, pursuant to the Bank Holding Company Act of 1956 (12 U.S.C... regulations to become a bank holding company and/or to acquire the assets or the ownership of, control of,...

  1. 78 FR 71612 - Formations of, Acquisitions by, and Mergers of Bank Holding Companies

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-11-29

    ... Formations of, Acquisitions by, and Mergers of Bank Holding Companies The companies listed in this notice have applied to the Board for approval, pursuant to the Bank Holding Company Act of 1956 (12 U.S.C... regulations to become a bank holding company and/or to acquire the assets or the ownership of, control of,...

  2. 77 FR 46437 - Formations of, Acquisitions by, and Mergers of Bank Holding Companies

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-08-03

    ... Formations of, Acquisitions by, and Mergers of Bank Holding Companies The companies listed in this notice have applied to the Board for approval, pursuant to the Bank Holding Company Act of 1956 (12 U.S.C... regulations to become a bank holding company and/or to acquire the assets or the ownership of, control of,...

  3. 17 CFR 250.5 - Exemption of certain foreign holding companies.

    Code of Federal Regulations, 2011 CFR

    2011-04-01

    ... holding companies. 250.5 Section 250.5 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) GENERAL RULES AND REGULATIONS, PUBLIC UTILITY HOLDING COMPANY ACT OF 1935 Registration and General Exemptions § 250.5 Exemption of certain foreign holding companies. Any holding company...

  4. 77 FR 61753 - Formations of, Acquisitions by, and Mergers of Bank Holding Companies

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-10-11

    ... Formations of, Acquisitions by, and Mergers of Bank Holding Companies The companies listed in this notice have applied to the Board for approval, pursuant to the Bank Holding Company Act of 1956 (12 U.S.C... regulations to become a bank holding company and/or to acquire the assets or the ownership of, control of,...

  5. 75 FR 73084 - Formations of, Acquisitions by, and Mergers of Bank Holding Companies

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-11-29

    ... Formations of, Acquisitions by, and Mergers of Bank Holding Companies The companies listed in this notice have applied to the Board for approval, pursuant to the Bank Holding Company Act of 1956 (12 U.S.C... regulations to become a bank holding company and/or to acquire the assets or the ownership of, control of,...

  6. 75 FR 39528 - Formations of, Acquisitions by, and Mergers of Bank Holding Companies

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-07-09

    ... Formations of, Acquisitions by, and Mergers of Bank Holding Companies The companies listed in this notice have applied to the Board for approval, pursuant to the Bank Holding Company Act of 1956 (12 U.S.C... regulations to become a bank holding company and/or to acquire the assets or the ownership of, control of,...

  7. 78 FR 77684 - Formations of, Acquisitions by, and Mergers of Bank Holding Companies

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-12-24

    ... Formations of, Acquisitions by, and Mergers of Bank Holding Companies The companies listed in this notice have applied to the Board for approval, pursuant to the Bank Holding Company Act of 1956 (12 U.S.C... regulations to become a bank holding company and/or to acquire the assets or the ownership of, control of,...

  8. 17 CFR 250.5 - Exemption of certain foreign holding companies.

    Code of Federal Regulations, 2010 CFR

    2010-04-01

    ... holding companies. 250.5 Section 250.5 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) GENERAL RULES AND REGULATIONS, PUBLIC UTILITY HOLDING COMPANY ACT OF 1935 Registration and General Exemptions § 250.5 Exemption of certain foreign holding companies. Any holding company...

  9. 75 FR 43165 - Formations of, Acquisitions by, and Mergers of Bank Holding Companies

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-07-23

    ... Formations of, Acquisitions by, and Mergers of Bank Holding Companies The companies listed in this notice have applied to the Board for approval, pursuant to the Bank Holding Company Act of 1956 (12 U.S.C... regulations to become a bank holding company and/or to acquire the assets or the ownership of, control of,...

  10. 78 FR 8144 - Formations of, Acquisitions by, and Mergers of Bank Holding Companies

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-02-05

    ... Formations of, Acquisitions by, and Mergers of Bank Holding Companies The companies listed in this notice have applied to the Board for approval, pursuant to the Bank Holding Company Act of 1956 (12 U.S.C... regulations to become a bank holding company and/or to acquire the assets or the ownership of, control of,...

  11. 78 FR 21368 - Formations of, Acquisitions by, and Mergers of Bank Holding Companies

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-04-10

    ... Formations of, Acquisitions by, and Mergers of Bank Holding Companies The companies listed in this notice have applied to the Board for approval, pursuant to the Bank Holding Company Act of 1956 (12 U.S.C... regulations to become a bank holding company and/or to acquire the assets or the ownership of, control of,...

  12. 75 FR 69444 - Formations of, Acquisitions by, and Mergers of Bank Holding Companies

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-11-12

    ... Formations of, Acquisitions by, and Mergers of Bank Holding Companies The companies listed in this notice have applied to the Board for approval, pursuant to the Bank Holding Company Act of 1956 (12 U.S.C... regulations to become a bank holding company and/or to acquire the assets or the ownership of, control of,...

  13. 78 FR 69416 - Formations of, Acquisitions by, and Mergers of Bank Holding Companies

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-11-19

    ... Formations of, Acquisitions by, and Mergers of Bank Holding Companies The companies listed in this notice have applied to the Board for approval, pursuant to the Bank Holding Company Act of 1956 (12 U.S.C... regulations to become a bank holding company and/or to acquire the assets or the ownership of, control of,...

  14. 76 FR 12963 - Formations of, Acquisitions by, and Mergers of Bank Holding Companies

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-03-09

    ... Formations of, Acquisitions by, and Mergers of Bank Holding Companies The companies listed in this notice have applied to the Board for approval, pursuant to the Bank Holding Company Act of 1956 (12 U.S.C... regulations to become a bank holding company and/or to acquire the assets or the ownership of, control of,...

  15. 77 FR 62237 - Formations of, Acquisitions by, and Mergers of Bank Holding Companies

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-10-12

    ... Formations of, Acquisitions by, and Mergers of Bank Holding Companies The companies listed in this notice have applied to the Board for approval, pursuant to the Bank Holding Company ] Act of 1956 (12 U.S.C... regulations to become a bank holding company and/or to acquire the assets or the ownership of, control of,...

  16. 77 FR 35386 - Formations of, Acquisitions by, and Mergers of Bank Holding Companies

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-06-13

    ... Formations of, Acquisitions by, and Mergers of Bank Holding Companies The companies listed in this notice have applied to the Board for approval, pursuant to the Bank Holding Company Act of 1956 (12 U.S.C... regulations to become a bank holding company and/or to acquire the assets or the ownership of, control of,...

  17. 77 FR 25169 - Formations of, Acquisitions by, and Mergers of Bank Holding Companies

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-04-27

    ... Formations of, Acquisitions by, and Mergers of Bank Holding Companies The companies listed in this notice have applied to the Board for approval, pursuant to the Bank Holding Company Act of 1956 (12 U.S.C... to become a bank holding company and/or to acquire the assets or the ownership of, control of, or...

  18. 75 FR 41201 - Formations of, Acquisitions by, and Mergers of Bank Holding Companies

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-07-15

    ... Formations of, Acquisitions by, and Mergers of Bank Holding Companies The companies listed in this notice have applied to the Board for approval, pursuant to the Bank Holding Company Act of 1956 (12 U.S.C... regulations to become a bank holding company and/or to acquire the assets or the ownership of, control of,...

  19. 78 FR 17930 - Formations of, Acquisitions by, and Mergers of Bank Holding Companies

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-03-25

    ... Formations of, Acquisitions by, and Mergers of Bank Holding Companies The companies listed in this notice have applied to the Board for approval, pursuant to the Bank Holding Company Act of 1956 (12 U.S.C... regulations to become a bank holding company and/or to acquire the assets or the ownership of, control of,...

  20. 76 FR 56760 - Formations of, Acquisitions by, and Mergers of Bank Holding Companies

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-09-14

    ... Formations of, Acquisitions by, and Mergers of Bank Holding Companies The companies listed in this notice have applied to the Board for approval, pursuant to the Bank Holding Company Act of 1956 (12 U.S.C... regulations to become a bank holding company and/or to acquire the assets or the ownership of, control of,...

  1. 77 FR 63833 - Formations of, Acquisitions by, and Mergers of Bank Holding Companies

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-10-17

    ... Formations of, Acquisitions by, and Mergers of Bank Holding Companies The companies listed in this notice have applied to the Board for approval, pursuant to the Bank Holding Company Act of 1956 (12 U.S.C... regulations to become a bank holding company and/or to acquire the assets or the ownership of, control of,...

  2. 75 FR 50764 - Formations of, Acquisitions by, and Mergers of Bank Holding Companies

    Federal Register 2010, 2011, 2012, 2013, 2014

    2010-08-17

    ... Formations of, Acquisitions by, and Mergers of Bank Holding Companies The companies listed in this notice have applied to the Board for approval, pursuant to the Bank Holding Company Act of 1956 (12 U.S.C... regulations to become a bank holding company and/or to acquire the assets or the ownership of, control of,...

  3. 77 FR 2063 - Formations of, Acquisitions by, and Mergers of Bank Holding Companies

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-01-13

    ... Formations of, Acquisitions by, and Mergers of Bank Holding Companies The companies listed in this notice have applied to the Board for approval, pursuant to the Bank Holding Company Act of 1956 (12 U.S.C... regulations to become a bank holding company and/or to acquire the assets or the ownership of, control of,...

  4. 76 FR 62408 - Formations of, Acquisitions by, and Mergers of Bank Holding Companies

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-10-07

    ... Formations of, Acquisitions by, and Mergers of Bank Holding Companies The companies listed in this notice have applied to the Board for approval, pursuant to the Bank Holding Company Act of 1956 (12 U.S.C... regulations to become a bank holding company and/or to acquire the assets or the ownership of, control of,...

  5. 78 FR 73862 - Formations of, Acquisitions by, and Mergers of Bank Holding Companies

    Federal Register 2010, 2011, 2012, 2013, 2014

    2013-12-09

    ... Formations of, Acquisitions by, and Mergers of Bank Holding Companies The companies listed in this notice have applied to the Board for approval, pursuant to the Bank Holding Company Act of 1956 (12 U.S.C... regulations to become a bank holding company and/or to acquire the assets or the ownership of, control of,...

  6. 76 FR 28781 - Formations of, Acquisitions by, and Mergers of Bank Holding Companies

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-05-18

    ... Formations of, Acquisitions by, and Mergers of Bank Holding Companies The companies listed in this notice have applied to the Board for approval, pursuant to the Bank Holding Company Act of 1956 (12 U.S.C... regulations to become a bank holding company and/or to acquire the assets or the ownership of, control of,...

  7. 77 FR 56844 - Formations of, Acquisitions by, and Mergers of Bank Holding Companies

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-09-14

    ... Formations of, Acquisitions by, and Mergers of Bank Holding Companies The companies listed in this notice have applied to the Board for approval, pursuant to the Bank Holding Company Act of 1956 (12 U.S.C... regulations to become a bank holding company and/or to acquire the assets or the ownership of, control of,...

  8. 77 FR 49796 - Formations of, Acquisitions by, and Mergers of Bank Holding Companies

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-08-17

    ... Formations of, Acquisitions by, and Mergers of Bank Holding Companies The companies listed in this notice have applied to the Board for approval, pursuant to the Bank Holding Company Act of 1956 (12 U.S.C... regulations to become a bank holding company and/or to acquire the assets or the ownership of, control of,...

  9. 77 FR 24492 - Formations of, Acquisitions by, and Mergers of Bank Holding Companies

    Federal Register 2010, 2011, 2012, 2013, 2014

    2012-04-24

    ... Formations of, Acquisitions by, and Mergers of Bank Holding Companies The companies listed in this notice have applied to the Board for approval, pursuant to the Bank Holding Company Act of 1956 (12 U.S.C... regulations to become a bank holding company and/or to acquire the assets or the ownership of, control of,...

  10. 76 FR 30361 - Formations of, Acquisitions by, and Mergers of Bank Holding Companies

    Federal Register 2010, 2011, 2012, 2013, 2014

    2011-05-25

    ... Formations of, Acquisitions by, and Mergers of Bank Holding Companies The companies listed in this notice have applied to the Board for approval, pursuant to the Bank Holding Company Act of 1956 (12 U.S.C... regulations to become a bank holding company and/or to acquire the assets or the ownership of, control of,...