Sample records for exchange act release
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Federal Register 2010, 2011, 2012, 2013, 2014
2011-08-01
... over the Internet); Securities Exchange Act Release No. 63197 (October 27, 2010), 75 FR 67791 (November... $200 to $600 per Internet port that is used to deliver market data); Securities Exchange Act Release No... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-64964; File No. SR-EDGA-2011-22] Self...
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Federal Register 2010, 2011, 2012, 2013, 2014
2013-10-02
... Extraordinary Market Volatility Pursuant to Rule 608 of Regulation NMS under the Act (the ``Limit Up-Limit Down... operating the Limit Up-Limit Down Plan. \\5\\ See Securities Exchange Act Release No. 62886 (September 10... Act Release No. 67091 (May 31, 2012), 77 FR 33498 (June 6, 2012) (the ``Limit Up-Limit Down Release...
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Federal Register 2010, 2011, 2012, 2013, 2014
2013-10-02
... of Regulation NMS under the Act (the ``Limit Up- Limit Down Plan'' or the ``Plan'').\\7\\ The Exchange... Limit Up-Limit Down Plan. \\5\\ Securities Exchange Act Release No. 62886 (September 10, 2010), 75 FR... (May 31, 2012), 77 FR 33498 (June 6, 2012) (the ``Limit Up-Limit Down Release''); see also Exchange...
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Federal Register 2010, 2011, 2012, 2013, 2014
2010-01-25
... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-61368; File No. SR-ISE-2009-87] Self-Regulatory... Exchange Act Release No. 61024 (November 18, 2009), 74 FR 61395 (November 24, 2009). II. Description of the...(b)(2) of the Act,\\7\\ that the proposed rule change (SR-ISE-2009-87) be, and hereby is, approved. \\7...
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Federal Register 2010, 2011, 2012, 2013, 2014
2010-02-25
... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-61534] Order Granting Application for Exemption Pursuant to Section 36(a) of the Exchange Act by BATS Exchange, Inc. From the Rule Filing Requirements of Section 19(b) of the Exchange Act With Respect to Certain Rules Incorporated by Reference February 18, 2010. BATS Exchange, Inc. (``BATS...
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Federal Register 2010, 2011, 2012, 2013, 2014
2011-11-01
... Matching System. See Securities Exchange Act Release No. 63564 (December 16, 2010), 75 FR 80870 (December... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-65633; File No. SR-CHX-2011-29] Self-Regulatory... Chicago Stock Exchange, Inc. (``CHX'' or the ``Exchange'') filed with the Securities and Exchange...
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Federal Register 2010, 2011, 2012, 2013, 2014
2010-07-09
... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-62437; File No. SR-EDGX-2010-06] Self... Schedule To Impose Fees for Physical Ports Used To Connect to EDGX Exchange July 1, 2010. Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (``Act'' or ``Exchange Act'') \\1\\ and Rule 19b-4...
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Federal Register 2010, 2011, 2012, 2013, 2014
2010-07-09
... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-62436; File No. SR-EDGA-2010-06] Self... Schedule To Impose Fees for Physical Ports Used To Connect to EDGA Exchange July 1, 2010. Pursuant to section 19(b)(1) of the Securities Exchange Act of 1934 (``Act'' or ``Exchange Act'') \\1\\ and rule 19b-4...
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Federal Register 2010, 2011, 2012, 2013, 2014
2011-11-02
... connection with this reclassification, the Exchange has proposed certain voting rights,\\4\\ transfer... Securities Exchange Act of 1934 (``Act''),\\1\\ and Rule 19b-4 thereunder,\\2\\ a proposed rule change to amend... Exchange Act Release No. 65299 (September 8, 2011), 76 FR 56833 (September 14, 2011) (``Notice''). II...
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77 FR 59061 - Extension of Temporary Registration of Municipal Advisors
Federal Register 2010, 2011, 2012, 2013, 2014
2012-09-26
... SECURITIES AND EXCHANGE COMMISSION 17 CFR Parts 240 and 249 [Release No. 34-67901; File No. S7-19... Exchange Commission. ACTION: Final rule; extension. SUMMARY: The Securities and Exchange Commission... registration of municipal advisors under the Securities Exchange Act of 1934 (``Exchange Act''), as amended by...
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Federal Register 2010, 2011, 2012, 2013, 2014
2012-07-05
... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-67295; File No. SR-NASDAQ-2012-061] Self... Securities and Exchange Commission (``Commission''), pursuant to Section 19(b)(1) of the Securities Exchange... the Exchange's options trading facility. \\4\\ See Securities Exchange Act Release No. 67027 (May 18...
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Federal Register 2010, 2011, 2012, 2013, 2014
2013-12-11
... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-70990; File No. SR-MSRB-2013-08] Self...\\ Securities Exchange Act Release No. 70607 (October 3, 2013), 78 FR 62736 (``Notice''). II. Description of the... dealer, acting as an underwriter or remarketing agent with no prior or future long-term economic interest...
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Federal Register 2010, 2011, 2012, 2013, 2014
2011-06-30
... continuing effort to attract more activity in large-sized FX options. \\3\\ See Securities Exchange Act Release... SECURITIES AND EXCHANGE COMMISSION [Release No. 3464743; File No. SR-ISE-2011-35] Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed...
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Federal Register 2010, 2011, 2012, 2013, 2014
2012-05-14
... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-66941; File No. SR-CME-2012-06] Self-Regulatory... On March 9, 2012, Chicago Mercantile Exchange (``CME'') filed with the Securities and Exchange... Securities Exchange Act of 1934 (``Act'') \\1\\ and Rule 19b-4 thereunder.\\2\\ The proposed rule change was...
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Federal Register 2010, 2011, 2012, 2013, 2014
2013-12-18
... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-71073; File No. SR-CBOE-2013-102] Self..., Incorporated (``Exchange'' or ``CBOE'') filed with the Securities and Exchange Commission (``Commission''), pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (``Act'') \\1\\ and Rule 19b-4 thereunder...
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Federal Register 2010, 2011, 2012, 2013, 2014
2013-12-30
... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-71178; File No. SR-CBOE-2013-107] Self..., Incorporated (the ``Exchange'' or ``CBOE'') filed with the Securities and Exchange Commission (the ``Commission''), pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (the ``Act'') \\1\\ and Rule 19b-4...
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Federal Register 2010, 2011, 2012, 2013, 2014
2013-11-21
... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-70885; File No. SR-TOPAZ-2013-11] Self..., 2013. Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (the ``Act''),\\1\\ and Rule... ISE Gemini) (the ``Exchange'' or ``Topaz'') filed with the Securities and Exchange Commission...
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Federal Register 2010, 2011, 2012, 2013, 2014
2011-07-29
... qualification examination, the Series 56, was recently filed with the Commission; \\6\\ NASDAQ expects to file the... new examination, the Series 56. \\5\\ See Securities Exchange Act Release Nos. 63843 (February 4, 2011... respecting the Series 56, which has become effective. See Securities Exchange Act Release No. 64699 (June 17...
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Federal Register 2010, 2011, 2012, 2013, 2014
2010-10-29
... Underlying Index measures the performance of investment-grade taxable debt securities of the U.S. municipal... of ICUs based on certain fixed income indexes. See, e.g., Securities Exchange Act Release No. 48662... Investment Company Units based on a fixed income index in Securities Exchange Act Release No. 55783 (May 17...
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Federal Register 2010, 2011, 2012, 2013, 2014
2011-07-22
... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-64904; File No. SR-NYSE-2011-34] Self... Consistent With the Requirements of Rule 15c3-5 Under the Securities Exchange Act of 1934 July 18, 2011. Pursuant to Section 19(b)(1) \\1\\ of the Securities Exchange Act of 1934 (the ``Act'') \\2\\ and Rule 19b-4...
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Federal Register 2010, 2011, 2012, 2013, 2014
2013-09-23
... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-70427; File No. SR-BOX-2013-43] Self-Regulatory... Exchange Act of 1934 (the ``Act'') \\1\\ and Rule 19b-4 thereunder,\\2\\ notice is hereby given that on September 5, 2013, BOX Options Exchange LLC (the ``Exchange'') filed with the Securities and Exchange...
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Federal Register 2010, 2011, 2012, 2013, 2014
2013-11-27
... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-70917; File No. SR-CME-2013-24] Self-Regulatory... Exchange Act of 1934 (``Act''),\\1\\ and Rule 19b-4 thereunder,\\2\\ notice is hereby given that on November 15, 2013, Chicago Mercantile Exchange Inc. (``CME'') filed with the Securities and Exchange Commission...
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Federal Register 2010, 2011, 2012, 2013, 2014
2012-11-19
..., 2012: Investment Company Act of 1940; Release No. 30261/November 14, 2012] Order Granting Exmeptions From Specified Provisions of the Securities Exchange Act and the Investment Company Act and Certain...(C) and Section 38(A) of the Investment Company Act of 1940 Granting Exemptions From Specified...
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Federal Register 2010, 2011, 2012, 2013, 2014
2012-04-26
... the Securities Exchange Act of 1934 (``Exchange Act'') concerning large trader reporting to assist the... persons are referred to as ``large traders'').\\1\\ \\1\\ See Securities Exchange Act Release No. 64976 (July... person is a large trader: (1) Any transaction that is part of an offering of securities by or on behalf...
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Federal Register 2010, 2011, 2012, 2013, 2014
2013-02-13
... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-68864; File No. S7-27-11] Order Extending.... Introduction On July 1, 2011, the Securities and Exchange Commission (``Commission'') issued an order granting... security-based swaps (``Exchange Act Exemptive Order'').\\1\\ Certain temporary exemptions contained in the...
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Federal Register 2010, 2011, 2012, 2013, 2014
2010-06-02
... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-62170; File No. SR-CBOE-2010-048] Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate.... Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (the ``Act''),\\1\\ and Rule 19b-4...
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Federal Register 2010, 2011, 2012, 2013, 2014
2013-03-25
... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-69174; File No. SR-NYSEMKT-2013-26] Self... Securities March 19, 2013. Pursuant to Section 19(b)(1) \\1\\ of the Securities Exchange Act of 1934 (``Act... MKT'' or ``Exchange'') filed with the Securities and Exchange Commission (``Commission'') the proposed...
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Federal Register 2010, 2011, 2012, 2013, 2014
2012-07-26
... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-67481; File No. SR-CBOE-2012-068] Self...) of the Securities Exchange Act of 1934 (the ``Act''),\\1\\ and Rule 19b-4 thereunder,\\2\\ notice is... ``CBOE'') filed with the Securities and Exchange Commission (the [[Page 43880
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Federal Register 2010, 2011, 2012, 2013, 2014
2013-09-09
... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-70302; File No. SR-CBOE-2013-082] Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate... Section 19(b)(1) of the Securities Exchange Act of 1934 (the ``Act'') \\1\\ and Rule 19b-4 thereunder,\\2...
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Federal Register 2010, 2011, 2012, 2013, 2014
2013-09-16
... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-70357; File No. SR-MIAX-2013-42] Self-Regulatory Organizations; Miami International Securities Exchange LLC; Notice of Filing and Immediate... provisions of Section 19(b)(1) of the Securities Exchange Act of 1934 (``Act'') \\1\\ and Rule 19b-4 thereunder...
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Federal Register 2010, 2011, 2012, 2013, 2014
2013-12-18
... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-71063; File No. SR-CBOE-2013-116] Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate...)(1) of the Securities Exchange Act of 1934 (the ``Act''),\\1\\ and Rule 19b-4 thereunder,\\2\\ notice is...
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Federal Register 2010, 2011, 2012, 2013, 2014
2013-09-16
... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-70360; File No. SR-BATS-2013-049] Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule... the Securities Exchange Act of 1934 (the ``Act''),\\1\\ and Rule 19b-4 thereunder,\\2\\ notice is hereby...
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Federal Register 2010, 2011, 2012, 2013, 2014
2013-09-23
... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-70424; File No. SR-CBOE-2013-088] Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate.... Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (the ``Act''),\\1\\ and Rule 19b-4...
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Federal Register 2010, 2011, 2012, 2013, 2014
2013-12-18
... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-71062; File No. SR-EDGX-2013-45] Self-Regulatory Organizations; EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule...) of the Securities Exchange Act of 1934 (the ``Act''),\\1\\ and Rule 19b-4 thereunder,\\2\\ notice is...
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Federal Register 2010, 2011, 2012, 2013, 2014
2013-11-20
... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-70873; File No. SR-ISE-2013-56] Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed... Securities Exchange Act of 1934 (the ``Act''),\\1\\ and Rule 19b-4 thereunder,\\2\\ notice is hereby given that...
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Federal Register 2010, 2011, 2012, 2013, 2014
2013-11-20
... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-70872; File No. SR-ISE-2013-57] Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed... Securities Exchange Act of 1934 (the ``Act''),\\1\\ and Rule 19b-4 thereunder,\\2\\ notice is hereby given that...
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Federal Register 2010, 2011, 2012, 2013, 2014
2013-12-18
... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-71061; File No. SR-EDGA-2013-36] Self-Regulatory Organizations; EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule...) of the Securities Exchange Act of 1934 (the ``Act''),\\1\\ and Rule 19b-4 thereunder,\\2\\ notice is...
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Federal Register 2010, 2011, 2012, 2013, 2014
2011-10-13
... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-65499; File No. SR-ISE-2011-64] Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed... Securities Exchange Act of 1934 (the ``Act''),\\1\\ and Rule 19b-4 thereunder,\\2\\ notice is hereby given that...
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Federal Register 2010, 2011, 2012, 2013, 2014
2013-11-21
... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-70884; File No. SR-ISE-2013-59] Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed... November 15, 2013. Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (the ``Act''),\\1...
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Federal Register 2010, 2011, 2012, 2013, 2014
2011-08-16
... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-65087; File No. SR-ISE-2011-47] Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed... August 10, 2011. Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (the ``Act''),\\1...
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Federal Register 2010, 2011, 2012, 2013, 2014
2011-07-22
... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-64906; File No. SR-NYSEArca-2011-49] Self... Operate Consistent With the Requirements of Rule 15c3-5 Under the Securities Exchange Act of 1934 July 18, 2011. Pursuant to Section 19(b)(1) \\1\\ of the Securities Exchange Act of 1934 (the ``Act'') \\2\\ and...
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Federal Register 2010, 2011, 2012, 2013, 2014
2011-07-22
... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-64905; File No. SR-NYSEArca-2011-50] Self... Operate Consistent With the Requirements of Rule 15c3-5 Under the Securities Exchange Act of 1934 July 18, 2011. Pursuant to Section 19(b)(1) \\1\\ of the Securities Exchange Act of 1934 (the ``Act'') \\2\\ and...
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Federal Register 2010, 2011, 2012, 2013, 2014
2011-01-06
... fund-like products linked to the performance of underlying commodities.\\8\\ \\4\\ See, e.g., Securities Exchange Act Release No. 58161 (July 15, 2008), 73 FR 42380 (July 21, 2008) (SR-Amex-2008-39). \\5\\ See, e.g...). \\6\\ See, e.g., Securities Exchange Act Release No. 58457 (September 3, 2008), 73 FR 52711 (September...
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Federal Register 2010, 2011, 2012, 2013, 2014
2012-08-03
... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-67533; File No. SR-CME-2012-31] Self-Regulatory.... Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (``Act''),\\1\\ and Rule 19b-4 thereunder...'') filed with the Securities and Exchange Commission (``Commission'') the proposed rule change described in...
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Federal Register 2010, 2011, 2012, 2013, 2014
2010-07-23
... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-62523; File No. SR-ISE-2010-73] Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing of Proposed Rule Change Relating to... Securities Exchange Act of 1934 (``Act''),\\1\\ and Rule 19b-4 thereunder,\\2\\ notice is hereby given that on...
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Federal Register 2010, 2011, 2012, 2013, 2014
2013-12-18
... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-71059; File No. SR-EDGA-2013-37] Self-Regulatory Organizations; EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule... Section 19(b)(1) of the Securities Exchange Act of 1934 (the ``Act''),\\1\\ and Rule 19b-4 thereunder,\\2...
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Federal Register 2010, 2011, 2012, 2013, 2014
2013-12-30
... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-71172; File No. SR-MIAX-2013-58] Self...) of the Securities Exchange Act of 1934 (``Act'') \\1\\ and Rule 19b-4 thereunder,\\2\\ notice is hereby...'') filed with the Securities and Exchange Commission (``Commission'') a proposed rule change as described...
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Federal Register 2010, 2011, 2012, 2013, 2014
2013-09-16
... SECURITIES AND EXCHANGE COMMISSION Release No. 34-70364; File No. SR-EDGA-2013-26] Self-Regulatory Organizations; EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change...)(1) of the Securities Exchange Act of 1934 (the ``Act''),\\1\\ and Rule 19b-4 thereunder,\\2\\ notice is...
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Federal Register 2010, 2011, 2012, 2013, 2014
2013-09-09
... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-70301; File No. SR-C2-2013-032] Self-Regulatory Organizations; C2 Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed... the Securities Exchange Act of 1934 (the ``Act'') \\1\\ and Rule 19b-4 thereunder,\\2\\ notice is hereby...
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Federal Register 2010, 2011, 2012, 2013, 2014
2013-11-27
... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-70909; File No. SR-NYSE-2013-72] Self... 19(b)(1) \\1\\ of the Securities Exchange Act of 1934 (the ``Act'') \\2\\ and Rule 19b-4 thereunder,\\3...'') filed with the Securities and Exchange Commission (``Commission'') the proposed rule change as described...
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Federal Register 2010, 2011, 2012, 2013, 2014
2013-09-23
... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-70426; File No. SR-Topaz-2013-04] Self-Regulatory Organizations; Topaz Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule... Exchange Act of 1934 (the ``Act''),\\1\\ and Rule 19b-4 thereunder,\\2\\ notice is hereby given that on...
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Federal Register 2010, 2011, 2012, 2013, 2014
2013-12-18
... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-71066; File No. SR-ISE-2013-66] Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed.... Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (the ``Act''),\\1\\ and Rule 19b-4...
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Federal Register 2010, 2011, 2012, 2013, 2014
2013-11-20
... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-70875; File No. SR-CBOE-2013-110] Self... Exchange Act of 1934 (the ``Act''),\\1\\ and Rule 19b-4 thereunder,\\2\\ notice is hereby given that on... the Securities and Exchange Commission (the ``Commission'') the proposed rule change as described in...
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Federal Register 2010, 2011, 2012, 2013, 2014
2013-09-16
... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-70363; File No. SR-EDGX-2013-33] Self-Regulatory Organizations; EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule... Section 19(b)(1) of the Securities Exchange Act of 1934 (the ``Act''),\\1\\ and Rule 19b-4 thereunder,\\2...
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Federal Register 2010, 2011, 2012, 2013, 2014
2013-12-18
... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-71058; File No. SR-EDGX-2013-46] Self-Regulatory Organizations; EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule... Section 19(b)(1) of the Securities Exchange Act of 1934 (the ``Act''),\\1\\ and Rule 19b-4 thereunder,\\2...
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Federal Register 2010, 2011, 2012, 2013, 2014
2013-06-19
... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-67956; File No. SR-Phlx-2013-42] Self... PHLX LLC (``Exchange'' or ``PHLX'') filed with the Securities and Exchange Commission (``Commission''), pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (``Act'') \\1\\ and Rule 19b-4 thereunder...
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Federal Register 2010, 2011, 2012, 2013, 2014
2013-06-19
... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-69755; File No. SR-NASDAQ-2013-070] Self... (``Exchange'' or ``NASDAQ'') filed with the Securities and Exchange Commission (``Commission''), pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (``Act'') \\1\\ and Rule 19b-4 thereunder,\\2\\ a...
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Federal Register 2010, 2011, 2012, 2013, 2014
2013-05-28
... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-69613; File No. SR-EDGA-2013-13] Self... 19(b)(1) \\1\\ of the Securities Exchange Act of 1934 (the ``Act'') \\2\\ and Rule 19b-4 thereunder,\\3... with the Securities and Exchange Commission (the ``Commission'') the proposed rule change as described...
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Federal Register 2010, 2011, 2012, 2013, 2014
2013-03-29
... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-69233; File No. SR-NASDAQ-2013-028] Self... NASDAQ Stock Market LLC (``Exchange'' or ``NASDAQ'') filed with the Securities and Exchange Commission (``Commission''), pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (``Act'') \\1\\ and Rule 19b...
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Federal Register 2010, 2011, 2012, 2013, 2014
2013-05-28
... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-69614; File No. SR-EDGX-2013-17] Self... 19(b)(1) \\1\\ of the Securities Exchange Act of 1934 (the ``Act'') \\2\\ and Rule 19b-4 thereunder,\\3... with the Securities and Exchange Commission (the ``Commission'') the proposed rule change as described...
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Federal Register 2010, 2011, 2012, 2013, 2014
2013-03-29
... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-69229; File No. SR-Phlx-2013-15] Self... (``Exchange'' or ``PHLX'') filed with the Securities and Exchange Commission (``Commission''), pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (``Act'') \\1\\ and Rule 19b-4 thereunder,\\2\\ a...
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Federal Register 2010, 2011, 2012, 2013, 2014
2013-05-08
... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-69499; File No. SR-NASDAQ-2013-070] Self.... May 2, 2013. Pursuant to Section 19(b)(1) \\1\\ of the Securities Exchange Act of 1934 (the ``Act'') \\2... LLC (the ``Exchange'' or ``Nasdaq'') filed with the Securities and Exchange Commission (the...
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Federal Register 2010, 2011, 2012, 2013, 2014
2012-10-16
... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-68010; File No. SR-CBOE-2012-096] Self...(b)(1) of the Securities Exchange Act of 1934 (the ``Act''),\\1\\ and Rule 19b-4 thereunder,\\2\\ notice...'' or ``CBOE'') filed with the Securities and Exchange Commission (the ``Commission'') the proposed rule...
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Federal Register 2010, 2011, 2012, 2013, 2014
2013-03-01
....'' The Exchange further understands that limitations in order management systems and routing networks... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-68975; File No. SR-BYX-2013-008] Self..., 2013. Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (the ``Act''),\\1\\ and Rule...
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Federal Register 2010, 2011, 2012, 2013, 2014
2013-02-04
... of ``Retail Order.'' The Exchange further understands that limitations in order management systems... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-68747; File No. SR-NYSE-2013-08] Self.... Pursuant to Section 19(b)(1) \\1\\ of the Securities Exchange Act of 1934 (the ``Act'') \\2\\ and Rule 19b-4...
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Federal Register 2010, 2011, 2012, 2013, 2014
2012-01-31
... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-66241] Order Granting Application by BOX Options Exchange LLC for a Conditional Exemption Pursuant to Section 36(a) of the Exchange Act From Certain Requirements of Rules 6a-1 and 6a-2 Under the Exchange Act January 26, 2012. I. Introduction On December 19, 2011, BOX Options Exchange LLC (the `...
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76 FR 27674 - PennantPark Investment Corporation, et al.; Notice of Application
Federal Register 2010, 2011, 2012, 2013, 2014
2011-05-12
... SECURITIES AND EXCHANGE COMMISSION [Investment Company Act Release No. 29665; 812-13772] PennantPark Investment Corporation, et al.; Notice of Application May 6, 2011. AGENCY: Securities and Exchange... Investment Company Act of 1940 (the ``Act'') for an exemption from sections 18(a) and 61(a) of the Act...
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Federal Register 2010, 2011, 2012, 2013, 2014
2011-07-22
... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-64907; File No. SR-NYSEAmex-2011-53] Self... Consistent With the Requirements of Rule 15c3-5 Under the Securities Exchange Act of 1934 July 18, 2011. Pursuant to Section 19(b)(1) \\1\\ of the Securities Exchange Act of 1934 (the ``Act'') \\2\\ and Rule 19b-4...
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Federal Register 2010, 2011, 2012, 2013, 2014
2011-07-22
... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-64908; File No. SR-NYSEAmex-2011-52] Self... Consistent With the Requirements of Rule 15c3-5 Under the Securities Exchange Act of 1934 July 18, 2011. Pursuant to Section 19(b)(1) \\1\\ of the Securities Exchange Act of 1934 (the ``Act'') \\2\\ and Rule 19b-4...
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Federal Register 2010, 2011, 2012, 2013, 2014
2012-11-27
... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-68268; File No. SR-BX-2012-072] Self-Regulatory... Securities Exchange Act of 1934 (``Act'') \\1\\ and Rule 19b-4 thereunder,\\2\\ notice is hereby given that on November 15, 2012, NASDAQ OMX BX, Inc. (``BX'' or the ``Exchange'') filed with the Securities and Exchange...
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Federal Register 2010, 2011, 2012, 2013, 2014
2011-12-14
... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-65914; File No. SR-CBOE-2011-114] Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Proposed Rule Change Related to Complex Order Processing in Hybrid 3.0 Classes December 8, 2011. Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (the ``Act...
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Federal Register 2010, 2011, 2012, 2013, 2014
2013-12-18
... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-71056; File No. SR-BOX-2013-56] Self-Regulatory Organizations; BOX Options Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change... Exchange Act of 1934 (``Act'') \\1\\ and Rule 19b-4 thereunder,\\2\\ notice is hereby given that on December 3...
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Federal Register 2010, 2011, 2012, 2013, 2014
2012-10-16
... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-68009; File No. SR-C2-2012-035] Self-Regulatory... Securities Exchange Act of 1934 (the ``Act''),\\1\\ and Rule 19b-4 thereunder,\\2\\ notice is hereby given that... Securities and Exchange Commission (the ``Commission'') the proposed rule change as described in Items I, II...
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Federal Register 2010, 2011, 2012, 2013, 2014
2012-10-15
... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-68020; File No. SR-CBOE-2012-094] Self... Change To Update Its Rule 31.10--Corporate Governance--in Order To Comply With New Rule 10C- 1 Under the Securities Exchange Act of 1934 October 9, 2012. Pursuant to Section 19(b)(1) of the Securities Exchange Act...
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76 FR 80430 - Rio Tinto plc and Rio Tinto Limited; Notice of Application
Federal Register 2010, 2011, 2012, 2013, 2014
2011-12-23
... SECURITIES AND EXCHANGE COMMISSION [Investment Company Act Release No. 29889; 812-13777] Rio Tinto plc and Rio Tinto Limited; Notice of Application December 19, 2011. AGENCY: Securities and Exchange... Company Act of 1940 (the ``Act''). SUMMARY: Summary of Application: Rio Tinto plc (``RTP'') and Rio Tinto...
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75 FR 5814 - ShariahShares Exchange-Traded Fund Trust, et al.; Notice of Application
Federal Register 2010, 2011, 2012, 2013, 2014
2010-02-04
... have aggregate investment characteristics, fundamental characteristics, and liquidity measures similar... SECURITIES AND EXCHANGE COMMISSION [Investment Company Act Release No. 29127; 812-13559] Shariah... the Investment Company Act of 1940 (the ``Act'') for an exemption from sections 2(a)(32), 5(a)(1), 22...
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Federal Register 2010, 2011, 2012, 2013, 2014
2012-10-26
... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-68076; File No. SR-FINRA-2012-047] Self.... Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (``Act''),\\1\\ and Rule 19b-4 thereunder..., Inc. (``FINRA'') filed with the Securities and Exchange Commission (``SEC'' or ``Commission'') the...
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Federal Register 2010, 2011, 2012, 2013, 2014
2012-08-14
... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-67621; File No. SR-FICC-2012-05] Self... Corporation (``FICC'') filed with the Securities and Exchange Commission (``Commission'') the proposed rule change SR-FICC-2012-05 pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (``Act'').\\1...
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Federal Register 2010, 2011, 2012, 2013, 2014
2010-12-03
... things, that transactions in security-based swaps be cleared through a clearing agency that is registered... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-63390; File No. S7-17-09] Order Extending Temporary Conditional Exemptions Under the Securities Exchange Act of 1934 in Connection With Request on...
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Federal Register 2010, 2011, 2012, 2013, 2014
2013-10-22
... Rule 5270 defines the term ``related financial instrument'' as ``any option, derivative, security-based... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-70625; File No. SR-EDGA-2013-29] Self...) of the Securities Exchange Act of 1934 (the ``Act''),\\1\\ and Rule 19b-4 thereunder,\\2\\ notice is...
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Federal Register 2010, 2011, 2012, 2013, 2014
2013-12-26
... Tapes, eliminated the distinction between Derivative Securities Products and Non-Derivative Securities... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-71137; File No. SR-CHX-2013-22] Self-Regulatory...) \\1\\ of the Securities Exchange Act of 1934 (``Act'') \\2\\ and Rule 19b-4 thereunder,\\3\\ notice is...
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Federal Register 2010, 2011, 2012, 2013, 2014
2010-08-04
... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-62588; File No. SR-EDGA-2010-08] Self-Regulatory Organizations; EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend EDGA Rule 11.12 July 29, 2010. Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (the ``Act''),\\1\\ and Rule 19b-4...
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Federal Register 2010, 2011, 2012, 2013, 2014
2010-08-04
... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-62587; File No. SR-EDGX-2010-08] Self-Regulatory Organizations; EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend EDGX Rule 11.12 July 29, 2010. Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (the ``Act''),\\1\\ and Rule 19b-4...
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75 FR 22874 - Claymore Exchange-Traded Fund Trust 3, et al.; Notice of Application
Federal Register 2010, 2011, 2012, 2013, 2014
2010-04-30
... SECURITIES AND EXCHANGE COMMISSION [Investment Company Act Release No. 29256; File No. 812-13534... the Investment Company Act of 1940 (``Act'') for an exemption from sections 2(a)(32), 5(a)(1), 22(d... management investment companies to issue shares (``Shares'') redeemable in large aggregations only...
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78 FR 79519 - IndexIQ ETF Trust, et al.; Notice of Application
Federal Register 2010, 2011, 2012, 2013, 2014
2013-12-30
... SECURITIES AND EXCHANGE COMMISSION [Investment Company Act Release No. 30844; 812-14153] IndexIQ ETF Trust, et al.; Notice of Application December 23, 2013. AGENCY: Securities and Exchange Commission... Company Act of 1940 (the ``1940 Act'') for exemptions from sections 12(d)(1)(A), (B), and (C) of the 1940...
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78 FR 48729 - Aspiriant Global Equity Trust and Aspiriant, LLC; Notice of Application
Federal Register 2010, 2011, 2012, 2013, 2014
2013-08-09
... SECURITIES AND EXCHANGE COMMISSION [Investment Company Act Release No. 30640; File No. 812-14155] Aspiriant Global Equity Trust and Aspiriant, LLC; Notice of Application August 5, 2013. AGENCY: Securities and Exchange Commission (``Commission''). ACTION: Notice of an application under section 6(c) of the Investment Company Act of 1940 (``Act'')...
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Federal Register 2010, 2011, 2012, 2013, 2014
2013-04-16
... security for inclusion in the Fund's portfolio to have aggregate investment characteristics, fundamental... SECURITIES AND EXCHANGE COMMISSION [Investment Company Act Release No. 30459; File No. 812-13887... an order under section 6(c) of the Investment Company Act of 1940 (the ``Act'') for an exemption from...
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78 FR 2700 - First Trust Exchange-Traded Fund, et al.; Notice of Application
Federal Register 2010, 2011, 2012, 2013, 2014
2013-01-14
... SECURITIES AND EXCHANGE COMMISSION [Investment Company Act Release No. 30345; File No. 812-13895...)(J) of the Investment Company Act of 1940 (the ``1940 Act'') for exemptions from sections 12(d)(1)(A... certain registered open-end management investment companies that operate as ``funds of funds'' to acquire...
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77 FR 60484 - PowerShares Exchange-Traded Fund Trust, et al.; Notice of Application
Federal Register 2010, 2011, 2012, 2013, 2014
2012-10-03
... SECURITIES AND EXCHANGE COMMISSION [Investment Company Act Release No. 30222; 812-13820] Power... 12(d)(1)(J) of the Investment Company Act of 1940 (the ``Act'') for exemptions from sections 12(d)(1... certain registered open-end management investment companies that operate as ``funds of funds'' to acquire...
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76 FR 55427 - Horizon Technology Finance Corporation, et al.; Notice of Application
Federal Register 2010, 2011, 2012, 2013, 2014
2011-09-07
... SECURITIES AND EXCHANGE COMMISSION [Investment Company Act Release No. 29777; 812-13876] Horizon Technology Finance Corporation, et al.; Notice of Application August 31, 2011. AGENCY: Securities and Exchange Commission (Commission). ACTION: Notice of an application for an order under section 6(c) of the Investment Company Act of 1940 (the ``Act'...
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Federal Register 2010, 2011, 2012, 2013, 2014
2010-07-07
... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-62416; File No. SR-FINRA-2010-033] Self.... Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (``Act'') \\1\\ and Rule 19b-4 thereunder.... (``FINRA'') filed with the Securities and Exchange Commission (``Commission'') the proposed rule change as...
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Federal Register 2010, 2011, 2012, 2013, 2014
2012-11-27
... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-68267; File No. SR-Phlx-2012-133] Self...) of the Securities Exchange Act of 1934 (``Act'') \\1\\ and Rule 19b-4 thereunder,\\2\\ notice is hereby... Securities and Exchange Commission (``Commission'') the proposed rule change as described in Items I and II...
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Federal Register 2010, 2011, 2012, 2013, 2014
2011-11-10
... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-65690; File No. SR-CBOE-2011-103] Self... Effectiveness of a Proposed Rule Change To Clarify the Process for the Qualification of the Customer Large Trade Discount November 4, 2011. Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (the ``Act...
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Federal Register 2010, 2011, 2012, 2013, 2014
2013-11-27
... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-70910; File No. SR-NYSEMKT-2013-91] Self... the Securities Exchange Act of 1934 (the ``Act'') \\2\\ and Rule 19b-4 thereunder,\\3\\ notice is hereby... and Exchange Commission (``Commission'') the proposed rule change as described in Items I and II below...
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Federal Register 2010, 2011, 2012, 2013, 2014
2013-09-16
... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-70358; File No. SR-FINRA-2013-031] Self...'') filed with the Securities and Exchange Commission (``Commission''), pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (``Act'') \\1\\ and Rule 19b-4 thereunder,\\2\\ a proposed rule change to amend...
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Federal Register 2010, 2011, 2012, 2013, 2014
2013-11-20
... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-70876; File No. SR-FINRA-2013-048] Self... Securities Exchange Act of 1934 (``Act'') \\1\\ and Rule 19b-4 thereunder,\\2\\ notice is hereby given that on... and Exchange Commission (``Commission'') the proposed rule change as described in Items I, II, and III...
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Federal Register 2010, 2011, 2012, 2013, 2014
2011-11-29
... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-65806; File No. SR-NYSEArca-2011-88] Self.... Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (``Act'') \\1\\ and Rule 19b-4 thereunder... Arca'') filed with the Securities and Exchange Commission (``Commission'') the proposed rule change as...
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Federal Register 2010, 2011, 2012, 2013, 2014
2010-04-09
... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-61831; File No. SR-NYSEArca-2010-20] Self... Section 19(b)(1) of the Securities Exchange Act of 1934 (the ``Act''),\\1\\ and Rule 19b-4 thereunder,\\2... with the Securities and Exchange Commission (the ``Commission'') the proposed rule change as described...
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Federal Register 2010, 2011, 2012, 2013, 2014
2011-11-29
... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-65805; File No. SR-NYSEAmex-2011-89] Self... to Section 19(b)(1) of the Securities Exchange Act of 1934 (``Act'') \\1\\ and Rule 19b-4 thereunder,\\2...'') filed with the Securities and Exchange Commission (``Commission'') the proposed rule change as described...
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Federal Register 2010, 2011, 2012, 2013, 2014
2011-05-12
... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-64424; File No. SR-FINRA-2011-023] Self... the Securities Exchange Act of 1934 (``Act'') \\1\\ and Rule 19b-4 thereunder,\\2\\ notice is hereby given... Securities and Exchange Commission (``SEC'' or ``Commission'') the proposed rule change as described in Items...
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Federal Register 2010, 2011, 2012, 2013, 2014
2011-03-03
... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-63960; File No. SR-FINRA-2011-008] Self... Public Quotation in an OTC Equity Security February 24, 2011. Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (``Exchange Act'') \\1\\ and Rule 19b-4 thereunder,\\2\\ notice is hereby given...
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Federal Register 2010, 2011, 2012, 2013, 2014
2012-01-18
... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-66134; File No. SR-NYSE-2011-68] Self... Proposed Rule Change Amending NYSE Rule 80C, Which Provides for Trading Pauses in Individual Securities Due... January 11, 2012. Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (the ``Act''),\\1...
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Federal Register 2010, 2011, 2012, 2013, 2014
2013-01-08
... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-68561; File No. SR-NYSEMKT-2012-86] Self... Market (``Nasdaq'') Securities To Be Traded on the Exchange Pursuant to a Grant of Unlisted Trading Privileges January 2, 2013. Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (the ``Act...
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Federal Register 2010, 2011, 2012, 2013, 2014
2013-10-22
... option, derivative, security-based swap, or other financial instrument overlying a security, the value of... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-70626; File No. SR-EDGX-2013-36] Self...) of the Securities Exchange Act of 1934 (the ``Act''),\\1\\ and Rule 19b-4 thereunder,\\2\\ notice is...
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Federal Register 2010, 2011, 2012, 2013, 2014
2012-01-24
... order management systems which permit them to share information about orders or transactions being... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-66177; File No. SR-CHX-2012-02] Self-Regulatory.... Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (``Act'') \\1\\ and Rule 19b-4 thereunder...
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Federal Register 2010, 2011, 2012, 2013, 2014
2012-01-30
... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-66218; File No. SR-NYSE-2012-01] Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule Change To Establish an NYBX Immediate-or-Cancel Order January 24, 2012. Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (``Act'') \\1\\ and Rule 19b-4...
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78 FR 79511 - IndexIQ ETF Trust, et al.; Notice of Application
Federal Register 2010, 2011, 2012, 2013, 2014
2013-12-30
... SECURITIES AND EXCHANGE COMMISSION [Investment Company Act Release No. 30843; File No. 812-14053] IndexIQ ETF Trust, et al.; Notice of Application December 23, 2013. AGENCY: Securities and Exchange... Investment Company Act of 1940 (the ``Act'') for an exemption from sections 2(a)(32), 5(a)(1), 22(d), and 22...
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75 FR 71744 - Fifth Street Finance Corp., et al.; Notice of Application
Federal Register 2010, 2011, 2012, 2013, 2014
2010-11-24
... SECURITIES AND EXCHANGE COMMISSION [Investment Company Act Release No. 29500; 812-13698] Fifth Street Finance Corp., et al.; Notice of Application November 18, 2010. AGENCY: Securities and Exchange Commission (``Commission''). ACTION: Notice of an application for an order under section 6(c) of the Investment Company Act of 1940 (the ``Act'') for...
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77 FR 14839 - Harris & Harris Group, Inc.; Notice of Application
Federal Register 2010, 2011, 2012, 2013, 2014
2012-03-13
... SECURITIES AND EXCHANGE COMMISSION [Investment Company Act Release No. 29976; 812-13313] Harris & Harris Group, Inc.; Notice of Application March 7, 2012. AGENCY: Securities and Exchange Commission... from section 23(c) of the Act. SUMMARY OF THE APPLICATION: Harris & Harris Group, Inc. (``Applicant...
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Federal Register 2010, 2011, 2012, 2013, 2014
2010-06-30
... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-62369; File No. SR-NYSEArca-2010-59] Self... 19(b)(1) of the Securities Exchange Act of 1934 (``Act'') \\1\\ and Rule 19b-4 thereunder,\\2\\ notice is hereby given that, on June 17, 2010, NYSE Arca, Inc. (``NYSE Arca'' or the ``Exchange'') filed with the...
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Federal Register 2010, 2011, 2012, 2013, 2014
2010-06-30
... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-62370; File No. SR-NYSEAmex-2010-62] Self... Section 19(b)(1) of the Securities Exchange Act of 1934 (``Act'') \\1\\ and Rule 19b-4 thereunder,\\2\\ notice is hereby given that, on June 17, 2010, NYSE Amex LLC (``NYSE Amex'' or the ``Exchange'') filed with...
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Federal Register 2010, 2011, 2012, 2013, 2014
2013-05-08
... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-69498; File No. SR-Phlx-2013-42] Self... Securities Exchange Act of 1934 (the ``Act'') \\2\\ and Rule 19b-4 thereunder,\\3\\ notice is hereby given that, on April 23, 2013, NASDAQ OMX PHLX LLC (the ``Exchange'' or ``Phlx'') filed with the Securities and...
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Federal Register 2010, 2011, 2012, 2013, 2014
2013-07-15
... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-69952; File No. SR-NYSEMKT-2013-61] Self... Stock Market Securities Traded on the Exchange Pursuant to A Grant of Unlisted Trading Privileges July 9, 2013. Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (``Act'') \\1\\ and Rule 19b-4...
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Federal Register 2010, 2011, 2012, 2013, 2014
2011-07-07
... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-64796; File No. S7-28-11] Order Pursuant to Section 36 of the Securities Exchange Act of 1934 Granting Temporary Exemptions From Clearing Agency... Services for Security-Based Swaps July 1, 2011. I. Introduction Title VII of the Dodd-Frank Wall Street...
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Federal Register 2010, 2011, 2012, 2013, 2014
2010-08-04
... Derivative Security products under NSX Rule 15.9. Proposed Rule 11.1(c) provides for the benefit of ETP... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-62601; File No. SR-NSX-2010-09] Self-Regulatory... Hours July 29, 2010. Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (the ``Act...
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Federal Register 2010, 2011, 2012, 2013, 2014
2011-07-18
... to make certain changes to their trading and order management systems, the NYSE filed to delay to May... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-64860; File No. SR-NYSE-2011-32] Self..., 2011 July 12, 2011. Pursuant to Section 19(b)(1) \\1\\ of the Securities Exchange Act of 1934 (the ``Act...
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26 CFR 1.1092(c)-4 - Definitions.
Code of Federal Regulations, 2010 CFR
2010-04-01
... Exchange Act Release No. 34-36841 (Feb. 21, 1996); or (ii) Self-Regulatory Organizations; Order Approving... 27, 1996); or (iii) Self-Regulatory Organizations; Order Approving Proposed Rule Change and Notice of... equity option— (1) That is described in any of the following Securities Exchange Act Releases— (i) Self...
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78 FR 59383 - Principal Management Corporation, et al.; Notice of Application
Federal Register 2010, 2011, 2012, 2013, 2014
2013-09-26
... sections 12(d)(1)(A) and (B) of the Act. Applicants: Principal Management Corporation (``PMC''), Principal... SECURITIES AND EXCHANGE COMMISSION [Investment Company Act Release No. 30692; 812-14136] Principal Management Corporation, et al.; Notice of Application September 20, 2013. AGENCY: Securities and Exchange...
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76 FR 49698 - Covered Securities Pursuant to Section 18 of the Securities Act of 1933
Federal Register 2010, 2011, 2012, 2013, 2014
2011-08-11
... [Release No. 33-9251; File No. S7-31-11] RIN 3235-AL20 Covered Securities Pursuant to Section 18 of the... under Section 18 of the Securities Act of 1933 (``Securities Act''), as amended, to designate certain securities on BATS Exchange, Inc. (``BATS'' or ``Exchange'') as covered securities for purposes of Section 18...
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75 FR 54662 - Privacy Act of 1974: Systems of Records
Federal Register 2010, 2011, 2012, 2013, 2014
2010-09-08
..., Chief Privacy Officer, Office of Information Technology, 202-551-7209. In the Federal Register of August... SECURITIES AND EXCHANGE COMMISSION [Release No. PA-44A; File No. S7-17-10] Privacy Act of 1974: Systems of Records AGENCY: Securities and Exchange Commission. ACTION: Notice to establish systems of...
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75 FR 68012 - Notice of Intention To Cancel Registrations of Certain Transfer Agents
Federal Register 2010, 2011, 2012, 2013, 2014
2010-11-04
... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-63211] Notice of Intention To Cancel Registrations of Certain Transfer Agents October 29, 2010. Notice is hereby given that the Securities and... Securities Exchange Act of 1934 (``Act''),\\1\\ cancelling the registrations of the transfer agents whose names...
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77 FR 74230 - PNC Capital Advisors, LLC, et al.; Notice of Application
Federal Register 2010, 2011, 2012, 2013, 2014
2012-12-13
..., is organized as a Delaware limited liability company and is a registered investment adviser under the... Delaware limited liability company, and is a registered broker-dealer under the Securities Exchange Act of... SECURITIES AND EXCHANGE COMMISSION [Investment Company Act Release No. 30298; File No. 812-14055...
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Federal Register 2010, 2011, 2012, 2013, 2014
2010-12-08
... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-63417; File No. SR-NSCC-2010-17] Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing and Immediate... to Section 19(b)(1) of the Securities Exchange Act of 1934 (``Act''),\\1\\ notice is hereby given that...
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77 FR 16871 - Forward Funds, et al.; Notice of Application
Federal Register 2010, 2011, 2012, 2013, 2014
2012-03-22
... SECURITIES AND EXCHANGE COMMISSION [Investment Company Act Release No. 29982; File No. 812-13996] Forward Funds, et al.; Notice of Application March 15, 2012. AGENCY: Securities and Exchange Commission (``Commission''). ACTION: Notice of an application under section 6(c) of the Investment Company Act of 1940...
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Federal Register 2010, 2011, 2012, 2013, 2014
2012-08-31
... Exchange on the matter at issue. Retail Liquidity Identifier Under proposed Rule 11.24(e), the Exchange... Exchange Act Release No. 61358 (January 14, 2010), 75 FR 3594 (January 21, 2010) (noting that dark pools...
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Federal Register 2010, 2011, 2012, 2013, 2014
2011-12-12
... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-65901; File No. SR-DTC-2011-10] Self-Regulatory... DTC participants. DTC's experience demonstrates that when participants, issuers, underwriters, agents... Exchange Act Release 24818 (August 19, 1987), 52 FR 31833 (August 24, 1987) (File No. SR-DTC-87-10); 25948...
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Federal Register 2010, 2011, 2012, 2013, 2014
2013-02-05
... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-68768; File No. SR-FINRA-2012-052] Self...'')), in the limited instances when members effect such transactions as agent and charge a commission.\\3... Exchange Act Release No. 68414 (December 12, 2012), 77 FR 74896 (``Notice''). \\5\\ See comment from Mark...
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Federal Register 2010, 2011, 2012, 2013, 2014
2011-07-06
... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-64769; File No. SR-NSCC-2011-04] Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing of Proposed Rule Change... to Section 19(b)(1) of the Securities Exchange Act of 1934 (``Act'') \\1\\ and Rule 19b-4 thereunder \\2...
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Federal Register 2010, 2011, 2012, 2013, 2014
2013-10-29
... similar rules to effect this industry-wide initiative.\\7\\ \\6\\ See Securities Exchange Act Release No. 34... business day. With respect to index options, restrictions on exercise may be in effect until the opening of... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-70747; File No. SR-NASDAQ-2013-133] Self...
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76 FR 60100 - The Singapore Fund, Inc.; Notice of Application
Federal Register 2010, 2011, 2012, 2013, 2014
2011-09-28
... SECURITIES AND EXCHANGE COMMISSION [Investment Company Act Release No. 29817; 812-13944] The Singapore Fund, Inc.; Notice of Application September 22, 2011. AGENCY: Securities and Exchange Commission.... ADDRESSES: Secretary, Securities and Exchange Commission, 100 F Street, NE., Washington, DC 20549-1090...
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Federal Register 2010, 2011, 2012, 2013, 2014
2010-01-28
... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-61400; File No. 10-198] BATS Y-Exchange, Inc... Securities Exchange Act of 1934 January 22, 2010. On October 20, 2009, BATS Y-Exchange, Inc. (``BATS Y... on BATS Y Exchange's Form 1. The Commission will take these comments into consideration in making its...
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Federal Register 2010, 2011, 2012, 2013, 2014
2012-03-13
..., as generally accepted for purposes of the securities laws, any accounting principles established by a... concluding that the Financial Accounting Standards Board (``FASB'') and its parent organization, the Financial Accounting Foundation (``FAF''), satisfied the criteria for an accounting standard-setting body...
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Federal Register 2010, 2011, 2012, 2013, 2014
2013-12-30
... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-71173; File No. SR-NASDAQ-2013-156] Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of.... Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (``Act'') \\1\\ and Rule 19b-4 thereunder...
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Federal Register 2010, 2011, 2012, 2013, 2014
2013-12-03
... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-70946; File No. SR-NSCC-2013-12] Self... Activity and Receive Notifications When Pre-Set Trading Limits are Reached November 26, 2013. Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (``Act'') \\1\\ and Rule 19b-4 thereunder,\\2\\ notice...
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Federal Register 2010, 2011, 2012, 2013, 2014
2013-12-18
... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-71060; File No. SR-NASDAQ-2013-151] Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of.... Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (``Act''),\\1\\ and Rule 19b-4 thereunder...
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Federal Register 2010, 2011, 2012, 2013, 2014
2013-09-09
... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-70299; File No. SR-MIAX-2013-40] Self-Regulatory Organizations: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change by Miami.... Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (``Act'') \\1\\ and Rule 19b-4 thereunder...
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Federal Register 2010, 2011, 2012, 2013, 2014
2013-12-03
... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-70945; File No. SR-NASDAQ-2013-142] Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of... the Securities Exchange Act of 1934 (``Act''),\\1\\ and Rule 19b-4 thereunder,\\2\\ notice is hereby given...
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Federal Register 2010, 2011, 2012, 2013, 2014
2010-09-23
... securities frauds that resulted in harm to investors, FINRA has reviewed its rule on arbitrator referrals and... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-62930; File No. SR-FINRA-2010-036] Self... September 17, 2010. Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (``Act'') \\1\\ and...
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Federal Register 2010, 2011, 2012, 2013, 2014
2013-10-02
... Pursuant to Rule 608 of Regulation NMS under the Act (the ``Limit Up-Limit Down Plan'' or the ``Plan'').\\7... Clearly Erroneous Rule should continue while the industry gains further experience operating the Limit Up-Limit Down Plan. \\5\\ Securities Exchange Act Release No. 62886 (September 10, 2010), 75 FR 56613...
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Federal Register 2010, 2011, 2012, 2013, 2014
2013-08-21
... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-70207; File No. SR-OCC-2013-12] Self-Regulatory...(b)(1) of the Securities Exchange Act of 1934 (``Act ''),\\1\\ and Rule 19b-4 thereunder,\\2\\ notice is hereby given that on August 2, 2013, The Options Clearing Corporation (``OCC'') filed with the Securities...
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Federal Register 2010, 2011, 2012, 2013, 2014
2013-06-21
... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-69774; File No. SR-FICC-2013-06] Self... Program for Certain Government Securities Division Rules Relating to the GCF Repo[supreg] Service June 17, 2013. Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (``Act''),\\1\\ notice is...
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Federal Register 2010, 2011, 2012, 2013, 2014
2013-11-14
... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-70831; File No. SR-FICC-2013-09] Self...[supreg] at FICC's Government Securities Division November 7, 2013. Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (``Act'') \\1\\ and Rule 19b-4 thereunder,\\2\\ notice is hereby given that, on...
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78 FR 54298 - Horizons ETFs Management (USA) LLC and Horizons ETF Trust; Notice of Application
Federal Register 2010, 2011, 2012, 2013, 2014
2013-09-03
... SECURITIES AND EXCHANGE COMMISSION [Investment Company Act Release No. 30680; 812-14178] Horizons ETFs Management (USA) LLC and Horizons ETF Trust; Notice of Application August 27, 2013. AGENCY: Securities and Exchange Commission (``Commission''). ACTION: Notice of an application for an order under section 6(c) of the Investment Company Act of...
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78 FR 29399 - ERNY Financial ETF Trust and ERNY Financial Advisors, LLC; Notice of Application
Federal Register 2010, 2011, 2012, 2013, 2014
2013-05-20
... SECURITIES AND EXCHANGE COMMISSION [Investment Company Act Release No. 30514; 812-14146] ERNY Financial ETF Trust and ERNY Financial Advisors, LLC; Notice of Application May 13, 2013. AGENCY: Securities and Exchange Commission (``Commission''). ACTION: Notice of an application for an order under section 6(c) of the Investment Company Act of 1940...
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Federal Register 2010, 2011, 2012, 2013, 2014
2010-09-02
... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-62787; File No. SR-FINRA-2010-045] Self... Effectiveness of Proposed Rule Change To Amend the Security Futures Risk Disclosure Statement August 27, 2010. Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (``Act'') \\1\\ and Rule 19b-4 thereunder...
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Federal Register 2010, 2011, 2012, 2013, 2014
2013-04-05
... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-69262; File No. SR-FINRA-2013-019] Self... Effectiveness of a Proposed Rule Change Relating to FINRA Rule 0180 (Application of Rules to Security-Based Swaps) April 1, 2013. Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (``Act'') \\1...
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Federal Register 2010, 2011, 2012, 2013, 2014
2012-12-26
... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-68468; File No. SR-FINRA-2012-055] Self...-Element Continuing Education Program To Qualify To Engage in a Security Futures Business December 19, 2012. Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (``Act'')\\1\\ and Rule 19b-4 thereunder...
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Federal Register 2010, 2011, 2012, 2013, 2014
2011-05-19
... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-64488; File No. SR-FICC-2011-03] Self... Clearing Fund Securities and Eligible Participants Fund Securities May 13, 2011. Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (``Act''),\\1\\ notice is hereby given that on May 10, 2011...
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Federal Register 2010, 2011, 2012, 2013, 2014
2011-07-18
... and member organizations to make certain changes to their trading and order management systems, the... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-64859; File No. SR-NYSEAmex-2011-47) Self... July 12, 2011. Pursuant to Section 19(b)(1) \\1\\ of the Securities Exchange Act of 1934 (the ``Act'') \\2...
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Federal Register 2010, 2011, 2012, 2013, 2014
2011-10-13
... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-65492; File No. SR-CBOE-2011-095] Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate... the SPX Tier Appointment October 6, 2011. Pursuant to Section 19(b)(1) of the Securities Exchange Act...
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Federal Register 2010, 2011, 2012, 2013, 2014
2011-02-24
... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-63927; File No. SR-CBOE-2011-008] Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Proposed Rule Change To... Volatility Indexes February 17, 2011. Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934...
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Federal Register 2010, 2011, 2012, 2013, 2014
2013-08-14
... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-70144; File No. SR-EDGA-2013-23] Self-Regulatory Organizations; EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Amendments to the EDGA Exchange, Inc. Fee Schedule August 8, 2013. Pursuant to Section 19(b)(1) of the Securities Exchange Act of...
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Federal Register 2010, 2011, 2012, 2013, 2014
2010-11-12
... these guidelines, DTC must, among other things, maintain a Total Risk-Based Capital Ratio of at least 10... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-63254; File No. SR-DTC-2010-14] Self-Regulatory... Preferred Stock November 5, 2010. Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (``Act...
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Federal Register 2010, 2011, 2012, 2013, 2014
2011-02-17
... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-63900; File No. SR-NASDAQ-2011-026] Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Offer Additional Routing Option February 14, 2011. Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (``Act'')...
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Federal Register 2010, 2011, 2012, 2013, 2014
2013-09-16
... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-70356; File No. SR-NYSEArca-2013-86] Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change To List and Trade Shares.... Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (``Act'') \\1\\ and Rule 19b-4 thereunder...
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Federal Register 2010, 2011, 2012, 2013, 2014
2012-10-19
... securities laws. It is suggested that the Company consult with corporate/securities counsel in assessing its... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-68053; File No. SR-NASDAQ-2012-118] Self... Section 19(b)(1) of the Securities Exchange Act of 1934 (``Act''),\\1\\ and Rule 19b-4 thereunder,\\2\\ notice...
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78 FR 16540 - AIP Series Trust and Morgan Stanley AIP GP LP; Notice of Application
Federal Register 2010, 2011, 2012, 2013, 2014
2013-03-15
... SECURITIES AND EXCHANGE COMMISSION [Investment Company Act Release No. 30420; File No. 812-14092] AIP Series Trust and Morgan Stanley AIP GP LP; Notice of Application March 11, 2013. AGENCY: Securities and Exchange Commission (``Commission''). ACTION: Notice of an application for an order under section 12(d)(1)(J) of the Investment Company Act o...
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Federal Register 2010, 2011, 2012, 2013, 2014
2013-12-27
... SECURITIES AND EXCHANGE COMMISSION [Release No. 71158; File No. SR-NASDAQ-2013-158] Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Acceptable Trade Range December 20, 2013. Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (``Act''),\\1...
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Federal Register 2010, 2011, 2012, 2013, 2014
2013-02-04
... limitations in order management systems and routing networks used by such member organizations may make it... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-68746; File No. SR-NYSEMKT-2013-07] Self.... Pursuant to Section 19(b)(1) \\1\\ of the Securities Exchange Act of 1934 (the ``Act'') \\2\\ and Rule 19b-4...
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Federal Register 2010, 2011, 2012, 2013, 2014
2010-01-05
... trading and order management systems, the NYSE filed to delay to May 14, 2008 the operative date of the... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-61250; File No. SR-NYSEAmex-2009-92] Self..., 2009. Pursuant to Section 19(b)(1) \\1\\ of the Securities Exchange Act of 1934 (the ``Act'') \\2\\ and...
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Federal Register 2010, 2011, 2012, 2013, 2014
2013-10-03
... that limitations in order management systems and routing networks used by such ETP Holders may make it... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-70565; File No. SR-NYSEARCA-2013-98] Self... September 30, 2013. Pursuant to Section 19(b)(1) \\1\\ of the Securities Exchange Act of 1934 (the ``Act'') \\2...
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Federal Register 2010, 2011, 2012, 2013, 2014
2010-07-27
... to their trading and order management systems, the NYSE filed to delay to May 14, 2008 the operative... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-62540; File No. SR-NYSEAmex-2010-70] Self..., 2010 July 21, 2010. Pursuant to Section 19(b)(1) \\1\\ of the Securities Exchange Act of 1934 (the ``Act...
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Federal Register 2010, 2011, 2012, 2013, 2014
2011-11-23
... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-65779; File No. SR-Phlx-2011-152] Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Perform a Test of Routing Functionality November 17, 2011. Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (``Act''),\\...
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Federal Register 2010, 2011, 2012, 2013, 2014
2013-02-26
...'') \\5\\, NASDAQ OMX BX, Inc (``BX Options'') \\6\\, and BOX Options Exchange LLC (``BOX'') \\7\\ eliminated... (November 2, 2012) (SR-BX-2012-069). \\7\\ See Securities Exchange Act Release No. 68412 (December 12, 2012... competitive market comprised of eleven U.S. options exchanges in which sophisticated and knowledgeable market...
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Federal Register 2010, 2011, 2012, 2013, 2014
2013-03-29
... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-69232; File No. SR-BX-2013-013] Self-Regulatory.... Introduction On February 6, 2013, NASDAQ OMX BX, Inc. (``Exchange'' or ``BX'') filed with the Securities and Exchange Commission (``Commission''), pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934...
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Federal Register 2010, 2011, 2012, 2013, 2014
2010-02-02
... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-61426; File No. SR-Phlx-2010-05] Self... Professional Orders January 26, 2010. Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934... PHLX, Inc. (``Phlx'' or ``Exchange'') filed with the Securities and Exchange Commission (``SEC'' or...
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Federal Register 2010, 2011, 2012, 2013, 2014
2012-07-05
... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-67294; File No. SR-PHLX-2012-68] Self.... Introduction On May 15, 2012, NASDAQ OMX PHLX LLC (``Exchange'' or ``PHLX'') filed with the Securities and Exchange Commission (``Commission''), pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934...
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Federal Register 2010, 2011, 2012, 2013, 2014
2013-10-22
... organization, is engaged in a securities or kindred business that is controlled by a member or member... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-70652; File No. SR-NYSE-2013-66] Self... The Exchange October 10, 2013. Pursuant to Section 19(b)(1) \\1\\ of the Securities Exchange Act of 1934...
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75 FR 63222 - Claymore Exchange-Traded Fund Trust, et al.;
Federal Register 2010, 2011, 2012, 2013, 2014
2010-10-14
... Exchange-Traded Fund Trust, et al.; Notice of Application October 7, 2010. AGENCY: Securities and Exchange... Fund Trust, et al., Investment Company Act Release Nos. 27469 (Aug. 28, 2006) (notice) and 27483 (Sept... investment companies and unit investment trusts outside of the same group of investment companies as the...
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Federal Register 2010, 2011, 2012, 2013, 2014
2010-02-04
.... Those public customers who continue to receive priority in the execution algorithm are called Priority... standard execution algorithm: \\3\\ Securities Exchange Act Release No. 59287 (January 23, 2009), 74 FR 5694...
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77 FR 69511 - Columbia ETF Trust, et al.; Notice of Application
Federal Register 2010, 2011, 2012, 2013, 2014
2012-11-19
... as explained below, is an open-end management investment company registered under the Act and is... SECURITIES AND EXCHANGE COMMISSION [Investment Company Act Release No. 30260; File No. 812-14037...) of the Investment Company Act of 1940 (the ``Act'') for an exemption from section 17(a) of the Act...
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77 FR 40659 - AQR Capital Management, LLC, et al.; Notice of Application
Federal Register 2010, 2011, 2012, 2013, 2014
2012-07-10
... SECURITIES AND EXCHANGE COMMISSION [Investment Company Act Release No. 30128; 812-13833] AQR... Investment Company Act of 1940 (the ``Act'') for an exemption from sections 12(d)(1)(A) and (B) of the Act... Application: The requested order would (a) permit certain registered management investment companies to...
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78 FR 14366 - Triangle Capital Corporation; Notice of Application
Federal Register 2010, 2011, 2012, 2013, 2014
2013-03-05
... SECURITIES AND EXCHANGE COMMISSION [Investment Company Act Release No. 30410; 812-14077] Triangle... Company Act of 1940 (the ``Act'') for exemptions from sections 23(a), 23(b) and 63 of the Act, and under sections 57(a)(4) and 57(i) of the Act and rule 17d-1 under the Act authorizing certain joint transactions...
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75 FR 1662 - Submission for OMB Review; Comment Request
Federal Register 2010, 2011, 2012, 2013, 2014
2010-01-12
..., 113 Stat. 1338 (1999). \\3\\ See 15 U.S.C. 78q(i). \\4\\ See Exchange Act Release No. 49831 (Jun. 8, 2004), 69 FR 34472 (Jun. 21, 2004). SIBHCs, as well as recordkeeping and reporting requirements. Among other... Act Release No. 49831, at 6 (Jun. 8, 2004), 69 FR 34472, at 34473 (Jun. 21, 2004). Pursuant to Section...
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Federal Register 2010, 2011, 2012, 2013, 2014
2011-03-04
... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-63981; File No. SR-Phlx-2011-13] Self... Regulations February 25, 2011. Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (``Act'')\\1... from interested persons. \\1\\ 15 U.S.C. 78s(b)(1). \\2\\ 17 CFR 240.19b-4. I. Self-Regulatory Organization...
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Federal Register 2010, 2011, 2012, 2013, 2014
2011-06-28
... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-64724; File No. SR-NASDAQ-2011-085] Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt a Market Order Timer June 22, 2011. Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (``Act''),\\1\\ and...
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Federal Register 2010, 2011, 2012, 2013, 2014
2011-11-23
... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-65780; File No. SR-BX-2011-076] Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Perform a Test of Routing Functionality November 17, 2011. Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (``Act''),\\1\\...
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Federal Register 2010, 2011, 2012, 2013, 2014
2010-05-21
... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-62102; File No. SR-BATS-2010-011] Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend BATS Rule 11.9, Entitled ``Orders and Modifiers'' May 13, 2010. Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 ...
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Federal Register 2010, 2011, 2012, 2013, 2014
2011-07-08
.... See Rule 1064(e). See also Securities Exchange Act Release No. 64688 (June 16, 2011) (SR-Phlx- 2011-56... permitted to enter Floor QCC Orders. See Exchange Rule 1064. Exchange Rule 1064(e)(2) prohibits Options... pursuant to Exchange Rule 1064 when such members are trading in their own proprietary account. Firms that...
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Federal Register 2010, 2011, 2012, 2013, 2014
2013-12-23
... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-71093; File No. SR-CBOE-2013-118] Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Trades for Less Than $1 December 17, 2013. Pursuant to Section 19(b)(1) of the Securities Exchange Act of...
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Federal Register 2010, 2011, 2012, 2013, 2014
2012-10-10
... Rule Change To Make Non-Substantive Clarifications to the Exchange's Schedule of Fees October 3, 2012... schedule'').\\3\\ The Exchange did not propose to make any substantive changes in that filing, and did not... fees. \\3\\ See Exchange Act Release No. 67545 (July 31, 2012), 77 FR 46776 (August 6, 2012) (SR-ISE-2012...
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Federal Register 2010, 2011, 2012, 2013, 2014
2011-08-02
... reasonable fees incurred for processing such orders. \\3\\ See Securities Exchange Act Release No. 61152... orders is an equitable allocation of reasonable fees because such orders require processing and the assessment of such fees allows the Exchange to recoup costs incurred processing such orders, as well as...
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Federal Register 2010, 2011, 2012, 2013, 2014
2013-11-27
... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-70919; File No. S7-04-09] Order Extending... of Rule 17g-5 Under the Securities Exchange Act of 1934 and Request for Comment November 22, 2013. I. Introduction On May 19, 2010, the Securities and Exchange Commission (``Commission'') conditionally exempted...
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Federal Register 2010, 2011, 2012, 2013, 2014
2012-11-23
... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-68253; File No. SR-ICC-2012-20] Self-Regulatory... Single Name Contract November 16, 2012. Pursuant to Section 19(b)(1) of the Securities Exchange Act of... Clear Credit LLC (``ICC'') filed with the Securities and Exchange Commission (``Commission'') the...
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Federal Register 2010, 2011, 2012, 2013, 2014
2012-12-21
... things, the telephone services provided by third-party carriers to the Exchange were still not fully... intermittent phone and internet service. Specifically, the wired telephone lines and internet connections for... and Internet issues. \\6\\ See Securities Exchange Act Release No. 68161 (Nov. 5, 2012), 77 FR 67704...
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77 FR 29394 - Van Eck VIP Trust, et al.; Notice of Application
Federal Register 2010, 2011, 2012, 2013, 2014
2012-05-17
... outstanding voting stock of the registered closed-end investment company. 2. Section 12(d)(1)(J) of the Act... SECURITIES AND EXCHANGE COMMISSION [Investment Company Act Release No. 30063; 812-13846] Van Eck... Investment Company Act of 1940 (``Act'') for an exemption from sections 12(d)(1)(A) and (C) of the Act...
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Federal Register 2010, 2011, 2012, 2013, 2014
2012-07-17
... agent and fund accounting agent for the Fund. \\4\\ See Securities Exchange Act Release No. 63737 (January... exchange-traded notes (``ETNs'', and, collectively with ETFs and ETPs, ``Underlying ETPs'').\\7\\ In contrast...
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76 FR 60094 - DFA Investment Dimensions Group Inc., et al.; Notice of Application
Federal Register 2010, 2011, 2012, 2013, 2014
2011-09-28
... SECURITIES AND EXCHANGE COMMISSION [Investment Company Act Release No. 29820; File No. 812-13943] DFA Investment Dimensions Group Inc., et al.; Notice of Application September 22, 2011. AGENCY... the Investment Company Act of 1940 (``Act'') for an exemption from rule 12d1-2(a) under the Act...
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Federal Register 2010, 2011, 2012, 2013, 2014
2012-03-27
... SECURITIES AND EXCHANGE COMMISSION [Investment Company Act Release No. 29984; 812-13971] Domini Social Investment Trust and Domini Social Investments LLC; Notice of Application March 21, 2012. AGENCY... the Investment Company Act of 1940 (``Act'') for an exemption from section 15(a) of the Act and rule...
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77 FR 16282 - Columbia Funds Master Investment Trust, LLC, et al.; Notice of Application
Federal Register 2010, 2011, 2012, 2013, 2014
2012-03-20
... SECURITIES AND EXCHANGE COMMISSION [Investment Company Act Release No. 29980; File No. 812-13955... the Investment Company Act of 1940 (``Act'') for an exemption from rule 12d1-2(a) under the Act. SUMMARY OF APPLICATION: Applicants request an order to permit open-end management investment companies...
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76 FR 60096 - Fifth Third Funds, et al.; Notice of Application
Federal Register 2010, 2011, 2012, 2013, 2014
2011-09-28
... SECURITIES AND EXCHANGE COMMISSION [Investment Company Act Release No. 29819; File No. 812-13893... Investment Company Act of 1940 (the ``Act'') for an exemption from sections 12(d)(1)(A) and (B) of the Act... investment companies that operate as ``funds of funds'' to acquire shares of certain registered open-end...
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77 FR 6152 - Henderson Global Funds, et al.; Notice of Application
Federal Register 2010, 2011, 2012, 2013, 2014
2012-02-07
... SECURITIES AND EXCHANGE COMMISSION [Investment Company Act Release No. 29942; File No. 812-13950... Investment Company Act of 1940 (the ``Act'') for an exemption from sections 12(d)(1)(A) and (B) of the Act... Application: The requested order would (a) permit certain registered open-end management investment companies...
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77 FR 58873 - Financial Investors Trust, et al.; Notice of Application
Federal Register 2010, 2011, 2012, 2013, 2014
2012-09-24
... SECURITIES AND EXCHANGE COMMISSION [Investment Company Act Release No. 30205; File No. 812-13985... Investment Company Act of 1940 (the ``Act'') for an exemption from sections 12(d)(1)(A) and (B) of the Act... APPLICATION: The requested order would (a) permit certain registered open-end management investment companies...
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76 FR 48929 - American Capital, Ltd.; Notice of Application
Federal Register 2010, 2011, 2012, 2013, 2014
2011-08-09
... rights at the time of issuance may not exceed 25% of the BDC's outstanding voting securities, except that... SECURITIES AND EXCHANGE COMMISSION [Investment Company Act Release No. 29744; File No. 812-13853... Investment Company Act of 1940 (the ``Act''). Summary of Application: Applicant, American Capital, Ltd...
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Federal Register 2010, 2011, 2012, 2013, 2014
2011-05-16
... accounting support fees to the Financial Accounting Foundation.\\4\\ \\3\\ See 15 U.S.C. 78o-4. \\4\\ See 15 U.S.C... Financial Accounting Foundation.\\5\\ Any fees or funds collected shall be used to support the efforts of the GASB to establish standards of financial accounting and reporting recognized as generally accepted...
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Federal Register 2010, 2011, 2012, 2013, 2014
2010-12-15
... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-63509; File No. SR-Phlx-2010-157] Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1, Relating to Complex Orders December 9, 2010. Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (``Act''),\\1\\ and Rule...
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Federal Register 2010, 2011, 2012, 2013, 2014
2013-12-26
... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-71145; File No. SR-OC-2013-03] Self-Regulatory Organizations; OneChicago, LLC; Notice of Filing of Proposed Rule Change To Amend Rules 143 and 417 Relating to Block Trade Reporting December 19, 2013. Pursuant to Section 19(b)(7) of the Securities Exchange Act of 1934 (the ``Act''),\\1\\ notice is...
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Federal Register 2010, 2011, 2012, 2013, 2014
2013-02-28
... time such series are first opened for trading.\\12\\ \\12\\ See ISE Rule 2009(c)(3). The term ``reasonably... time such series of options is first opened for trading on the Exchange. The Exchange may also open for... Exchange Act Release No. 55575 (April 3, 2007), 72 FR 17963 (April 10, 2007) (SR-ISE-2006-59). Index Design...
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Federal Register 2010, 2011, 2012, 2013, 2014
2011-09-28
... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-65380; File No. SR-C2-2011-017] Self-Regulatory Organizations; C2 Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adopt a Market-Maker Trade Prevention Order September 22, 2011. Pursuant to Section 19(b)(1) of the Securities Exchange Act...
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Federal Register 2010, 2011, 2012, 2013, 2014
2011-11-21
... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-65744; File No. SR-C2-2011-034] Self-Regulatory Organizations; C2 Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to the Quote Risk Monitor Mechanism November 14, 2011. Pursuant to Section 19(b)(1) of the Securities Exchange Act of 193...
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78 FR 17240 - Krane Funds Advisors LLC., et al.; Notice of Application
Federal Register 2010, 2011, 2012, 2013, 2014
2013-03-20
... SECURITIES AND EXCHANGE COMMISSION [Investment Company Act Release No. 30425; 812-13989] Krane... Investment Company Act of 1940 (``Act'') for an exemption from sections 2(a)(32), 5(a)(1), 22(d) and 22(e) of... Trust (``Trust'') and SEI Investments Distribution Company (``Distributor''). SUMMARY: Summary of...
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77 FR 22616 - Huntington Asset Advisors, Inc., et al.; Notice of Application
Federal Register 2010, 2011, 2012, 2013, 2014
2012-04-16
... SECURITIES AND EXCHANGE COMMISSION [Investment Company Act Release No. 30032; 812-13785... the Investment Company Act of 1940 (``Act'') for an exemption from sections 2(a)(32), 5(a)(1), 22(d...''), Huntington Strategy Shares (``Trust''), and SEI Investments Distribution Co. Summary of Application...
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77 FR 43868 - Credit Suisse Asset Management, LLC, et al.; Notice of Application
Federal Register 2010, 2011, 2012, 2013, 2014
2012-07-26
... SECURITIES AND EXCHANGE COMMISSION [Investment Company Act Release No. 30144; 812-13966] Credit...)(J) of the Investment Company Act of 1940 (the ``Act'') for an exemption from sections 12(d)(1)(A... investment companies to acquire shares of certain registered open-end management investment companies that...
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76 FR 50117 - Commission Rules and Forms Related to the FASB's Accounting Standards Codification
Federal Register 2010, 2011, 2012, 2013, 2014
2011-08-12
... [Release Nos. 33-9250; 34-65052; IC-29748] Commission Rules and Forms Related to the FASB's Accounting... Accounting Standards Codification\\TM\\ (``FASB Codification'').\\1\\ The technical amendments include revision... prescribed under the Securities Act, Exchange Act and Investment Company Act. \\1\\ ``FASB Accounting Standards...
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Federal Register 2010, 2011, 2012, 2013, 2014
2011-03-04
... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-63977; File No. SR-NYSE-2011-05] Self... of Regulation SHO Under the Securities Exchange Act of 1934 February 25, 2011. Pursuant to Section 19... change as described in Items I and II below, which Items have been substantially prepared by the self...
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Federal Register 2010, 2011, 2012, 2013, 2014
2010-04-12
... Exchange proposes to extend the operation of its Supplemental Liquidity Providers Pilot (``SLP Pilot'' or..., 2008) (SR-NYSE-2008-108) (establishing the SLP Pilot). See also Securities Exchange Act Release No. 59869 (May 6, 2009), 74 FR 22796 (May 14, 2009) (SR- NYSE-2009-46) (extending the operation of the SLP...
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Federal Register 2010, 2011, 2012, 2013, 2014
2013-10-22
... made; rather, the Exchange has been working to, generally, provide more useful interfaces for the ultimate user, the Floor Broker. \\3\\ Securities Exchange Act Release No. 69471 (April 29, 2013), 78 FR... implement the changes by the end of December 2013; the Exchange will announce the specific date in advance...
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Federal Register 2010, 2011, 2012, 2013, 2014
2013-04-18
... and trading on the Exchange of options on one foreign currency index-- the Dow Jones FXCM Dollar Index...'s foreign currency options (``FX Options'') \\4\\ and will have European- style exercise provisions... currencies. See Securities Exchange Act Release No. 55575 (April 3, 2007), 72 FR 17963 (April 10, 2007) (SR...
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Federal Register 2010, 2011, 2012, 2013, 2014
2010-07-15
... Rule Change to List and Trade Options on the Sprott Physical Gold Trust July 8, 2010. Pursuant to... Exchange Commission (``SEC'' or ``Commission'') authorized ISE to list and trade options on the SPDR Gold... list and trade options on the Sprott Physical Gold Trust. \\5\\ See Securities Exchange Act Release No...
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Federal Register 2010, 2011, 2012, 2013, 2014
2011-06-29
... Changes Relating To Expanding the Pilot Rule for Trading Pauses Due to Extraordinary Market Volatility to... levels. This severe price volatility led to a large number of trades being executed at temporarily... intended to address extraordinary market volatility in NMS stocks. See Securities Exchange Act Release No...
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Federal Register 2010, 2011, 2012, 2013, 2014
2013-10-02
... of Regulation NMS under the Act (the ``Limit Up- Limit Down Plan'' or the ``Plan'').\\6\\ The Exchange... Erroneous Rule should continue while the industry gains further experience operating the Limit Up-Limit Down... (June 6, 2012) (the ``Limit Up-Limit Down Release''); see also ISE Rule 2128(i). The Exchange also...
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Federal Register 2010, 2011, 2012, 2013, 2014
2013-11-29
... of Rule 19d-1(c)(1) of the Act \\3\\ requiring that a self- regulatory organization (``SRO'') promptly... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-70927; File No. 4-669] Self-Regulatory Organizations; Topaz Exchange, LLC; Notice of Filing of Proposed Minor Rule Violation Plan November 22, 2013...
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Federal Register 2010, 2011, 2012, 2013, 2014
2012-11-13
... Rule 19d-1(c)(1) of the Act \\3\\ requiring that a self- regulatory organization (``SRO'') promptly file... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-68170; File No. 4-655] Self-Regulatory Organizations; BOX Options Exchange LLC; Notice of Filing of Proposed Minor Rule Violation Plan November 6, 2012...
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Federal Register 2010, 2011, 2012, 2013, 2014
2013-10-22
... member organization, who controls a member organization, is engaged in a securities or kindred business... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-70653; File No. SR-NYSEMKT-2013-79] Self... the Exchange October 10, 2013. Pursuant to Section 19(b)(1) \\1\\ of the Securities Exchange Act of 1934...
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Federal Register 2010, 2011, 2012, 2013, 2014
2011-12-08
... price (e.g., the series might be quoted no bid).\\7\\ \\5\\ See Securities Exchange Act Release Nos. 59188... Options Audit Trail (``COATS'') requirements of Exchange Rule 6.24, Required Order Information. However... format as the COATS data is maintained. In this regard, all transactions for less than $1 must be...
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Federal Register 2010, 2011, 2012, 2013, 2014
2011-08-11
... the Exchange's Consolidated Book. \\5\\ See Securities Exchange Act Release No. 64688 (June 16, 2011... least equal to the NBBO and if there are no Customer Orders in the Exchange's Consolidated Book at the... of participants in mergers or with intentions to merge that have been announced or cancelled; and (f...
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Federal Register 2010, 2011, 2012, 2013, 2014
2010-02-09
... through December 31, 2010.\\3\\ In that filing, the Exchange had proposed expanding the Penny Pilot on a... will not be used for the purpose of the six month analysis.\\4\\ \\3\\ See Securities Exchange Act Release... Occidental Petroleum Corp. PARD Poniard Pharmaceuticals Inc. PEP PepsiCo Inc/NC. PM Philip Morris...
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Federal Register 2010, 2011, 2012, 2013, 2014
2012-01-13
... Institutional Brokers utilize an acceptable, integrated order management system. Proposed Rule 5(a) provides a... purposes of the Act. The Exchange believes that its provision of an order management system for certain of... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-66118; File No. SR-CHX-2011-33] Self-Regulatory...
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Federal Register 2010, 2011, 2012, 2013, 2014
2011-08-10
...- Institutional Broker units should not use trading or order management systems which permit them to share... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-65035; File No. SR-CHX-2011-20] Self-Regulatory... Unit Within the Firm August 4, 2011. Pursuant to Section 19(b)(1) of the Securities Exchange Act of...
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78 FR 72720 - Arrow Investment Advisors, LLC, et al.; Notice of Application
Federal Register 2010, 2011, 2012, 2013, 2014
2013-12-03
... SECURITIES AND EXCHANGE COMMISSION [Investment Company Act Release No. 30813; File No. 812-14157] Arrow Investment Advisors, LLC, et al.; Notice of Application November 26, 2013. AGENCY: Securities and...(d), and 22(e) of the Act and rule 22c-1 under the Act, under sections 6(c) and 17(b) of the Act for...
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75 FR 21048 - Northern Lights Fund Trust, et al.; Notice of Application
Federal Register 2010, 2011, 2012, 2013, 2014
2010-04-22
... SECURITIES AND EXCHANGE COMMISSION [Investment Company Act Release No. 29208; 812-13651] Northern Lights Fund Trust, et al.; Notice of Application April 16, 2010. AGENCY: Securities and Exchange... shareholder approval and would grant relief from certain disclosure requirements. Applicants: Northern Lights...
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Federal Register 2010, 2011, 2012, 2013, 2014
2011-01-20
... other things, amended the FINRA Rule 6700 Series to: (1) Expand TRACE to include Agency Debt Securities... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-63709; File No. SR-FINRA-2011-001] Self... Securities Exchange Act of 1934 [[Page 3685
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Federal Register 2010, 2011, 2012, 2013, 2014
2012-08-13
...In accordance with section 712(a)(8), section 712(d)(1), sections 712(d)(2)(B) and (C), sections 721(b) and (c), and section 761(b) of the Dodd-Frank Wall Street Reform and Consumer Protection Act (``Dodd-Frank Act''), the Commodity Futures Trading Commission (``CFTC'') and the Securities and Exchange Commission (``SEC'') (collectively, ``Commissions''), in consultation with the Board of Governors of the Federal Reserve System (``Board''), are jointly adopting new rules and interpretations under the Commodity Exchange Act (``CEA'') and the Securities Exchange Act of 1934 (``Exchange Act'') to further define the terms ``swap,'' ``security-based swap,'' and ``security-based swap agreement'' (collectively, ``Product Definitions''); regarding ``mixed swaps;'' and governing books and records with respect to ``security-based swap agreements.'' The CFTC requests comment on its interpretation concerning forwards with embedded volumetric optionality, contained in Section II.B.2.(b)(ii) of this release.
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Federal Register 2010, 2011, 2012, 2013, 2014
2011-06-16
... Exchange proposes to amend its Customer Routing Fee governing pricing for Exchange members using the Phlx XL II system,\\3\\ for routing standardized equity and index option Customer orders to the C2 Options... Exchange Act Release No. 59995 (May 28, 2009), 74 FR 26750 (June 3, 2009) (SR-Phlx-2009-32). The instant...
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Federal Register 2010, 2011, 2012, 2013, 2014
2013-09-12
... executing certain trades that either add liquidity to or remove liquidity from the Exchange's order book in... adopted its fees, it set its fee levels appropriate to the start-up nature of the Exchange's new equities... to perform at a high level of responsiveness and efficiency. \\5\\ Securities Exchange Act Release No...
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Federal Register 2010, 2011, 2012, 2013, 2014
2013-07-05
... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-69892] Order Exempting Market Makers Participating in NASDAQ Stock Market LLC's Market Quality Program From Section 11(d)(1) of the Securities Exchange Act of 1934 and Rule 11d1-2 Thereunder June 28, 2013. On March 13, 2013, the Securities and Exchange Commission (``Commission'') approved a...
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Federal Register 2010, 2011, 2012, 2013, 2014
2013-09-09
... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-70303] Order Exempting Broker-Dealers... Exchange Act of 1934 and Rule 11d1-2 Thereunder September 3, 2013. On June 6, 2013, the Securities and... LMMs and ``LMM Payments'' that would be funded from the Exchange's general revenues if the LMM meets or...
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Federal Register 2010, 2011, 2012, 2013, 2014
2013-10-02
... of Regulation NMS under the Act (the ``Limit Up- Limit Down Plan'' or the ``Plan'').\\7\\ The Exchange... Erroneous Rule should continue while the industry gains further experience operating the Limit Up-Limit Down... FR 33498 (June 6, 2012) (the ``Limit Up-Limit Down Release''); see also Exchange Rule 11.13(i). The...
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Federal Register 2010, 2011, 2012, 2013, 2014
2013-10-02
... of Regulation NMS under the Act (the ``Limit Up- Limit Down Plan'' or the ``Plan'').\\9\\ The Exchange... Erroneous Rule should continue while the industry gains further experience operating the Limit Up-Limit Down... 33498 (June 6, 2012) (the ``Limit Up-Limit Down Release''); see also BATS Rule 11.17(h). The Exchange...
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Federal Register 2010, 2011, 2012, 2013, 2014
2013-06-05
... organizations that are not transacting business on the Exchange a Permit Fee of $7,500 per month. A member or member organization is assessed the $7,500 Permit Fee for not transacting business on the Exchange if... Fee, or Account Fee. See Securities Exchange Act Release No. 61863 (April 7, 2010), 75 FR 20021 (April...
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Federal Register 2010, 2011, 2012, 2013, 2014
2012-02-17
... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-66385; File No. SR-NYSEAmex-2012-03] Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Provide for ``Self-Trade Prevention'' on the Exchange February 13, 2012. Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 ...
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Federal Register 2010, 2011, 2012, 2013, 2014
2012-02-17
... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-66386; File No. SR-NYSEArca-2012-08] Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Provide for ``Self-Trade Prevention'' on the Exchange February 13, 2012. Pursuant to Section 19(b)(1) of the Securities Exchange Act of 193...
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Federal Register 2010, 2011, 2012, 2013, 2014
2012-06-12
... price (e.g., the series might be quoted no bid).\\7\\ \\5\\ See Securities Exchange Act Release Nos. 59188... exempt from the Consolidated Options Audit Trail (``COATS'') requirements of Exchange Rule 6.24, Required... transactions in the same format as the COATS data is maintained. In this regard, all transactions for less than...
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Federal Register 2010, 2011, 2012, 2013, 2014
2011-08-11
... Exchange's Consolidated Book. \\5\\ See Securities Exchange Act Release No. 64688 (June 16, 2011), 76 FR... equal to the NBBO and if there are no Customer Orders in the Exchange's Consolidated Book at the same... of participants in mergers or with intentions to merge that have been announced or cancelled; and (f...
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75 FR 15468 - Rydex Series Funds, et al.; Notice of Application
Federal Register 2010, 2011, 2012, 2013, 2014
2010-03-29
... SECURITIES AND EXCHANGE COMMISSION [Investment Company Act Release No. 29179; File No. 812-13685] Rydex Series Funds, et al.; Notice of Application March 23, 2010. AGENCY: Securities and Exchange Commission (``Commission''). ACTION: Notice of an application under section 6(c) of the Investment Company...
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76 FR 58100 - Facilitating Shareholder Director Nominations
Federal Register 2010, 2011, 2012, 2013, 2014
2011-09-20
...: Securities and Exchange Commission. ACTION: Final rule; notice of effective date. SUMMARY: This release provides notice of the effective date of the amendment to Exchange Act Rule 14a-8, the shareholder proposal rule, which will require companies to include in their proxy materials, under certain circumstances...
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75 FR 63216 - Van Eck Associates Corporation, et al.; Notice of Application
Federal Register 2010, 2011, 2012, 2013, 2014
2010-10-14
... SECURITIES AND EXCHANGE COMMISSION [Investment Company Act Release No. 29459; 812-13605] Van Eck... Investment Company Act of 1940 (``Act'') for an exemption from sections 2(a)(32), 5(a)(1), 22(d) and 22(e) of... investment companies to issue shares (``Shares'') redeemable in large aggregations only (``Creation Units...
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75 FR 26815 - AdvisorShares Investments, LLC and AdvisorShares Trust; Notice of Application
Federal Register 2010, 2011, 2012, 2013, 2014
2010-05-12
... SECURITIES AND EXCHANGE COMMISSION [Investment Company Act Release No. 29264; 812-13677] AdvisorShares Investments, LLC and AdvisorShares Trust; Notice of Application May 6, 2010. AGENCY: Securities... 6(c) of the Investment Company Act of 1940 (``Act'') for an exemption from sections 2(a)(32), 5(a)(1...
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77 FR 66651 - Salient Advisors, L.P. and MarketShares ETF Trust; Notice of Application
Federal Register 2010, 2011, 2012, 2013, 2014
2012-11-06
... SECURITIES AND EXCHANGE COMMISSION [Investment Company Act Release No. 30254; 812-13974] Salient... the Investment Company Act of 1940 (``Act'') for an exemption from sections 2(a)(32), 5(a)(1), 22(d... Units; and (e) certain registered management investment companies and unit investment trusts outside of...
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77 FR 35082 - Arrow Investment Advisers, LLC and Arrow Investments Trust; Notice of Application
Federal Register 2010, 2011, 2012, 2013, 2014
2012-06-12
... SECURITIES AND EXCHANGE COMMISSION [Investment Company Act Release No. 30100; 812-13937] Arrow Investment Advisers, LLC and Arrow Investments Trust; Notice of Application June 6, 2012. AGENCY: Securities... 6(c) of the Investment Company Act of 1940 (``Act'') for an exemption from sections 2(a)(32), 5(a)(1...
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Federal Register 2010, 2011, 2012, 2013, 2014
2010-09-10
... SECURITIES AND EXCHANGE COMMISSION [Investment Company Act Release No. 29409; File No. 813-359] Tudor Employee Investment Fund LLC and Tudor Investment Corporation; Notice of Application September 3... an order under sections 6(b) and 6(e) of the Investment Company Act of 1940 (the ``Act'') granting an...
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76 FR 30048 - Privacy Act of 1974: Implementation and Amendment of Exemptions
Federal Register 2010, 2011, 2012, 2013, 2014
2011-05-24
... SECURITIES AND EXCHANGE COMMISSION 17 CFR Part 200 [Release No. PA-45; File No. S7-19-11] Privacy.... ACTION: Proposed rule. SUMMARY: Pursuant to the Privacy Act of 1974, as amended, the Securities and... from provisions of the Privacy Act to the extent that the records contain investigatory materials...
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78 FR 46388 - NGAM Advisors, L.P., et al.; Notice of Application
Federal Register 2010, 2011, 2012, 2013, 2014
2013-07-31
... SECURITIES AND EXCHANGE COMMISSION [Investment Company Act Release No. 30630; File No. 812-13942... Investment Company Act of 1940 (the ``Act'') for an exemption from sections 2(a)(32), 5(a)(1), 22(d), and 22... that would permit (a) series of certain open-end management investment companies to issue shares...
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76 FR 51068 - Northern Trust Investments, N.A., et al.; Notice of Application
Federal Register 2010, 2011, 2012, 2013, 2014
2011-08-17
... SECURITIES AND EXCHANGE COMMISSION [Investment Company Act Release No. 29752; File No. 812-13773] Northern Trust Investments, N.A., et al.; Notice of Application August 10, 2011. AGENCY: Securities and... the Investment Company Act of 1940 (the ``Act'') for an exemption from sections 2(a)(32), 5(a)(1), 22...
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75 FR 16529 - Legg Mason Partners Equity Trust, et al.; Notice of Application
Federal Register 2010, 2011, 2012, 2013, 2014
2010-04-01
... SECURITIES AND EXCHANGE COMMISSION [Investment Company Act Release No. 29192; File No. 812-13681...) of the Investment Company Act of 1940 (``Act'') for an exemption from sections 12(d)(1)(A) and (B) of... open-end management investment companies to acquire shares of other registered open-end management...
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78 FR 11909 - Emerging Global Advisors, LLC, et al.; Notice of Application
Federal Register 2010, 2011, 2012, 2013, 2014
2013-02-20
... SECURITIES AND EXCHANGE COMMISSION [Investment Company Act Release No. 30382; 812-14117] Emerging... Investment Company Act of 1940 (``Act'') for an exemption from sections 2(a)(32), 5(a)(1), 22(d) and 22(e) of... management investment companies to issue shares (``Shares'') redeemable in large aggregations only...
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77 FR 65593 - PNC Capital Advisors, LLC, et al.; Notice of Application
Federal Register 2010, 2011, 2012, 2013, 2014
2012-10-29
... SECURITIES AND EXCHANGE COMMISSION [Investment Company Act Release No. 30239; File No. 812-14056...)(J) of the Investment Company Act of 1940 (the ``Act'') for an exemption from sections 12(d)(1)(A... registered open-end management investment companies that operate as ``funds of funds'' to acquire shares of...
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77 FR 65421 - Neuberger Berman Alternative Funds, et al.; Notice of Application
Federal Register 2010, 2011, 2012, 2013, 2014
2012-10-26
... SECURITIES AND EXCHANGE COMMISSION [Investment Company Act Release No. 30236; File No. 812-14050...)(J) of the Investment Company Act of 1940 (the ``Act'') for an exemption from sections 12(d)(1)(A... management investment companies that operate as ``funds of funds'' to acquire shares of certain registered...
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78 FR 15057 - The Advisors' Inner Circle Fund, et al.; Notice of Application
Federal Register 2010, 2011, 2012, 2013, 2014
2013-03-08
... SECURITIES AND EXCHANGE COMMISSION [Investment Company Act Release No. 30412; File No. 812-14065...)(J) of the Investment Company Act of 1940 (the ``Act'') for an exemption from sections 12(d)(1)(A...-end management investment companies that operate as ``funds of funds'' to acquire shares of certain...
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78 FR 70976 - Horizons ETFs Management (USA) LLC and Horizons ETF Trust; Notice of Application
Federal Register 2010, 2011, 2012, 2013, 2014
2013-11-27
... SECURITIES AND EXCHANGE COMMISSION [Investment Company Act Release No. 30803; 812-14179] Horizons ETFs Management (USA) LLC and Horizons ETF Trust; Notice of Application November 21, 2013. AGENCY: Securities and Exchange Commission (``Commission''). ACTION: Notice of an application for an order under...
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78 FR 14179 - Adjustments to Civil Monetary Penalty Amounts
Federal Register 2010, 2011, 2012, 2013, 2014
2013-03-05
... SECURITIES AND EXCHANGE COMMISSION 17 CFR Part 201 [Release Nos. 33-9387; 34-68994; IA-3557; IC-30408] Adjustments to Civil Monetary Penalty Amounts AGENCY: Securities and Exchange Commission. ACTION... adjusting for inflation the maximum amount of civil monetary penalties under the Securities Act of 1933, the...
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75 FR 32825 - FFCM, LLC and FQF Trust; Notice of Application
Federal Register 2010, 2011, 2012, 2013, 2014
2010-06-09
... SECURITIES AND EXCHANGE COMMISSION [Investment Company Act Release No. 29292; File No. 812-13748] FFCM, LLC and FQF Trust; Notice of Application June 2, 2010. AGENCY: Securities and Exchange Commission..., or cause more than 10% of the acquired company's voting stock to be owned by investment companies and...
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75 FR 77922 - Nuveen Asset Management, et al.; Notice of Application
Federal Register 2010, 2011, 2012, 2013, 2014
2010-12-14
... SECURITIES AND EXCHANGE COMMISSION [Investment Company Act Release No. 29522; File No. 812-13839] Nuveen Asset Management, et al.; Notice of Application December 8, 2010. AGENCY: Securities and Exchange... company's voting stock to be owned by investment companies and companies controlled by them. 2. Section 12...
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78 FR 24447 - Goldman Sachs Trust, et al.; Notice of Application
Federal Register 2010, 2011, 2012, 2013, 2014
2013-04-25
... SECURITIES AND EXCHANGE COMMISSION [Investment Company Act Release No. 30471; 812-14075] Goldman Sachs Trust, et al.; Notice of Application April 19, 2013. AGENCY: Securities and Exchange Commission..., or cause more than 10% of the acquired company's voting stock to be owned by investment companies and...
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77 FR 6606 - DoubleLine Capital LP and DoubleLine Funds Trust; Notice of Application
Federal Register 2010, 2011, 2012, 2013, 2014
2012-02-08
... SECURITIES AND EXCHANGE COMMISSION [Investment Company Act Release No. 29943; File No. 812-13983... 10% of the acquired company's voting stock to be owned by investment companies and companies...: Securities and Exchange Commission (``Commission''). ACTION: Notice of an application under section 6(c) of...
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77 FR 74228 - Lord, Abbett & Co. LLC, et al.; Notice of Application
Federal Register 2010, 2011, 2012, 2013, 2014
2012-12-13
... as an open-end management investment company. Lord Abbett, a Delaware limited liability company, is... New York limited liability company, and is a registered broker-dealer under the Securities Exchange... SECURITIES AND EXCHANGE COMMISSION [Investment Company Act Release No. 30297; File No. 812-14047...
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Federal Register 2010, 2011, 2012, 2013, 2014
2011-05-19
... SECURITIES AND EXCHANGE COMMISSION (Release No. 34-64487; File No. SR-NSCC-2011-02) Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing and Order Granting... Eligible Clearing Fund Securities May 13, 2011. Pursuant to Section 19(b)(1) of the Securities Exchange Act...
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Federal Register 2010, 2011, 2012, 2013, 2014
2010-12-09
... COMMODITY FUTURES TRADING COMMISSION SECURITIES AND EXCHANGE COMMISSION [Release No. 34-63423... Reform and Consumer Protection Act, Section 719(b) AGENCY: Commodity Futures Trading Commission; Securities and Exchange Commission. ACTION: Request for Comments. SUMMARY: The Dodd-Frank Wall Street Reform...
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Federal Register 2010, 2011, 2012, 2013, 2014
2013-05-06
... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-69477; File No. 81-939] Notice of an Application of W2007 Grace Acquisition I, Inc. Under Section 12(h) of the Securities Exchange Act of 1934 April 30, 2013. The Securities and Exchange Commission gives notice that W2007 Grace Acquisition I, Inc...
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77 FR 74237 - T. Rowe Price Associates, Inc., et al.; Notice of Application
Federal Register 2010, 2011, 2012, 2013, 2014
2012-12-13
... SECURITIES AND EXCHANGE COMMISSION [Investment Company Act Release No. 30299; 812-13726] T. Rowe... Investment Company Act of 1940 (``Act'') for an exemption from sections 2(a)(32), 5(a)(1), 22(d) and 22(e) of... Price Institutional Income Funds, Inc. (the ``Corporation'') and T. Rowe Price Investment Services, Inc...
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76 FR 80424 - Highland Capital Management, L.P., et al.; Notice of Application
Federal Register 2010, 2011, 2012, 2013, 2014
2011-12-23
... be to provide investment returns that closely correspond to the price and performance of its... SECURITIES AND EXCHANGE COMMISSION [Investment Company Act Release No. 29890; 812-13478] Highland... Investment Company Act of 1940 (``Act'') for an exemption from sections 2(a)(32), 5(a)(1), 22(d) and 22(e) of...
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76 FR 61769 - Destra Capital Investments LLC and Destra Unit Investment Trust; Notice of Application
Federal Register 2010, 2011, 2012, 2013, 2014
2011-10-05
... SECURITIES AND EXCHANGE COMMISSION [Investment Company Act Release No. 29825; 812-13575] Destra Capital Investments LLC and Destra Unit Investment Trust; Notice of Application September 29, 2011. AGENCY... 12(d)(1)(J) of the Investment Company Act of 1940 (``Act'') for an exemption from sections 12(d)(1)(A...
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77 FR 27499 - Destra Capital Investments LLC and Destra Unit Investment Trust; Notice of Application
Federal Register 2010, 2011, 2012, 2013, 2014
2012-05-10
... SECURITIES AND EXCHANGE COMMISSION [Investment Company Act Release No. 30059; 812-13574-01] Destra Capital Investments LLC and Destra Unit Investment Trust; Notice of Application May 3, 2012. AGENCY...) of the Investment Company Act of 1940 (``Act'') for an exemption from sections 2(a)(32), 2(a)(35), 14...
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78 FR 8611 - WINCO Investment Partnership 2008 L.P. and Winstead PC; Notice of Application
Federal Register 2010, 2011, 2012, 2013, 2014
2013-02-06
...-1 also requires that every registered investment company adopt a written code of ethics and that... SECURITIES AND EXCHANGE COMMISSION [Investment Company Act Release No. 30374; File No. 813-374... sections 6(b) and 6(e) of the Investment Company Act of 1940 (the ``Act'') granting an exemption from all...
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Federal Register 2010, 2011, 2012, 2013, 2014
2012-06-20
... likewise adopt fundamental investment policies in compliance with rule 23c-3 and make quarterly repurchase... SECURITIES AND EXCHANGE COMMISSION [Investment Company Act Release No. 30103; File No. 812-14008... application under section 6(c) of the Investment Company Act of 1940 (the ``Act'') for an exemption from...
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Federal Register 2010, 2011, 2012, 2013, 2014
2013-05-22
... SECURITIES AND EXCHANGE COMMISSION [Investment Company Act Release No. 30521; File No. 812-14098... order under section 12(d)(1)(J) of the Investment Company Act of 1940 (the ``Act'') for an exemption... registered open-end management investment companies that operate as ``funds of funds'' to acquire shares of...
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78 FR 39793 - ETF Issuer Solutions Inc., et al.; Notice of Application
Federal Register 2010, 2011, 2012, 2013, 2014
2013-07-02
... SECURITIES AND EXCHANGE COMMISSION [Investment Company Act Release No. 30568; 812-14080] ETF... sections 12(d)(1)(A) and (B) of the Act. Applicants: ETF Issuer Solutions Inc. (``ETFis''), ETF Actively Managed Trust (``Trust) and ETF Distributors LLC (``Distributor''). Summary of Application: Applicants...
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Federal Register 2010, 2011, 2012, 2013, 2014
2010-07-13
... most popular products traded on the Exchange. \\8\\ See Securities Exchange Act Release Nos. 49813 (June... Action Because the foregoing proposed rule change does not significantly affect the protection of... Commission may summarily abrogate such rule change if it appears to the Commission that such action is...
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Federal Register 2010, 2011, 2012, 2013, 2014
2011-07-29
... Proposed Rule Change 1. Purpose (a) Background In light of well publicized securities frauds that resulted... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-64954; File No. SR-FINRA-2010-036] Self...-Case Referrals July 25, 2011. Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934...
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Federal Register 2010, 2011, 2012, 2013, 2014
2010-09-21
.... SUPPLEMENTARY INFORMATION: The Insider Trading and Securities Fraud Enforcement Act of 1988 authorized the... SECURITIES AND EXCHANGE COMMISSION 17 CFR Part 201 [Release No. 34-62921] Rescission of Rules... Trading AGENCY: Securities and Exchange Commission. ACTION: Final rule. SUMMARY: The Dodd-Frank Wall...
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76 FR 58850 - Highland Capital Management, L.P., et al.; Notice of Application
Federal Register 2010, 2011, 2012, 2013, 2014
2011-09-22
... SECURITIES AND EXCHANGE COMMISSION [Investment Company Act Release No. 29790; File No. 812-13890... Exchange Commission (``Commission''). ACTION: Notice of an application under section 6(c) of the Investment...: Applicants request an order to permit open-end management investment companies relying on rule 12d1-2 under...
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Federal Register 2010, 2011, 2012, 2013, 2014
2012-11-19
.... B. Self-Regulatory Organization's Statement on Burden on Competition The Exchange does not believe... furtherance of the purposes of the Act. C. Self-Regulatory Organization's Statement on Comments on the... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-68217; File No. SR-Phlx-2012-130] Self...
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78 FR 78417 - Forethought Variable Insurance Trust, et al.; Notice of Application
Federal Register 2010, 2011, 2012, 2013, 2014
2013-12-26
... SECURITIES AND EXCHANGE COMMISSION [Investment Company Act Release No. 30840; File No. 812-14198] Forethought Variable Insurance Trust, et al.; Notice of Application December 19, 2013. AGENCY: Securities and Exchange Commission (the ``Commission''). ACTION: Notice of an application for an order under section 12(d)(1)(J) of the Investment Company...
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Federal Register 2010, 2011, 2012, 2013, 2014
2010-12-03
... other things, that transactions in security-based swaps be cleared through a clearing agency that is... Reserve System, shall, among other things, jointly further define the terms ``swap'' and ``security- based... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-63389; File No. S7-16-09] Order Extending...
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76 FR 35055 - Precidian ETFs Trust, et al.; Notice of Application
Federal Register 2010, 2011, 2012, 2013, 2014
2011-06-15
... SECURITIES AND EXCHANGE COMMISSION [Investment Company Act Release No. 29692; 812-13818] Precidian... (``Commission''). ACTION: Notice of an application for an order under section 6(c) of the Investment Company Act... investment companies or series thereof to issue shares (``Shares'') redeemable in large aggregations only...
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77 FR 26585 - Steel Partners Holdings L.P.; Notice of Application
Federal Register 2010, 2011, 2012, 2013, 2014
2012-05-04
... SECURITIES AND EXCHANGE COMMISSION [Investment Company Act Release No. 30056; 812-13793] Steel... of 1940 (``Act''). Summary of Application: Steel Partners Holdings L.P. (``SPH'') requests an order... WebBank in 1998 until July 14, 2009. 2. Prior to December 2008, Steel Partners II was a private...
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78 FR 17235 - Global X Funds, et al.; Notice of Application
Federal Register 2010, 2011, 2012, 2013, 2014
2013-03-20
... SECURITIES AND EXCHANGE COMMISSION [Investment Company Act Release No. 30426; 812-14079] Global X... relying on rule 12d1-2 under the 1940 Act to invest in certain financial instruments. Applicants: Global X Funds (``Trust'''), Global X Management Company LLC (``Adviser'') and SEI Investment Distribution Co...
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78 FR 42114 - FlexShares Trust, et al.; Notice of Application
Federal Register 2010, 2011, 2012, 2013, 2014
2013-07-15
...Shares Trust, et al.; Notice of Application July 9, 2013. AGENCY: Securities and Exchange Commission... exemption from sections 12(d)(1)(A) and (B) of the Act (``Prior Orders''). \\1\\ Northern Trust Investments...) (order); Northern Trust Investments, Inc., Investment Company Act Release Nos. 30045 (Apr. 24, 2012...
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Federal Register 2010, 2011, 2012, 2013, 2014
2011-11-02
... SECURITIES AND EXCHANGE COMMISSION [Investment Company Act Release No. 29851; File No. 813-00377] Citadel LLC (formerly Citadel Investment Group, L.L.C.) and CEIF LLC; Notice of Application October 27... order under sections 6(b) and 6(e) of the Investment Company Act of 1940 (the ``Act'') granting an...
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Federal Register 2010, 2011, 2012, 2013, 2014
2010-11-12
... institutional investors are executed in dark pools. Securities Exchange Act Release No. 61358 (January 14, 2010... York, Sept. 7, 2010) (``Schapiro Speech,'' available on the Commission Web site) (comments of... individual investors). \\5\\ In the January 2010 Concept Release, the Commission noted that dark pools and...
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Federal Register 2010, 2011, 2012, 2013, 2014
2011-03-04
... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-63971; File No. SR-NYSEARCA-2011-05] Self... 201 of Regulation SHO Under the Securities Exchange Act of 1934 February 25, 2011. Pursuant to Section... described in Items I and II below, which Items have been substantially prepared by the self- regulatory...
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Federal Register 2010, 2011, 2012, 2013, 2014
2013-02-06
... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-68804; File No. SR-NYSE-2013-11] Self... Rule 608 of Regulation NMS Under the Act February 1, 2013. Pursuant to Section 19(b)(1) \\1\\ of the..., which Items have been prepared by the self-regulatory organization. The Commission is publishing this...
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Federal Register 2010, 2011, 2012, 2013, 2014
2011-03-04
... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-63974; File No. SR-NYSEAMEX-2011-08] Self... Regulation SHO Under the Securities Exchange Act of 1934 February 25, 2011. Pursuant to Section 19(b)(1) \\1... II below, which Items have been substantially prepared by the self- regulatory organization. The...
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Federal Register 2010, 2011, 2012, 2013, 2014
2011-07-05
... extend the operation of its Supplemental Liquidity Providers Pilot (``SLP Pilot'' or ``Pilot'') (See Rule... (November 5, 2008) (SR-NYSE-2008-108) (establishing the SLP Pilot). See also Securities Exchange Act Release... the SLP Pilot to October 1, 2009); 60756 (October 1, 2009), 74 FR 51628 (October 7, 2009) (SR-NYSE...
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Federal Register 2010, 2011, 2012, 2013, 2014
2012-07-31
... operation of its Supplemental Liquidity Providers Pilot (``SLP Pilot'' or ``Pilot'') (See Rule 107B... Proposed Rule Change 1. Purpose The Exchange proposes to extend the operation of its SLP Pilot,\\4... SLP Pilot). See also Securities Exchange Act Release Nos. 61841 (April 5, 2010), 75 FR 18560 (April 12...
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Federal Register 2010, 2011, 2012, 2013, 2014
2010-04-12
... proposes to extend the operation of its Supplemental Liquidity Providers Pilot (``SLP Pilot'' or ``Pilot...) (SR-NYSEAmex-2009-98) (establishing the NYSE Amex Equities SLP Pilot). See also Securities Exchange...) (establishing the SLP Pilot). See also Securities Exchange Act Release No. 59869 (May 6, 2009), 74 FR 22796 (May...
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Federal Register 2010, 2011, 2012, 2013, 2014
2013-01-08
... the operation of its Supplemental Liquidity Providers Pilot (``SLP Pilot'' or ``Pilot'') (See Rule... for, the Proposed Rule Change 1. Purpose The Exchange proposes to extend the operation of its SLP... SLP Pilot). See also Securities Exchange Act Release Nos. 61841 (April 5, 2010), 75 FR 18560 (April 12...
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Federal Register 2010, 2011, 2012, 2013, 2014
2010-09-08
... the operation of its Supplemental Liquidity Providers Pilot (``SLP Pilot'' or ``Pilot'') (see Rule...), 73 FR 65904 (November 5, 2008) (SR-NYSE-2008-108) (establishing the SLP Pilot). See also Securities... operation of the SLP Pilot to October 1, 2009). See also Securities Exchange Act Release No. 60756 (October...
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Federal Register 2010, 2011, 2012, 2013, 2014
2013-04-08
... Participants is nominated to the Board as it is no longer needed. \\10\\ See Securities Exchange Act Release No... having been nominated by the Member Nominating Committee or voted upon by Exchange Members pursuant to... Counsel, and Dhawal Sharma, Attorney Advisor, Division of Trading and Markets, Commission, dated March 29...
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Federal Register 2010, 2011, 2012, 2013, 2014
2013-03-25
... same underlying security would be detrimental to the success of this new product offering and would... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-69161; File No. SR-NYSEArca-2013-26] Self... Certain Securities March 18, 2013. Pursuant to Section 19(b)(1) \\1\\ of the Securities Exchange Act of 1934...
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Federal Register 2010, 2011, 2012, 2013, 2014
2012-06-27
... Act because it helps to assure the safeguarding of securities and funds which are in its custody or... designated clearing organization; and (iii) the activity relating to the non-security clearing operations of... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-67232; File No. SR-CME-2012-24] Self-Regulatory...
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Federal Register 2010, 2011, 2012, 2013, 2014
2013-10-03
... National Market System Plan to Address Extraordinary Market Volatility \\7\\ (the ``Limit Up-Limit Down Plan... commencement of operations of the Limit Up- Limit Down Plan. The Exchange believes that continuing the pilot... further experience operating the Limit Up-Limit Down Plan. \\3\\ Securities Exchange Act Release No. 62886...
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Federal Register 2010, 2011, 2012, 2013, 2014
2010-03-29
... Rule 19d-1(c)(1) of the Act \\3\\ requiring that a self- regulatory organization promptly file notice... Commission adopted amendments to paragraph (c) of Rule 19d-1 to allow self-regulatory organizations (``SROs... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-61753; File No. 4-595] Self-Regulatory...
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Federal Register 2010, 2011, 2012, 2013, 2014
2010-03-29
... Rule 19d-1(c)(1) of the Act \\3\\ requiring that a self- regulatory organization promptly file notice... Commission adopted amendments to paragraph (c) of Rule 19d-1 to allow self-regulatory organizations (``SROs... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-61752; File No. 4-594] Self-Regulatory...
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Federal Register 2010, 2011, 2012, 2013, 2014
2012-07-26
... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-67480; File No. S7-24-11] Order Extending..., and is consistent with the protection of investors, to extend the section 6(l) relief provided in the... Exchange Act,\\17\\ the Commission is extending the temporary conditional exemption provided in the Effective...
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Federal Register 2010, 2011, 2012, 2013, 2014
2013-08-20
... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-70198; File No. SR-DTC-2013-09] Self-Regulatory... Change To Eliminate Special Procedures for Securities Offered Pursuant to Regulation S, Category 3, Under the Securities Act of 1933 August 14, 2013. Pursuant to Section 19(b)(1) of the Securities Exchange...
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Federal Register 2010, 2011, 2012, 2013, 2014
2012-06-26
... securities substitutions begin to be permitted, FICC will announce this to members by important notice. Other... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-67227; File No. SR-FICC-2012-05] Self... Infrastructure Reform Task Force June 20, 2012. Pursuant to Section 19(b)(1) of the Securities Exchange Act of...
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Federal Register 2010, 2011, 2012, 2013, 2014
2013-12-02
... securities and does not propose to make a public offering or engage in business of any kind. Filing Dates... SECURITIES AND EXCHANGE COMMISSION [Release No. IC-30804] Notice of Applications for... by writing to the Secretary, U.S. Securities and Exchange Commission, 100 F Street NE., Washington...
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Federal Register 2010, 2011, 2012, 2013, 2014
2010-02-19
... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-61510; File No. SR-FINRA-2010-003] Self... Change, as Modified by Amendment No. 1, Relating to Trade Reporting of OTC Equity Securities and Restricted Equity Securities February 5, 2010. Pursuant to Section 19(b)(1) of the Securities Exchange Act of...
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Federal Register 2010, 2011, 2012, 2013, 2014
2013-03-21
... compliance with the Plan by preventing trades from occurring outside the price bands during a limit state... requirements that prevent trades in individual NMS Stocks from occurring outside of specified price bands, as... trades or monetary gaps of liquidity). \\3\\ See Securities Exchange Act Release No. 64547 (May 25, 2011...
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Federal Register 2010, 2011, 2012, 2013, 2014
2012-07-26
...'s Web site at http://www.nasdaqtrader.com/micro.aspx?id=BXRulefilings , at the principal office of... Options market.\\3\\ Specifically, the Exchange adopted the following routing fees in Chapter XV, Section 2(4): \\3\\ See Securities Exchange Act Release No. 67339 (July 3, 2012), 77 FR 405688 (July 10, 2012...
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Federal Register 2010, 2011, 2012, 2013, 2014
2010-12-13
... and member organizations to make certain changes to their trading and order management systems, the... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-63455; File No. SR-NYSE-2010-76] Self..., 2011 December 7, 2010. Pursuant to Section 19(b)(1) \\1\\ of the Securities Exchange Act of 1934 (the...
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Federal Register 2010, 2011, 2012, 2013, 2014
2010-01-05
... and member organizations to make certain changes to their trading and order management systems, the... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-61251; File No. SR-NYSE-2009-129] Self..., 2010 December 29, 2009. Pursuant to Section 19(b)(1) \\1\\ of the Securities Exchange Act of 1934 (the...
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Federal Register 2010, 2011, 2012, 2013, 2014
2010-12-13
... changes to their trading and order management systems, the NYSE filed to delay to May 14, 2008 the... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-63454; File No. SR-NYSEAmex-2010-111] Self... 1, 2011 December 7, 2010. Pursuant to Section 19(b)(1) \\1\\ of the Securities Exchange Act of 1934...
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Federal Register 2010, 2011, 2012, 2013, 2014
2011-07-26
... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-64930; File No. SR-CBOE-2011-066] Self... Improvement Mechanism July 20, 2011. Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (the...(b)(1). \\2\\ 17 CFR 240.19b-4. \\3\\ 15 U.S.C. 78s(b)(3)(A)(iii). \\4\\ 17 CFR 240.19b-4(f)(6). I. Self...
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76 FR 401 - MetLife Insurance Company of Connecticut, et al.
Federal Register 2010, 2011, 2012, 2013, 2014
2011-01-04
... SECURITIES AND EXCHANGE COMMISSION [Release No. IC-29544; File No. 812-13816] MetLife Insurance... Section 17(b) of the Act from Section 17(a) of the Act. Applicants: MetLife Insurance Company of Connecticut (``MetLife of CT''), MetLife of CT Separate Account Eleven for Variable Annuities (``Separate...
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77 FR 3810 - New York Life Insurance and Annuity Corporation, et al., Notice of Application
Federal Register 2010, 2011, 2012, 2013, 2014
2012-01-25
... SECURITIES AND EXCHANGE COMMISSION [Release No. IC-29923; File No. 812-13902] New York Life... Act from Section 17(a) of the 1940 Act. Applicants: New York Life Insurance and Annuity Corporation... Annuity Separate Account--IV (``VA IV''), NYLIAC Variable Universal Life Separate Account--I (``VUL I...
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78 FR 18634 - ING Life Insurance and Annuity Company, et al; Notice of Application
Federal Register 2010, 2011, 2012, 2013, 2014
2013-03-27
... SECURITIES AND EXCHANGE COMMISSION [Release No. IC-30431; File No. 812-14033] ING Life Insurance... (the ``1940 Act'' or ``Act''). APPLICANTS: ING Life Insurance and Annuity Company (``ING Life''), ING USA Annuity and Life Insurance Company (``ING USA''), ReliaStar Life Insurance Company of New York...
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75 FR 16205 - MetLife Insurance Company of Connecticut, et al.
Federal Register 2010, 2011, 2012, 2013, 2014
2010-03-31
... SECURITIES AND EXCHANGE COMMISSION [Release No. IC-29190; File No. 812-13700] MetLife Insurance... Section 17(b) of the Act from Section 17(a) of the Act. Applicants: MetLife Insurance Company of Connecticut (``MetLife of CT''), MetLife of CT Separate Account Eleven for Variable Annuities (``Separate...
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76 FR 75922 - AllianceBernstein Cap Fund, Inc., et al.; Notice of Application
Federal Register 2010, 2011, 2012, 2013, 2014
2011-12-05
... SECURITIES AND EXCHANGE COMMISSION [Investment Company Act Release No. 29876; File No. 812-13939] AllianceBernstein Cap Fund, Inc., et al.; Notice of Application November 29, 2011. AGENCY: Securities and... 12d1-2 under the Act to invest in certain financial instruments. APPLICANTS: AllianceBernstein Cap Fund...
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Federal Register 2010, 2011, 2012, 2013, 2014
2013-09-16
... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-70366; File No. SR-OCC-2013-805] Self... Existing Interpretation and Policy To Give OCC Discretion Not To Grant a Particular Clearing Member Margin... Payment, Clearing, and Settlement Supervision Act of 2010 (``Clearing Supervision Act'') \\1\\ and Rule 19b...
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Federal Register 2010, 2011, 2012, 2013, 2014
2011-07-15
... SECURITIES AND EXCHANGE COMMISSION [Release No. 3236/July 12, 2011] Order Approving Adjustment for Inflation of the Dollar Amount Tests in Rule 205-3 Under the Investment Advisers Act of 1940 I. Background Section 205(a)(1) of the Investment Advisers Act of 1940 (``Advisers Act'') generally prohibits an investment adviser from entering into,...
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Federal Register 2010, 2011, 2012, 2013, 2014
2011-12-30
... Liquidity Providers Pilot (``SLP Pilot'' or ``Pilot'') (See Rule 107B), currently scheduled to expire on...-108) (establishing the SLP Pilot). See also Securities Exchange Act Release Nos. 59869 (May 6, 2009), 74 FR 22796 (May 14, 2009) (SR- NYSE-2009-46) (extending the operation of the SLP Pilot to October 1...
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Federal Register 2010, 2011, 2012, 2013, 2014
2013-01-22
... and test these significant changes to their systems by January 15, 2013. The Exchange has received... member firms adequate time to program and test their systems to use the Market Maker Peg Order \\6\\ or... Market Maker Peg Order, which is designed to replace AQR. See Securities Exchange Act Release No. 67584...
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Federal Register 2010, 2011, 2012, 2013, 2014
2013-10-02
... under the Act (the ``Limit Up- Limit Down Plan'' or the ``Plan'').\\7\\ The Exchange believes the benefits... continue while the industry gains further experience operating the Limit Up-Limit Down Plan. \\5\\ See... 33498 (June 6, 2012) (the ``Limit Up-Limit Down Release''); see also Rule 128(i)--Equities. The Exchange...
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Federal Register 2010, 2011, 2012, 2013, 2014
2010-10-20
... provisions of Rule 19d-1(c)(1) of the Act \\4\\ requiring that a self-regulatory organization promptly file... Commission adopted amendments to paragraph (c) of Rule 19d-1 to allow self-regulatory organizations (``SROs... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-63113; File No. 4-616] Self-Regulatory...
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Federal Register 2010, 2011, 2012, 2013, 2014
2011-09-01
... SECURITIES AND EXCHANGE COMMISSION 17 CFR PART 240 [Release Nos. 33-9175A; 34-63741A; File No. S7-24-10] RIN 3235-AK75 Disclosure for Asset-Backed Securities Required by Section 943 of the Dodd-Frank Wall Street Reform and Consumer Protection Act AGENCY: Securities and Exchange Commission. ACTION...
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Federal Register 2010, 2011, 2012, 2013, 2014
2011-12-08
... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-65869; File No. SR-Phlx-2011-161] Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify Its Optional Anti-Internalization Functionality December 2, 2011. Pursuant to Section 19(b)(1) of the Securities Exchange Act of...
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Federal Register 2010, 2011, 2012, 2013, 2014
2011-12-08
... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-65867; File No. SR-BX-2011-080] Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify Its Optional Anti-Internalization Functionality December 2, 2011. Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934...
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Federal Register 2010, 2011, 2012, 2013, 2014
2012-07-10
... Relating to Extension of the Exchange's Penny Pilot Program July 3, 2012. Pursuant to Section 19(b)(1) \\1... 31, 2012, the Penny Pilot Program in options classes in certain issues (``Penny Pilot'' or ``Pilot'').\\4\\ \\4\\ The Penny Pilot was established in June 2012. See Securities Exchange Act Release No. 67256...
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Federal Register 2010, 2011, 2012, 2013, 2014
2011-12-29
... and offer is $10.02 and $10.04 and there is ``dark'' reserve buy interest at $10.03, if the NBO... ``dark'' reserve interest priced at $10.03. \\7\\ See Securities Exchange Act Release No. 61072 (November... on the Commission's Internet Web site ( http://www.sec.gov/rules/sro.shtml ). Copies of the...
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75 FR 1007 - MetLife, Inc. and MetLife Capital Trust V; Notice of Application
Federal Register 2010, 2011, 2012, 2013, 2014
2010-01-07
... SECURITIES AND EXCHANGE COMMISSION [Release No. IC-29101; 812-13549] MetLife, Inc. and MetLife... ``Act'') for an exemption from all provisions of the Act. Summary of Application: MetLife Capital Trust V (the ``Trust'') and MetLife, Inc. (``MetLife'') request an order that would permit the Trust to...
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Federal Register 2010, 2011, 2012, 2013, 2014
2011-11-10
... SECURITIES AND EXCHANGE COMMISSION [Release No. 3306; File No.: 801-35969] Investment Advisers Act of 1940; In the Matter of Creative Investment Research, Inc., 1050 17th Street NW., Suite 1000, Washington, DC 20036; Notice of Intention to Cancel Registration Pursuant to Section 203(h) of the Investment...
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Federal Register 2010, 2011, 2012, 2013, 2014
2013-06-20
... Broad Street, New York, New York, commonly known as the ``Blue Room'', and amend NYSE MKT Rule 6A, which... access the Blue Room. \\5\\ See Securities Exchange Act Release Nos. 68996 (February 27, 2013), 78 FR 14378... to 7 a.m., access the Blue Room via the Exchange's 11 Wall Street facilities, which would entail...
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Federal Register 2010, 2011, 2012, 2013, 2014
2013-02-12
... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-68847; File No. SR-NASDAQ-2013-016] Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change for the Purpose of Amending Rule 7014(g) February 6, 2013. Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (`...
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Federal Register 2010, 2011, 2012, 2013, 2014
2013-10-22
... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-70630; File No. SR-Phlx-2013-96] Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Table of Contents of the Pricing Schedule October 8, 2013. Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (`...
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Federal Register 2010, 2011, 2012, 2013, 2014
2010-08-16
... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-62678; File No. SR-Phlx-2010-108] Self-Regulatory Organizations; Notice of Filing of Proposed Rule Change by NASDAQ OMX PHLX, Inc. Relating to a Proposed Price Improvement System, Price Improvement XL (PIXL\\SM\\) August 10, 2010. Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934...
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Federal Register 2010, 2011, 2012, 2013, 2014
2013-04-02
...'') and NASDAQ OMX BX, Inc. (``BX Options'') and a $0.11 per contract \\4\\ fixed Routing Fee to all other... fee assessed by the Exchange.\\7\\ \\3\\ In a previous rule filing, the Exchange discussed the manner in... Act Release No. 68025 (October 10, 2012), 77 FR 63398 (October 16, 2012) (SR-OCC-2012-18). \\7\\ For...
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Federal Register 2010, 2011, 2012, 2013, 2014
2012-06-12
... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-67147; File No. SR-Phlx-2012-72] Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Delay the Implementation Date for its Excess Order Fee June 6, 2012. Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (`...
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Federal Register 2010, 2011, 2012, 2013, 2014
2010-02-10
... Change Adding 75 Options Classes to the Penny Pilot Program February 3, 2010. Pursuant to Section 19(b)(1... December 31, 2010.\\3\\ In that filing, the Exchange had proposed expanding the Pilot on a quarterly basis to... be used for the purpose of the six month analysis.\\4\\ \\3\\ See Exchange Act Release No. 60711...
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Federal Register 2010, 2011, 2012, 2013, 2014
2010-02-10
... Change Adding 75 Options Classes to the Penny Pilot Program February 3, 2010. Pursuant to Section 19(b)(1... through December 31, 2010.\\3\\ In that filing, the Exchange had proposed expanding the Pilot on a quarterly... will not be used for the purpose of the six month analysis.\\4\\ \\3\\ See Exchange Act Release No. 60711...
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Federal Register 2010, 2011, 2012, 2013, 2014
2010-10-08
... in Rule 600(b)(47) of SEC Regulation NMS, members must indicate on trade reports submitted to FINRA... Securities and Exchange Commission (``SEC'' or ``Commission''), pursuant to Section 19(b)(1) of the.... \\1\\ 15 U.S.C. 78s(b)(1). \\2\\ 17 CFR 240.19b-4. \\3\\ See Securities Exchange Act Release No. 62748 (Aug...
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76 FR 20727 - National Life Insurance Company, et al.
Federal Register 2010, 2011, 2012, 2013, 2014
2011-04-13
... SECURITIES AND EXCHANGE COMMISSION [Release No. IC-29627; File No. 812-13806] National Life... ``1940 Act''). Applicants: National Life Insurance Company (``NLIC''), National Variable Annuity Account II (``Annuity Account''), National Variable Life Insurance Account (``Life Account'', and together...
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Steinmoen, Hilde; Knutsen, Eivind; Håvarstein, Leiv Sigve
2002-05-28
Naturally competent bacteria have the ability to take up free DNA from the surrounding medium and incorporate this DNA into their genomes by homologous recombination. In naturally competent Streptococcus pneumoniae, and related streptococcal species from the mitis phylogenetic group, the competent state is not a constitutive property but is induced by a peptide pheromone through a quorum-sensing mechanism. Recent studies have shown that natural genetic transformation is an important mechanism for gene exchange between streptococci in nature. A prerequisite for effective gene exchange is the presence of streptococcal donor DNA in the environment. Despite decades of study of the transformation process we still do not know how this donor DNA is released from streptococcal cells to the external milieu. Traditionally, it has been assumed that donor DNA originates from cells that die and fall apart from natural causes. In this study we show that induction of the competent state initiates release of DNA from a subfraction of the bacterial population, probably by cell lysis. The majority of the cells induced to competence take up DNA and act as recipients, whereas the rest release DNA and act as donors. These findings show that natural transformation in streptococci provides a natural mechanism for genetic recombination that resembles sex in higher organisms.
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78 FR 62716 - Pacific Life Insurance Company, et al; Notice of Application
Federal Register 2010, 2011, 2012, 2013, 2014
2013-10-22
... SECURITIES AND EXCHANGE COMMISSION [Release No. IC-30744; File No. 812-14141] Pacific Life... Act''). Applicants: Pacific Life Insurance Company (``Pacific Life''), Pacific Life's Separate Account A (``Separate Account A''), Pacific Life's Pacific Select Variable Annuity Separate Account...
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A CASE STUDY OF CHLORINE TRANSPORT AND FATE FOLLOWING A LARGE ACCIDENTAL RELEASE
DOE Office of Scientific and Technical Information (OSTI.GOV)
Buckley, R.; Hunter, C.; Werth, D.
2012-08-01
A train derailment that occurred in Graniteville, South Carolina during the early morning hours of 06 January, 2005 resulted in the prompt release of approximately 60 tons of chlorine to the environment. Comprehensive modeling of the transport and fate of this release was performed including the characterization of the initial three-phased chlorine release, a detailed determination of the local atmospheric conditions acting to generate, disperse, and deplete the chlorine vapor cloud, the establishment of physical exchange mechanisms between the airborne vapor and local surface waters, and local aquatic dilution and mixing.
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Gas exchange and dive characteristics of the free-swimming backswimmer Anisops deanei.
Jones, Karl K; Snelling, Edward P; Watson, Amy P; Seymour, Roger S
2015-11-01
Many aquatic insects utilise air bubbles on the surface of their bodies to supply O2 while they dive. The bubbles can simply store O2, as in the case of an 'air store', or they can act as a physical 'gas gill', extracting O2 from the water. Backswimmers of the genus Anisops augment their air store with O2 from haemoglobin cells located in the abdomen. The O2 release from the haemoglobin helps stabilise bubble volume, enabling backswimmers to remain near neutrally buoyant for a period of the dive. It is generally assumed that the backswimmer air store does not act as a gas gill and that gas exchange with the water is negligible. This study combines measurements of dive characteristics under different exotic gases (N2, He, SF6, CO) with mathematical modelling, to show that the air store of the backswimmer Anisops deanei does exchange gases with the water. Our results indicate that approximately 20% of O2 consumed during a dive is obtained directly from the water. Oxygen from the water complements that released from the haemoglobin, extending the period of near-neutral buoyancy and increasing dive duration. © 2015. Published by The Company of Biologists Ltd.
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Federal Register 2010, 2011, 2012, 2013, 2014
2010-09-14
... Securities Exchange Act Release No. 62657 (August 5, 2010), 75 FR 49005 (August 12, 2010). I. Introduction... members' advertising, and the arbitration of disputes under the Plan.\\12\\ On May 30, 1980, the Commission...
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77 FR 4384 - Submission for OMB Review; Comment Request
Federal Register 2010, 2011, 2012, 2013, 2014
2012-01-27
.... 78a et seq.) requires Exchange Act registrants that disclose or release financial information in a manner that is calculated or presented other than in accordance with generally accepted accounting principles (``GAAP'') to provide a reconciliation of the non-GAAP financial information to the most directly...
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77 FR 66219 - Clearing Agency Standards
Federal Register 2010, 2011, 2012, 2013, 2014
2012-11-02
... operation of a registered clearing agency that identify minimum standards designed to enhance the regulatory...'', Securities Exchange Act Release No. 34-66868 (Apr. 27, 2012). Title VII was designed to provide greater... encourage the safe design and operation of entities that provide clearance and settlement services. The FMI...
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77 FR 75200 - AllianceBernstein Active ETFs, Inc., et al.; Notice of Application
Federal Register 2010, 2011, 2012, 2013, 2014
2012-12-19
... SECURITIES AND EXCHANGE COMMISSION [Investment Company Act Release No. 30305; 812-13797] AllianceBernstein Active ETFs, Inc., et al.; Notice of Application December 13, 2012. AGENCY: Securities and...Bernstein Active ETFs, Inc. (``Corporation''), AllianceBernstein L.P. (``Adviser''), and ALPS Distributors...
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76 FR 17718 - Simple Alternatives, LLC and The RBB Fund, Inc.; Notice of Application
Federal Register 2010, 2011, 2012, 2013, 2014
2011-03-30
... SECURITIES AND EXCHANGE COMMISSION [Investment Company Act Release No. 29616; 812-13801] Simple... approval and would grant relief from certain disclosure requirements. Applicants: Simple Alternatives, LLC (``Simple Alternatives'') and The RBB Fund, Inc. (the ``Company''). Filing Dates: The application was filed...
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76 FR 52367 - Golub Capital BDC, Inc., et al.; Notice of Application
Federal Register 2010, 2011, 2012, 2013, 2014
2011-08-22
... investments. The Investment Adviser, a Delaware limited liability company, is the investment adviser to the... limited partnership, is a small business investment company (``SBIC'') licensed by the Small Business... SECURITIES AND EXCHANGE COMMISSION [Investment Company Act Release No. 29756; 812-13794] Golub...
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78 FR 66394 - OFS Capital Corporation, et al.; Notice of Application
Federal Register 2010, 2011, 2012, 2013, 2014
2013-11-05
... Investment Adviser, a Delaware limited liability company, is the investment adviser to the Company. The... of a general partner interest. \\2\\ The Company intends to acquire all of the remaining limited... SECURITIES AND EXCHANGE COMMISSION [Investment Company Act Release No. 30771; 812-14185] OFS...
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75 FR 44821 - Northern Funds, et al.; Notice of Application
Federal Register 2010, 2011, 2012, 2013, 2014
2010-07-29
... fundamental investment limitations. Applicants assert that each Fund's participation in the proposed credit... SECURITIES AND EXCHANGE COMMISSION [Investment Company Act Release No. 29368; File No. 812-13707... (``Commission''). ACTION: Notice of an application for an order pursuant to (a) section 6(c) of the Investment...
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76 FR 72731 - John Hancock Variable Insurance Trust, et al.; Notice of Application
Federal Register 2010, 2011, 2012, 2013, 2014
2011-11-25
... each of these lines of credit is limited to the amount specified by fundamental investment restrictions... policies and fundamental investment limitations. Applicants assert that each John Hancock Fund's... SECURITIES AND EXCHANGE COMMISSION [Investment Company Act Release No. 29865; File No. 812-13621...
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78 FR 32477 - ASA Gold and Precious Metals Limited; Notice of Application
Federal Register 2010, 2011, 2012, 2013, 2014
2013-05-30
... strategy consistent with its current fundamental investment policy and to achieve its desired portfolio... approval of its shareholders, ASA replaced its fundamental investment policies that, among other things... SECURITIES AND EXCHANGE COMMISSION [Investment Company Act Release No. 30539; 812-13877] ASA Gold...
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77 FR 36022 - Notice of Application; Precidian ETFs Trust, et al.
Federal Register 2010, 2011, 2012, 2013, 2014
2012-06-15
... Application; Precidian ETFs Trust, et al. June 8, 2012. AGENCY: Securities and Exchange Commission...). \\1\\ Precidian ETFs Trust, Investment Company Act Release Nos. 29692 (June 9, 2011) (notice) and 29712 (July 1, 2011) (order). Applicants: Precidian ETFs Trust (``Trust''), Precidian Funds LLC (``Adviser...
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PREDICTION OF TOTAL DISSOLVED GAS EXCHANGE AT HYDROPOWER DAMS
DOE Office of Scientific and Technical Information (OSTI.GOV)
Hadjerioua, Boualem; Pasha, MD Fayzul K; Stewart, Kevin M
2012-07-01
Total dissolved gas (TDG) supersaturation in waters released at hydropower dams can cause gas bubble trauma in fisheries resulting in physical injuries and eyeball protrusion that can lead to mortality. Elevated TDG pressures in hydropower releases are generally caused by the entrainment of air in spillway releases and the subsequent exchange of atmospheric gasses into solution during passage through the stilling basin. The network of dams throughout the Columbia River Basin (CRB) are managed for irrigation, hydropower production, flood control, navigation, and fish passage that frequently result in both voluntary and involuntary spillway releases. These dam operations are constrained bymore » state and federal water quality standards for TDG saturation which balance the benefits of spillway operations designed for Endangered Species Act (ESA)-listed fisheries versus the degradation to water quality as defined by TDG saturation. In the 1970s, the United States Environmental Protection Agency (USEPA), under the federal Clean Water Act (Section 303(d)), established a criterion not to exceed the TDG saturation level of 110% in order to protect freshwater and marine aquatic life. The states of Washington and Oregon have adopted special water quality standards for TDG saturation in the tailrace and forebays of hydropower facilities on the Columbia and Snake Rivers where spillway operations support fish passage objectives. The physical processes that affect TDG exchange at hydropower facilities have been studied throughout the CRB in site-specific studies and routine water quality monitoring programs. These data have been used to quantify the relationship between project operations, structural properties, and TDG exchange. These data have also been used to develop predictive models of TDG exchange to support real-time TDG management decisions. These empirically based predictive models have been developed for specific projects and account for both the fate of spillway and powerhouse flows in the tailrace channel and resultant exchange in route to the next downstream dam. Currently, there exists a need to summarize the general finding from operational and structural TDG abatement programs conducted throughout the CRB and for the development of a generalized prediction model that pools data collected at multiple projects with similar structural attributes. A generalized TDG exchange model can be tuned to specific projects and coupled with water regulation models to allow the formulation of optimal daily water regulation schedules subject to water quality constraints for TDG supersaturation. A generalized TDG exchange model can also be applied to other hydropower dams that affect TDG pressures in tailraces and can be used to develop alternative operational and structural measures to minimize TDG generation. It is proposed to develop a methodology for predicting TDG levels downstream of hydropower facilities with similar structural properties as a function of a set of variables that affect TDG exchange; such as tailwater depth, spill discharge and pattern, project head, and entrainment of powerhouse releases. TDG data from hydropower facilities located throughout the northwest region of the United States will be used to identify relationships between TDG exchange and relevant dependent variables. Data analysis and regression techniques will be used to develop predictive TDG exchange expressions for various structural categories.« less
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76 FR 72462 - Bandon Capital Management, LLC and Northern Lights Fund Trust; Notice of Application
Federal Register 2010, 2011, 2012, 2013, 2014
2011-11-23
... SECURITIES AND EXCHANGE COMMISSION [Investment Company Act Release No. 29864; 812-13936] Bandon Capital Management, LLC and Northern Lights Fund Trust; Notice of Application November 17, 2011. AGENCY... Capital Management, LLC (``Bandon Capital'' or the ``Adviser'') and Northern Lights Fund Trust (the...
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76 FR 73748 - Genesis Capital, LLC and Northern Lights Fund Trust; Notice of Application
Federal Register 2010, 2011, 2012, 2013, 2014
2011-11-29
... SECURITIES AND EXCHANGE COMMISSION [Investment Company Act Release No. 29867; 812-13935] Genesis Capital, LLC and Northern Lights Fund Trust; Notice of Application November 21, 2011. AGENCY: Securities...: Genesis Capital, LLC (``Genesis Capital'' or the ``Adviser'') and Northern Lights Fund Trust (the ``Trust...
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75 FR 71746 - ETSpreads, LLC, et al.; Notice of Application
Federal Register 2010, 2011, 2012, 2013, 2014
2010-11-24
... objective of each Fund will be to provide investment results that closely correspond to the total return of... as an ``ETF,'' an ``investment company,'' a ``fund,'' or a ``trust.'' All marketing materials that... SECURITIES AND EXCHANGE COMMISSION [Investment Company Act Release No. 29501; File No. 812-13774...
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77 FR 14447 - Kohlberg Capital Corporation; Notice of Application
Federal Register 2010, 2011, 2012, 2013, 2014
2012-03-09
... SECURITIES AND EXCHANGE COMMISSION [Investment Company Act Release No. 29975; File No. 812-13882... Commission (``Commission''). ACTION: Notice of application for an order under section 6(c) of the Investment...), each of which is a direct or indirect wholly-owned portfolio company of the Company, when the Advisers...
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78 FR 68103 - Transamerica Life Insurance Company, et al; Notice of Application
Federal Register 2010, 2011, 2012, 2013, 2014
2013-11-13
... SECURITIES AND EXCHANGE COMMISSION [Release No. 30776; File No. 812-14133] Transamerica Life...)(32), 22(c), and 27(i)(2)(A) of the 1940 Act and Rule 22c-1 thereunder. Applicants: Transamerica Life Insurance Company (``TLIC''), Transamerica Financial Life Insurance Company (``TFLIC'') (each a ``Company...
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78 FR 8601 - AXA Equitable Life Insurance Company, et al; Notice of Application
Federal Register 2010, 2011, 2012, 2013, 2014
2013-02-06
... SECURITIES AND EXCHANGE COMMISSION [Release No. IC-30373; File No. 812-14036] AXA Equitable Life... the Act. Applicants: AXA Equitable Life Insurance Company (``AXA Equitable''), Separate Account 45 of...: Steven M. Joenk, Senior Vice President, AXA Equitable Life Insurance Company, 1290 Avenue of Americas...
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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
... SECURITIES AND EXCHANGE COMMISSION [[Release No. IC-29693; File No. 812-13821] Allianz Life... 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 NY'') (together the ``Insurance Company...
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Federal Register 2010, 2011, 2012, 2013, 2014
2011-05-19
... those who meet the Professional definition have certain technological and informational advantages over... Chapter I, Section I (Definitions). See also Securities Exchange Act Release Nos. 63028 (October 1, 2010... Professionals have the same technological and informational advantages as broker-dealers trading for their own...
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78 FR 42567 - ACS Wireless, Inc.; Notice of Application
Federal Register 2010, 2011, 2012, 2013, 2014
2013-07-16
... SECURITIES AND EXCHANGE COMMISSION [Investment Company Act Release No. 30567; File No. 812-14066] ACS Wireless, Inc.; Notice of Application June 25, 2013. Correction In notice document 2013-15658 beginning on page 39345 in the issue of Monday, July 1, 2013, make the following correction: On page 39345...
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Federal Register 2010, 2011, 2012, 2013, 2014
2010-12-16
...; Securities Exchange Act of 1934 Release No. 63526/December 10, 2010] Order Approving Public Company... Company Accounting Oversight Board (the ``PCAOB'') to oversee the audits of companies and related matters..., subject to approval by the Commission, auditing and related attestation, quality control, ethics, and...
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Federal Register 2010, 2011, 2012, 2013, 2014
2012-07-17
... SECURITIES AND EXCHANGE COMMISSION [Investment Company Act Release No. 30134; 812-14005] AmericaFirst Quantitative Trust and AmericaFirst Securities, Inc.; Notice of Application July 10, 2012. AGENCY...: AmericaFirst Quantitative Trust (the ``AmericaFirst Trust'') and AmericaFirst Securities, Inc. (``AFSI...
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Federal Register 2010, 2011, 2012, 2013, 2014
2012-03-02
...(a)(3) of the Act \\14\\ provides that in the event any self-regulatory organization is no longer in... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-66460; File No. 600-10] Self-Regulatory Organizations; Pacific Securities Depository Trust Company; Order Cancelling Clearing Agency Registration...
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Federal Register 2010, 2011, 2012, 2013, 2014
2012-03-02
... Act provides that in the event any self- regulatory organization is no longer in existence or has... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-66458; File No. 600-9] Self-Regulatory Organizations; Midwest Clearing Corporation; Order Cancelling Clearing Agency Registration February 24, 2012. I...
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77 FR 25510 - GPS Funds I, et al.; Notice of Application
Federal Register 2010, 2011, 2012, 2013, 2014
2012-04-30
... SECURITIES AND EXCHANGE COMMISSION [Investment Company Act Release No. 30044; File No. 812-13986... (``Commission''). ACTION: Notice of an application for an order under section 12(d)(1)(J) of the Investment...: The requested order would (a) permit certain registered open-end management investment companies that...
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75 FR 53357 - Aston Funds, et al.; Notice of Application
Federal Register 2010, 2011, 2012, 2013, 2014
2010-08-31
... SECURITIES AND EXCHANGE COMMISSION [Investment Company Act Release No. 29400; File No. 812-13775... (``Commission''). ACTION: Notice of an application for an order under section 12(d)(1)(J) of the Investment... Application: The requested order would (a) permit certain registered open-end management investment companies...
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78 FR 34413 - KP Funds, et al.; Notice of Application
Federal Register 2010, 2011, 2012, 2013, 2014
2013-06-07
... SECURITIES AND EXCHANGE COMMISSION [Investment Company Act Release No. 30545; File No. 812-14142... (``Commission''). ACTION: Notice of an application for an order under section 12(d)(1)(J) of the Investment... Application: The requested order would (a) permit certain registered open-end management investment companies...
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Federal Register 2010, 2011, 2012, 2013, 2014
2013-08-05
... requiring intraday, trade-for- trade settlement on a delivery-versus-payment (``DVP'') \\6\\ basis. The...) establishing rules for intraday GCF Repo collateral substitutions. See Securities Exchange Act Release No... provision of intraday credit to market participants.\\18\\ The Commission believes that extending the 2012...
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76 FR 62475 - Global X Funds, et al.
Federal Register 2010, 2011, 2012, 2013, 2014
2011-10-07
...] Global X Funds, et al.; Notice of Application September 30, 2011. AGENCY: Securities and Exchange....\\1\\ \\1\\ Global X Funds and Global X Management Company LLC, Investment Company Act Release Nos. 28378 (Sep. 10, 2008) (notice) and 28433 (Oct. 3, 2008) (order). Applicants: Global X Funds (the ``Trust...
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78 FR 21428 - Royce Focus Trust, Inc., et al.;
Federal Register 2010, 2011, 2012, 2013, 2014
2013-04-10
...] Royce Focus Trust, Inc., et al.; Notice of Application April 4, 2013. AGENCY: Securities and Exchange.... Applicants: Royce Focus Trust, Inc. (``RFT''), Royce Value Trust, Inc. (``RVT''), Royce Micro-Cap Trust, Inc... prior order (``Prior Order'').\\1\\ \\1\\ Royce Global Trust, Inc., et al., Investment Company Act Release...
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78 FR 42122 - Bridge Builder Trust and Olive Street Investment Advisers, LLC; Notice of Application
Federal Register 2010, 2011, 2012, 2013, 2014
2013-07-15
... SECURITIES AND EXCHANGE COMMISSION [Investment Company Act Release No. 30592; 812-14118] Bridge...: Bridge Builder Trust (the ``Trust'') and Olive Street Investment Advisers (the ``Adviser'') (collectively... the requested order as a Fund is the Bridge Builder Bond Fund. For purposes of the requested order...
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Bhattacharyya, Moitrayee; Stratton, Margaret M.; Going, Catherine C.; ...
2016-03-07
Activation triggers the exchange of subunits in Ca 2+/calmodulin-dependent protein kinase II (CaMKII), an oligomeric enzyme that is critical for learning, memory, and cardiac function. The mechanism by which subunit exchange occurs remains elusive. We show that the human CaMKII holoenzyme exists in dodecameric and tetradecameric forms, and that the calmodulin (CaM)-binding element of CaMKII can bind to the hub of the holoenzyme and destabilize it to release dimers. The structures of CaMKII from two distantly diverged organisms suggest that the CaM-binding element of activated CaMKII acts as a wedge by docking at intersubunit interfaces in the hub. This convertsmore » the hub into a spiral form that can release or gain CaMKII dimers. Our data reveal a three-way competition for the CaM-binding element, whereby phosphorylation biases it towards the hub interface, away from the kinase domain and calmodulin, thus unlocking the ability of activated CaMKII holoenzymes to exchange dimers with unactivated ones.« less
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DOE Office of Scientific and Technical Information (OSTI.GOV)
Bhattacharyya, Moitrayee; Stratton, Margaret M.; Going, Catherine C.
Activation triggers the exchange of subunits in Ca 2+/calmodulin-dependent protein kinase II (CaMKII), an oligomeric enzyme that is critical for learning, memory, and cardiac function. The mechanism by which subunit exchange occurs remains elusive. We show that the human CaMKII holoenzyme exists in dodecameric and tetradecameric forms, and that the calmodulin (CaM)-binding element of CaMKII can bind to the hub of the holoenzyme and destabilize it to release dimers. The structures of CaMKII from two distantly diverged organisms suggest that the CaM-binding element of activated CaMKII acts as a wedge by docking at intersubunit interfaces in the hub. This convertsmore » the hub into a spiral form that can release or gain CaMKII dimers. Our data reveal a three-way competition for the CaM-binding element, whereby phosphorylation biases it towards the hub interface, away from the kinase domain and calmodulin, thus unlocking the ability of activated CaMKII holoenzymes to exchange dimers with unactivated ones.« less
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Bhattacharyya, Moitrayee; Stratton, Margaret M; Going, Catherine C; McSpadden, Ethan D; Huang, Yongjian; Susa, Anna C; Elleman, Anna; Cao, Yumeng Melody; Pappireddi, Nishant; Burkhardt, Pawel; Gee, Christine L; Barros, Tiago; Schulman, Howard; Williams, Evan R; Kuriyan, John
2016-01-01
Activation triggers the exchange of subunits in Ca2+/calmodulin-dependent protein kinase II (CaMKII), an oligomeric enzyme that is critical for learning, memory, and cardiac function. The mechanism by which subunit exchange occurs remains elusive. We show that the human CaMKII holoenzyme exists in dodecameric and tetradecameric forms, and that the calmodulin (CaM)-binding element of CaMKII can bind to the hub of the holoenzyme and destabilize it to release dimers. The structures of CaMKII from two distantly diverged organisms suggest that the CaM-binding element of activated CaMKII acts as a wedge by docking at intersubunit interfaces in the hub. This converts the hub into a spiral form that can release or gain CaMKII dimers. Our data reveal a three-way competition for the CaM-binding element, whereby phosphorylation biases it towards the hub interface, away from the kinase domain and calmodulin, thus unlocking the ability of activated CaMKII holoenzymes to exchange dimers with unactivated ones. DOI: http://dx.doi.org/10.7554/eLife.13405.001 PMID:26949248
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76 FR 33376 - Altegris Advisors, L.L.C. and Northern Lights Fund Trust; Notice of Application
Federal Register 2010, 2011, 2012, 2013, 2014
2011-06-08
... SECURITIES AND EXCHANGE COMMISSION [Investment Company Act Release No. 29689; 812-13851] Altegris Advisors, L.L.C. and Northern Lights Fund Trust; Notice of Application June 1, 2011. AGENCY: Securities and... ``Adviser'') and Northern Lights Fund Trust (the ``Trust''). DATES: Filing Dates: The application was filed...
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75 FR 36452 - Pruco Life Insurance Company, et al.; Notice of Application
Federal Register 2010, 2011, 2012, 2013, 2014
2010-06-25
... SECURITIES AND EXCHANGE COMMISSION [Release No. IC-29302; File No. 812-13713] Pruco Life Insurance... Sections 2(a)(32), and 27(i)(2)(A) of the Act and Rule 22c-1 thereunder. Applicants: Pruco Life Insurance Company (``Pruco Life''), Pruco Life Insurance Company of New Jersey (``PLNJ,'' and collectively with...
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75 FR 39994 - AXA Equitable Life Insurance Company, et al.; Notice of Application
Federal Register 2010, 2011, 2012, 2013, 2014
2010-07-13
... SECURITIES AND EXCHANGE COMMISSION [Release No. IC-29338; File No. 812-13686] AXA Equitable Life... securities and for an order of exemption pursuant to Section 17(b) of the Act. APPLICANTS: AXA Equitable Life... Equitable Separate Accounts''), MONY Life Insurance Company of America (``MLOA'') and MONY America Variable...
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76 FR 57087 - Stone Harbor Investment Partners LP, et al.; Notice of Application
Federal Register 2010, 2011, 2012, 2013, 2014
2011-09-15
... SECURITIES AND EXCHANGE COMMISSION [Investment Company Act Release No. 29784; File No. 812-13931] Stone Harbor Investment Partners LP, et al.; Notice of Application September 7, 2011. AGENCY: Securities..., or cause more than 10% of the acquired company's voting stock to be owned by investment companies and...
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Federal Register 2010, 2011, 2012, 2013, 2014
2012-03-02
... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-66459; File No. 600-11] Self-Regulatory Organizations; Pacific Clearing Corporation; Order Cancelling Clearing Agency Registration February 24, 2012. I..., 2006), 72 FR 814 (Jan. 8, 2007). Section 19(a)(3) of the Act \\14\\ provides that in the event any self...
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Federal Register 2010, 2011, 2012, 2013, 2014
2012-07-17
....55 NOM 0.54 0.54 0.55 NOM-MNX 0.56 0.56 0.55 NOM-NDX 0.11 0.81 0.81 \\13\\ These fees are applicable to...-030). \\5\\ See Securities Exchange Act Release No. 67339 (SR-BX-2012- 043). This filing will become...
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78 FR 48918 - Wells Fargo Bank, N.A., et al.; Notice of Application and Temporary Order
Federal Register 2010, 2011, 2012, 2013, 2014
2013-08-12
... certain of Wells Fargo Bank's) current or former directors, officers or employees had any knowledge of, or... SECURITIES AND EXCHANGE COMMISSION [Investment Company Act Release No. 30644; 812-14176] Wells... injunction effective July 15, 2013, entered against Wells Fargo Bank, N.A. (``Wells Fargo Bank'') by the...
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Federal Register 2010, 2011, 2012, 2013, 2014
2011-07-08
...-fraud provisions, as well as exempt these security-based swaps from Exchange Act registration... interest involving security-based swaps.\\31\\ We have also proposed anti-fraud and anti-manipulation rules... Against Fraud, Manipulation, and Deception in Connection with Security-Based Swaps, Release No. 34-63236...
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76 FR 50773 - Pax World Funds Series Trust I and Pax World Management LLC; Notice of Application
Federal Register 2010, 2011, 2012, 2013, 2014
2011-08-16
... SECURITIES AND EXCHANGE COMMISSION [Investment Company Act Release No. 29751; 812-13883] Pax World Funds Series Trust I and Pax World Management LLC; Notice of Application August 10, 2011. AGENCY.... Applicants: Pax World Funds Series Trust I (``Mutual Funds Trust'') and Pax World Management LLC (the...
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Federal Register 2010, 2011, 2012, 2013, 2014
2012-05-09
... general matter, the changes will result in fee increases and rebate reductions that reflect the persistent... the orders of institutional investors are executed in dark pools. Securities Exchange Act Release No... trading and un- displayed, or ``dark,'' liquidity. See also Mary L. Schapiro, Strengthening Our Equity...
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Federal Register 2010, 2011, 2012, 2013, 2014
2011-01-07
... institutional investors are executed in dark pools. Securities Exchange Act Release No. 61358 (January 14, 2010...- displayed, or ``dark,'' liquidity. See also Mary L. Schapiro, Strengthening Our Equity Market Structure... Web site)(comments of Commission Chairman on what she viewed as a troubling trend of reduced...
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Federal Register 2010, 2011, 2012, 2013, 2014
2012-04-11
... in dark pools. Securities Exchange Act Release No. 61358 (January 14, 2010), 75 FR 3594 (January 21... market structure issues, including high frequency trading and un- displayed, or ``dark,'' liquidity. See... York, Sept. 7, 2010) (``Schapiro Speech,'' available on the Commission Web site) (comments of...
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76 FR 64401 - Curian Series Trust and Curian Capital, LLC; Notice of Application
Federal Register 2010, 2011, 2012, 2013, 2014
2011-10-18
... SECURITIES AND EXCHANGE COMMISSION [Investment Company Act Release No. 29794; File No. 812-13855] Curian Series Trust and Curian Capital, LLC; Notice of Application September 19, 2011. Correction In notice document 2011-24590 appearing on pages 59455-59456 in the issue of September 26, 2011, make the...
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Federal Register 2010, 2011, 2012, 2013, 2014
2013-03-28
... Amendment to the National Market System Plan to Address Extraordinary Market Volatility, File No. 4-631... Market System Plan To Address Extraordinary Market Volatility). \\7\\ See Securities Exchange Act Release... requirements of the Plan are coupled with Trading Pauses to accommodate more fundamental price moves (as...
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Formulation and evaluation of sublingual tablets containing Sumatriptan succinate
Prajapati, Shailesh T; Patel, Parth B; Patel, Chhagan N
2012-01-01
Objective: Sumatriptan succinate is a selective 5-hydroxytryptamine-1 receptor agonist effective in the acute treatment of migraine headaches, having low bioavailability of about 15% orally due to first-pass metabolism. The purpose of this research was to mask the intensely bitter taste of Sumatriptan succinate and to formulate fast-acting, taste-masked sublingual tablet formulation. Materials and Methods: Taste masking was performed by solid dispersion method with mannitol and ion exchange with Kyron T 114 because it releases the drug in salivary pH. The resultant batches were evaluated for in-vivo taste masking as well compatability study (Fourier transform infrared (FTIR) and differential scanning calorimetry (DSC)). For a better feel in the mouth, menthol and sweetener Na saccharine were added to the tablet formulation. The tablets were prepared by direct compression and evaluated for weight variation, thickness, friability, drug content, hardness, disintegration time, wetting time, in vitro drug release, and in vitro permeation study. Results and Discussion: Optimized batches disintegrated in vitro within 28-34 s. Maximum drug release could be achieved with in 10 min for the solid dispersion batches and 14-15 min for the ion-exchange batches with Kyron T 114. The optimized tablet formulation showed better taste and the formulated sublingual tablets may act as a potential alternate for the Sumatriptan succinate oral tablet. Conclusion: Sumatriptan succinate can be successfully taste-masked by both the solid dispersion method using mannitol by the melting method and Ion exchange resin with Kyron T114. It was also concluded that prepared formulation improve bioavailability by prevention of first pass metabolism. PMID:23373008
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Adenosine triphosphate acts as a paracrine signaling molecule to reduce the motility of T cells
Wang, Chiuhui Mary; Ploia, Cristina; Anselmi, Fabio; Sarukhan, Adelaida; Viola, Antonella
2014-01-01
Organization of immune responses requires exchange of information between cells. This is achieved through either direct cell–cell contacts and establishment of temporary synapses or the release of soluble factors, such as cytokines and chemokines. Here we show a novel form of cell-to-cell communication based on adenosine triphosphate (ATP). ATP released by stimulated T cells induces P2X4/P2X7-mediated calcium waves in the neighboring lymphocytes. Our data obtained in lymph node slices suggest that, during T-cell priming, ATP acts as a paracrine messenger to reduce the motility of lymphocytes and that this may be relevant to allow optimal tissue scanning by T cells. PMID:24843045
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Federal Register 2010, 2011, 2012, 2013, 2014
2010-03-11
... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-61647; File No. SR-MSRB-2010-01] Self... of the self- regulatory organization pursuant to Section 19(b)(3)(A)(i) of the Act,\\3\\ and Rule 19b-4...)(1). I. Self-Regulatory Organization's Statement of the Terms of Substance of the Proposed Rule...
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Federal Register 2010, 2011, 2012, 2013, 2014
2013-02-06
... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-68801; File No. SR-NYSEMKT-2013-11] Self... of Regulation NMS Under the Act February 1, 2013. Pursuant to Section 19(b)(1) \\1\\ of the Securities... have been prepared by the self-regulatory organization. The Commission is publishing this notice to...
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Federal Register 2010, 2011, 2012, 2013, 2014
2010-09-08
... Supplemental Liquidity Providers Pilot (``SLP Pilot'' or ``Pilot'') (See Rule 107B-- NYSE Amex Equities... 15, 2010) (SR-NYSEAmex-2009-98) (establishing the NYSE Amex Equities SLP Pilot). See also Securities...) (extending the operation of the SLP Pilot to September 30, 2010). See also Securities Exchange Act Release No...
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Federal Register 2010, 2011, 2012, 2013, 2014
2011-07-06
... Liquidity Providers Pilot (``SLP Pilot'' or ``Pilot'') (See Rule 107B-- NYSE Amex Equities), currently... NYSE Amex Equities SLP Pilot). See also Securities Exchange Act Release Nos. 61841 (April 5, 2010), 75 FR 18560 (April 12, 2010) (SR-NYSEAmex-2010-33) (extending the operation of the SLP Pilot to...
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Federal Register 2010, 2011, 2012, 2013, 2014
2013-11-20
... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-70880; File No. SR-FINRA-2013-047] Self... Change To Amend FINRA Rule 8312 (FINRA BrokerCheck Disclosure) To Include Information About Members and... (``Act'') \\1\\ and Rule 19b-4 thereunder,\\2\\ notice is hereby given that on November 1, 2013, the...
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Federal Register 2010, 2011, 2012, 2013, 2014
2011-07-14
... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-64841; File No. SR-FINRA-2011-032] Self... self-regulatory organization under Section 19(b)(3)(A)(iii) of the Act \\3\\ and Rule 19b-4(f)(3...(f)(3). I. Self-Regulatory Organization's Statement of the Terms of Substance of the Proposed Rule...
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Federal Register 2010, 2011, 2012, 2013, 2014
2013-06-18
... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-69741; File No. SR-DTC-2013-03] Self-Regulatory Organizations; The Depository Trust Company; Order Approving Proposed Rule Change in Connection With the Implementation of The Foreign Account Tax Compliance Act (FATCA) June 12, 2013. On April 22, 2013, The Depository Trust Company (``DTC'') filed...
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Federal Register 2010, 2011, 2012, 2013, 2014
2011-01-14
... on SIPC Members January 10, 2011. On October 8, 2010, the Securities Investor Protection Corporation... pursuant to Section 3(e)(1) of the Securities Investor Protection Act of 1970 (``SIPA''), 15 U.S.C. 78ccc(e... SECURITIES AND EXCHANGE COMMISSION [Release No. SIPA-170; File No. SIPC-2010-01] Securities...
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Federal Register 2010, 2011, 2012, 2013, 2014
2010-12-08
... available from NASDAQ's Web site at http://nasdaq.cchwallstreet.com/Filings/ , at NASDAQ's principal office... in dark pools. Securities Exchange Act Release No. 61358 (January 14, 2010), 75 FR 3594 (January 21... Speech,'' available on the Commission Web site) (comments of Commission Chairman on what she viewed as a...
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Federal Register 2010, 2011, 2012, 2013, 2014
2012-09-19
... amend NASDAQ's schedule of execution fees and rebates under Rule 7018(a). As a general matter, the... in dark pools. Securities Exchange Act Release No. 61358 (January 14, 2010), 75 FR 3594 (January 21... market structure issues, including high frequency trading and un- displayed, or ``dark,'' liquidity. See...
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Federal Register 2010, 2011, 2012, 2013, 2014
2010-03-24
... Commission has considered the proposed rule's impact on efficiency, competition, and capital formation. See... security.''). See also Newton v. Merrill, Lynch, Pierce, Fenner & Smith, Inc., 135 F.3d 266, at 271, 274 (3d Cir.), cert. denied, 525 U.S. 811 (1998); Payment for Order Flow, Securities Exchange Act Release...
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Federal Register 2010, 2011, 2012, 2013, 2014
2011-02-17
... are executed in dark pools. Securities Exchange Act Release No. 61358 (January 14, 2010), 75 FR 3594... wide range of market structure issues, including high frequency trading and un- displayed, or ``dark... of New York, Sept. 7, 2010) (``Schapiro Speech,'' available on the Commission Web site) (comments of...
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Cuellar, Alison Evans; Cheema, Jehanzeb
2012-05-01
During 2009, 730,000 prisoners were released from federal and state prisons--a 21 percent increase from the number of prisoners released in 2000. Poor health and poor health coverage have been major challenges for former prisoners trying to reintegrate into the community and find work. We discuss these challenges and the likely effect of recent federal legislation, including the Second Chance Act, the Mental Health Parity and Addiction Equity Act, and the Affordable Care Act. We estimated that with the implementation of health reform, up to 33.6 percent of inmates released annually--more than 245,000 people in 2009--could enroll in Medicaid. Similarly, we estimated that up to 23.5 percent of prisoners released annually-more than 172,000 people in 2009-could be eligible for federal tax credits to defray the cost of purchasing insurance from state health exchanges. This health insurance, combined with new substance abuse services and patient-centered medical home models, could dramatically improve the health and success of former inmates as they return to the community. States should consider several policy changes to ease prisoners' transitions, including suspending rather than terminating Medicaid benefits for offenders; incorporating corrections information into eligibility determination systems; aiming Medicaid outreach and enrollment efforts at prison inmates; and designing comprehensive approaches to meeting former prisoners' health care needs.
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Federal Register 2010, 2011, 2012, 2013, 2014
2012-08-01
... relationship with Correlix due to the lack of customer interest in the measurement tools offered. It also... on the part of customers.\\4\\ \\3\\ See Exchange Act Release No. 63220 (November 1, 2010) 75 FR 68389... eliminating its revenue sharing relationship with Correlix and deleting from its rulebook the listing of fees...
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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
... several releases that the Securities and Exchange Commission (``Commission'') will be considering relating... Conditional Demand Feature 3. Monitoring Minimal Credit Risks 4. Stress Testing B. Form N-MFP C. Rule 5b-3 D... events; and stress testing.\\20\\ The proposed amendments to rule 2a-7, which are similar to those we...
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Federal Register 2010, 2011, 2012, 2013, 2014
2013-12-30
... SECURITIES AND EXCHANGE COMMISSION [Release No. IC-30841] Notice of Applications for... to the SEC's Secretary at the address below and serving the relevant applicant with a copy of the..., 2014, and should be accompanied by proof of service on the applicant, in the form of an affidavit or...
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Federal Register 2010, 2011, 2012, 2013, 2014
2013-12-18
... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-71055; File No. SR-BX-2013-059] Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To... of 1934 (``Act'') \\1\\ and Rule 19b-4 thereunder,\\2\\ notice is hereby given that on November 29, 2013...
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Federal Register 2010, 2011, 2012, 2013, 2014
2010-05-06
... securities and does not propose to make a public offering or engage in business of any kind. Filing Dates... their securities and do not propose to make a public offering or engage in business of any kind. Filing... SECURITIES AND EXCHANGE COMMISSION [Release No. IC-29263] Notice of Applications for...
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Federal Register 2010, 2011, 2012, 2013, 2014
2010-07-01
... securities and does not propose to make a public offering or engage in business of any kind. Filing Dates... public offering of its securities and does not propose to make a public offering or engage in business of... SECURITIES AND EXCHANGE COMMISSION [Release No. IC-29333] Notice of Applications for...
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Federal Register 2010, 2011, 2012, 2013, 2014
2010-02-08
... attached as Exhibit 2.\\3\\ \\3\\ The Commission notes that the text of the proposed Regulatory Circular is... Exchange Act Release No. 60886 (October 27, 2009), 74 FR 56897 (November 3, 2009) (SR-BX-2009-067). This..., February 1, 2010, May 3, 2010 and August 2, 2010, respectively. For purposes of identifying the classes to...
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Federal Register 2010, 2011, 2012, 2013, 2014
2013-09-10
... proposing Rule change. \\5\\ Study period was January through October, 2012. The time frame was chosen to... extended period of time because of LEAP series. For instance, an issue that went bankrupt in the Fall of... times since.\\3\\ \\3\\ Exchange Act Release No. 55156 (January 23, 2007) 72 FR 4759 (February 1, 2007...
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17 CFR 210.1-01 - Application of Regulation S-X (17 CFR part 210).
Code of Federal Regulations, 2013 CFR
2013-04-01
... 17 Commodity and Securities Exchanges 2 2013-04-01 2013-04-01 false Application of Regulation S-X... POLICY AND CONSERVATION ACT OF 1975 Application of Regulation S-X (17 Cfr Part 210) § 210.1-01 Application of Regulation S-X (17 CFR part 210). (a) This part (together with the Financial Reporting Releases...
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17 CFR 210.1-01 - Application of Regulation S-X (17 CFR part 210).
Code of Federal Regulations, 2014 CFR
2014-04-01
... 17 Commodity and Securities Exchanges 3 2014-04-01 2014-04-01 false Application of Regulation S-X... POLICY AND CONSERVATION ACT OF 1975 Application of Regulation S-X (17 Cfr Part 210) § 210.1-01 Application of Regulation S-X (17 CFR part 210). (a) This part (together with the Financial Reporting Releases...
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17 CFR 210.1-01 - Application of Regulation S-X (17 CFR part 210).
Code of Federal Regulations, 2012 CFR
2012-04-01
... 17 Commodity and Securities Exchanges 2 2012-04-01 2012-04-01 false Application of Regulation S-X... POLICY AND CONSERVATION ACT OF 1975 Application of Regulation S-X (17 Cfr Part 210) § 210.1-01 Application of Regulation S-X (17 CFR part 210). (a) This part (together with the Financial Reporting Releases...
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Conditions affecting the release of phosphorus from surface lake sediments.
Christophoridis, Christophoros; Fytianos, Konstantinos
2006-01-01
Laboratory studies were conducted to determine the effect of pH and redox conditions, as well as the effect of Fe, Mn, Ca, Al, and organic matter, on the release of ortho-phosphates in lake sediments taken from Lakes Koronia and Volvi (Northern Greece). Results were evaluated in combination with experiments to determine P fractionation in the sediment. The study revealed the major effect of redox potential and pH on the release of P from lake sediments. Both lakes showed increased release rates under reductive conditions and high pH values. The fractionation experiments revealed increased mobility of the reductive P fraction as well as of the NaOH-P fraction, indicating participation of both fractions in the overall release of sediment-bound P, depending on the prevailing environmental conditions. The results were assessed in combination with the release patterns of Fe, Mn, Ca, Al, and organic matter, enabling the identification of more specific processes of P release for each lake. The basic release patterns included the redox induced reductive dissolution of P-bearing metal oxides and the competitive exchange of phosphate anions with OH- at high pH values. The formation of an oxidized surface microlayer under oxic conditions acted as a protective film, preventing further P release from the sediments of Lake Volvi, while sediments from Lake Koronia exhibited a continuous and increased tendency to release P under various physicochemical conditions, acting as a constant source of internal P loading.
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Federal Register 2010, 2011, 2012, 2013, 2014
2010-05-19
... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-62079; File No. 4-598] Program for Allocation... Order gives effect to the Plan filed with the Commission in File No. 4-598. The Parties shall notify all..., pursuant to Section 17(d) of the Act, that the Plan in File No. 4-598, between FINRA and EDGX, filed...
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Federal Register 2010, 2011, 2012, 2013, 2014
2013-03-01
... to solicit comments on the proposed rule change from interested persons. \\1\\ 15 U.S.C. 78s(b)(1). \\2... recently filed a rule change to amend its transaction fees and rebates for simple,\\6\\ non-complex orders.... \\6\\ C2 defines simple orders to exclude ETFs and indexes. \\7\\ See Securities Exchange Act Release No...
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2015-10-14
rate Kinetics •14 Species & 12 reactionsCombustion Model •Participating Media Discrete Ordinate Method •WSG model for CO2, H2O and SootRadiation Model...Inhibition of JP-8 Combustion Physical Acting Agents • Dilute heat • Dilute reactants Ex: water, nitrogen Chemical Acting Agents • Reduce flame...Release; distribution is unlimited 5 Overview of Reduced Kinetics Scheme for FM200 • R1: JP-8 + O2 => CO + CO2 + H2O • R2: CO + O2 <=> CO2 • R3: HFP + JP-8
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Federal Register 2010, 2011, 2012, 2013, 2014
2011-03-03
... Regulation SHO under the Act. \\27\\ 15 U.S.C. 78f(b)(5). \\28\\ 15 U.S.C. 78k-1(a)(1). B. Self-Regulatory... SECURITIES AND EXCHANGE COMMISSION [Release No. 34-63968; File No. SR-NASDAQ-2011-030] Self... Proposed Rule Change To Adopt New Rule 4763 To Implement the Amendments to Regulation SHO February 25, 2011...
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Federal Register 2010, 2011, 2012, 2013, 2014
2013-10-02
.... \\1\\ 15 U.S.C. 78s(b)(1). \\2\\ 17 CFR 240.19b-4. \\3\\ Securities Exchange Act Release No. 69834 (June 24... information is not true, accurate, or complete. \\10\\ As defined in MSRB Rule G-34(a)(ii)(C)(1)(a). 2. Proposed... ``(B)'' is incorrect. Rule G-32(b)(vi)(C)(1)(a) provides that an underwriter must submit data...
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Federal Register 2010, 2011, 2012, 2013, 2014
2012-11-02
....\\4\\ \\1\\ 15 U.S.C. 78s(b)(1). \\2\\ 17 CFR 240.19b-4. \\3\\ Securities Exchange Act Release No. 67835...\\ 12 U.S.C. 5465(e)(1)(H). The Commission finds it is appropriate to extend the review period for the... for OTC S&P 500 Index options. Accordingly, the Commission, pursuant to 806(e)(1)(H) of the Clearing...
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Bloem, Elke; Haneklaus, Silvia; Kesselmeier, Jürgen; Schnug, Ewald
2012-08-08
The emission of gaseous sulfur (S) compounds by plants is related to several factors, such as the plant S status or fungal infection. Hydrogen sulfide (H(2)S) is either released or taken up by the plant depending on the ambient air concentration and the plant demand for S. On the contrary, carbonyl sulfide (COS) is normally taken up by plants. In a greenhouse experiment, the dependence of H(2)S and COS exchange with ambient air on the S status of oilseed rape (Brassica napus L.) and on fungal infection with Sclerotinia sclerotiorum was investigated. Thiol contents were determined to understand their influence on the exchange of gaseous S compounds. The experiment revealed that H(2)S emissions were closely related to pathogen infections as well as to S nutrition. S fertilization caused a change from H(2)S consumption by S-deficient oilseed rape plants to a H(2)S release of 41 pg g(-1) (dw) min(-1) after the addition of 250 mg of S per pot. Fungal infection caused an even stronger increase of H(2)S emissions with a maximum of 1842 pg g(-1) (dw) min(-1) 2 days after infection. Healthy oilseed rape plants acted as a sink for COS. Fungal infection caused a shift from COS uptake to COS releases. The release of S-containing gases thus seems to be part of the response to fungal infection. The roles the S-containing gases may play in this response are discussed.
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17 CFR 229.802 - Exchange Act industry guides.
Code of Federal Regulations, 2010 CFR
2010-04-01
... 17 Commodity and Securities Exchanges 2 2010-04-01 2010-04-01 false Exchange Act industry guides. 229.802 Section 229.802 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION STANDARD... AND CONSERVATION ACT OF 1975-REGULATION S-K List of Industry Guides § 229.802 Exchange Act industry...
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17 CFR 229.802 - Exchange Act industry guides.
Code of Federal Regulations, 2012 CFR
2012-04-01
... 17 Commodity and Securities Exchanges 2 2012-04-01 2012-04-01 false Exchange Act industry guides. 229.802 Section 229.802 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION STANDARD... AND CONSERVATION ACT OF 1975-REGULATION S-K List of Industry Guides § 229.802 Exchange Act industry...
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17 CFR 229.802 - Exchange Act industry guides.
Code of Federal Regulations, 2014 CFR
2014-04-01
... 17 Commodity and Securities Exchanges 3 2014-04-01 2014-04-01 false Exchange Act industry guides. 229.802 Section 229.802 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION STANDARD... AND CONSERVATION ACT OF 1975-REGULATION S-K List of Industry Guides § 229.802 Exchange Act industry...
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17 CFR 229.802 - Exchange Act industry guides.
Code of Federal Regulations, 2013 CFR
2013-04-01
... 17 Commodity and Securities Exchanges 2 2013-04-01 2013-04-01 false Exchange Act industry guides. 229.802 Section 229.802 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION STANDARD... AND CONSERVATION ACT OF 1975-REGULATION S-K List of Industry Guides § 229.802 Exchange Act industry...
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17 CFR 229.802 - Exchange Act industry guides.
Code of Federal Regulations, 2011 CFR
2011-04-01
... 17 Commodity and Securities Exchanges 2 2011-04-01 2011-04-01 false Exchange Act industry guides. 229.802 Section 229.802 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION STANDARD... AND CONSERVATION ACT OF 1975-REGULATION S-K List of Industry Guides § 229.802 Exchange Act industry...
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Protons act as a transmitter for muscle contraction in C. elegans.
Beg, Asim A; Ernstrom, Glen G; Nix, Paola; Davis, M Wayne; Jorgensen, Erik M
2008-01-11
Muscle contraction is normally mediated by the release of neurotransmitters from motor neurons. Here we demonstrate that protons can act as a direct transmitter from intestinal cells to stimulate muscle contraction. During the C. elegans defecation motor program the posterior body muscles contract even in the absence of neuronal inputs or vesicular neurotransmission. In this study, we demonstrate that the space between the intestine and the muscle is acidified just prior to muscle contraction and that the release of caged protons is sufficient to induce muscle contraction. PBO-4 is a putative Na+/H+ ion exchanger expressed on the basolateral membrane of the intestine, juxtaposed to the posterior body muscles. In pbo-4 mutants the extracellular space is not acidified and the muscles fail to contract. The pbo-5 and pbo-6 genes encode subunits of a "cys-loop" proton-gated cation channel required for muscles to respond to acidification. In heterologous expression assays the PBO receptor is half-maximally activated at a pH of 6.8. The identification of the mechanisms for release and reception of proton signals establishes a highly unusual mechanism for intercellular communication.
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17 CFR 200.80b - Appendix B-SEC releases.
Code of Federal Regulations, 2014 CFR
2014-04-01
... 17 Commodity and Securities Exchanges 3 2014-04-01 2014-04-01 false Appendix B-SEC releases. 200.80b Section 200.80b Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION ORGANIZATION... corporate reorganization releases, and the litigation releases are contained in the SEC Docket, which may be...
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17 CFR 200.80b - Appendix B-SEC releases.
Code of Federal Regulations, 2013 CFR
2013-04-01
... 17 Commodity and Securities Exchanges 2 2013-04-01 2013-04-01 false Appendix B-SEC releases. 200.80b Section 200.80b Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION ORGANIZATION... corporate reorganization releases, and the litigation releases are contained in the SEC Docket, which may be...
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17 CFR 200.80b - Appendix B-SEC releases.
Code of Federal Regulations, 2010 CFR
2010-04-01
... 17 Commodity and Securities Exchanges 2 2010-04-01 2010-04-01 false Appendix B-SEC releases. 200.80b Section 200.80b Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION ORGANIZATION... corporate reorganization releases, and the litigation releases are contained in the SEC Docket, which may be...
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17 CFR 200.80b - Appendix B-SEC releases.
Code of Federal Regulations, 2011 CFR
2011-04-01
... 17 Commodity and Securities Exchanges 2 2011-04-01 2011-04-01 false Appendix B-SEC releases. 200.80b Section 200.80b Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION ORGANIZATION... corporate reorganization releases, and the litigation releases are contained in the SEC Docket, which may be...
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17 CFR 200.80b - Appendix B-SEC releases.
Code of Federal Regulations, 2012 CFR
2012-04-01
... 17 Commodity and Securities Exchanges 2 2012-04-01 2012-04-01 false Appendix B-SEC releases. 200.80b Section 200.80b Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION ORGANIZATION... corporate reorganization releases, and the litigation releases are contained in the SEC Docket, which may be...
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Sharing the Knowledge: Government-Private Sector Partnerships to Enhance Information Security
2000-05-01
private sector . However, substantial barriers threaten to block information exchanges between the government and private sector . These barriers include concerns over release of sensitive material under Freedom of Information Act requests, antitrust actions, protection of business confidential and other private material, possible liability due to shared information, disclosure of classified information, and burdens entailed with cooperating with law enforcement agencies. There is good cause to believe that the government and private
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Yao, Feng; Hu, Hao; Xu, Sailong; Huo, Ruijie; Zhao, Zhiping; Zhang, Fazhi; Xu, Fujian
2015-02-25
We describe a reliable preparation of MgAl-layered double hydroxide (MgAl-LDH) micropatterned arrays on gold substrate by combining SO3(-)-terminated self-assembly monolayer and photolithography. The synthesis route is readily extended to prepare LDH arrays on the SO3(-)-terminated polymer-bonded glass substrate amenable for cell imaging. The anion-exchangeable MgAl-LDH micropattern can act both as bioadhesive region for selective cell adhesion and as nanocarrier for drug molecules to regulate cell behaviors. Quantitative analysis of cell adhesion shows that selective HepG2 cell adhesion and spreading are promoted by the micropatterned MgAl-LDH, and also suppressed by methotrexate drug released from the LDH interlayer galleries.
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Yuan, Jing; Gao, Yanan; Wang, Xinyu; Liu, Hongzhuo; Che, Xin; Xu, Lu; Yang, Yang; Wang, Qifang; Wang, Yan; Li, Sanming
2014-01-01
Ion-exchange fibers were different from conventional ion-exchange resins in their non-cross-linked structure. The exchange was located on the surface of the framework, and the transport resistance reduced significantly, which might mean that the exchange is controlled by an ionic reaction instead of diffusion. Therefore, this work aimed to investigate the load and release characteristics of five model drugs with the strong cationic ion-exchange fiber ZB-1. Drugs were loaded using a batch process and released in United States Pharmacopoeia (USP) dissolution apparatus 2. Opposing exchange kinetics, suitable for the special structure of the fiber, were developed for describing the exchange process with the help of thermodynamics, which illustrated that the load was controlled by an ionic reaction. The molecular weight was the most important factor to influence the drug load and release rate. Strong alkalinity and rings in the molecular structures made the affinity between the drug and fiber strong, while logP did not cause any profound differences. The drug-fiber complexes exhibited sustained release. Different kinds and concentrations of counter ions or different amounts of drug-fiber complexes in the release medium affected the release behavior, while the pH value was independent of it. The groundwork for in-depth exploration and further application of ion-exchange fibers has been laid.
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Yuan, Jing; Gao, Yanan; Wang, Xinyu; Liu, Hongzhuo; Che, Xin; Xu, Lu; Yang, Yang; Wang, Qifang; Wang, Yan; Li, Sanming
2014-01-01
Ion-exchange fibers were different from conventional ion-exchange resins in their non-cross-linked structure. The exchange was located on the surface of the framework, and the transport resistance reduced significantly, which might mean that the exchange is controlled by an ionic reaction instead of diffusion. Therefore, this work aimed to investigate the load and release characteristics of five model drugs with the strong cationic ion-exchange fiber ZB-1. Drugs were loaded using a batch process and released in United States Pharmacopoeia (USP) dissolution apparatus 2. Opposing exchange kinetics, suitable for the special structure of the fiber, were developed for describing the exchange process with the help of thermodynamics, which illustrated that the load was controlled by an ionic reaction. The molecular weight was the most important factor to influence the drug load and release rate. Strong alkalinity and rings in the molecular structures made the affinity between the drug and fiber strong, while logP did not cause any profound differences. The drug–fiber complexes exhibited sustained release. Different kinds and concentrations of counter ions or different amounts of drug–fiber complexes in the release medium affected the release behavior, while the pH value was independent of it. The groundwork for in-depth exploration and further application of ion-exchange fibers has been laid. PMID:25114504
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Federal Register 2010, 2011, 2012, 2013, 2014
2011-07-07
... generally subject to certain antifraud and anti-manipulation provisions under the Exchange Act. This is... specific antifraud and anti-manipulation provisions (including Exchange Act section 10(b)).\\25\\ Accordingly... application of those Exchange Act antifraud and anti-manipulation provisions, as well as Securities Act...
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Protons act as a transmitter for muscle contraction in C. elegans
Beg, Asim A.; Ernstrom, Glen G.; Nix, Paola; Davis, M. Wayne; Jorgensen, Erik M.
2008-01-01
Muscle contraction is normally mediated by the release of neurotransmitters from motor neurons. Here we demonstrate that protons can act as a direct transmitter from intestinal cells to stimulate muscle contraction. During the C. elegans defecation motor program the posterior body muscles contract even in the absence of neuronal inputs or vesicular neurotransmission. In this study, we demonstrate that the space between the intestine and the muscle is acidified just prior to muscle contraction and that the release of caged protons is sufficient to induce muscle contraction. PBO-4 is a putative Na+/H+ ion exchanger expressed on the basolateral membrane of the intestine, juxtaposed to the posterior body muscles. In pbo-4 mutants the extracellular space is not acidified and the muscles fail to contract. The pbo-5 and pbo-6 genes encode subunits of a ‘cys-loop’ proton-gated cation channel required for muscles to respond to acidification. In heterologous expression assays the PBO receptor is half-maximally activated at a pH of 6.8. The identification of the mechanisms for release and reception of proton signals establishes a highly unusual mechanism for intercellular communication. PMID:18191228
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17 CFR 14.4 - Violation of Commodity Exchange Act.
Code of Federal Regulations, 2010 CFR
2010-04-01
... 17 Commodity and Securities Exchanges 1 2010-04-01 2010-04-01 false Violation of Commodity Exchange Act. 14.4 Section 14.4 Commodity and Securities Exchanges COMMODITY FUTURES TRADING COMMISSION... Exchange Act. The Commission may deny, temporarily or permanently, the privilege of appearing or practicing...
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17 CFR 229.801 - Securities Act industry guides.
Code of Federal Regulations, 2013 CFR
2013-04-01
... 17 Commodity and Securities Exchanges 2 2013-04-01 2013-04-01 false Securities Act industry guides. 229.801 Section 229.801 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION STANDARD... AND CONSERVATION ACT OF 1975-REGULATION S-K List of Industry Guides § 229.801 Securities Act industry...
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17 CFR 229.801 - Securities Act industry guides.
Code of Federal Regulations, 2011 CFR
2011-04-01
... 17 Commodity and Securities Exchanges 2 2011-04-01 2011-04-01 false Securities Act industry guides. 229.801 Section 229.801 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION STANDARD... AND CONSERVATION ACT OF 1975-REGULATION S-K List of Industry Guides § 229.801 Securities Act industry...
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17 CFR 229.801 - Securities Act industry guides.
Code of Federal Regulations, 2012 CFR
2012-04-01
... 17 Commodity and Securities Exchanges 2 2012-04-01 2012-04-01 false Securities Act industry guides. 229.801 Section 229.801 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION STANDARD... AND CONSERVATION ACT OF 1975-REGULATION S-K List of Industry Guides § 229.801 Securities Act industry...
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17 CFR 229.801 - Securities Act industry guides.
Code of Federal Regulations, 2014 CFR
2014-04-01
... 17 Commodity and Securities Exchanges 3 2014-04-01 2014-04-01 false Securities Act industry guides. 229.801 Section 229.801 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION STANDARD... AND CONSERVATION ACT OF 1975-REGULATION S-K List of Industry Guides § 229.801 Securities Act industry...
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A COMPREHENSIVE ANALYSIS OF CHLORINE TRANSPORT AND FATE FOLLOWING A LARGE ENVIRONMENTAL RELEASE
DOE Office of Scientific and Technical Information (OSTI.GOV)
Buckley, R.; Hunter, C.; Werth, D.
2011-05-10
A train derailment occurred in Graniteville, South Carolina during the early morning of January 6, 2005, and resulted in the release of a large amount of cryogenic pressurized liquid chlorine to the environment in a short time period. A comprehensive evaluation of the transport and fate of the released chlorine was performed, accounting for dilution, diffusion, transport and deposition into the local environment. This involved the characterization of a three-phased chlorine release, a detailed determination of local atmospheric mechanisms acting on the released chlorine, the establishment of atmospheric-hydrological physical exchange mechanisms, and aquatic dilution and mixing. This presentation will providemore » an overview of the models used in determining the total air-to-water mass transfer estimated to have occurred as a result of the roughly 60 tons of chlorine released into the atmosphere from the train derailment. The assumptions used in the modeling effort will be addressed, along with a comparison with available observational data to validate the model results. Overall, model-estimated chlorine concentrations in the airborne plume compare well with human and animal exposure data collected in the days after the derailment.« less
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17 CFR 240.12h-1 - Exemptions from registration under section 12(g) of the Act.
Code of Federal Regulations, 2010 CFR
2010-04-01
... 17 Commodity and Securities Exchanges 3 2010-04-01 2010-04-01 false Exemptions from registration under section 12(g) of the Act. 240.12h-1 Section 240.12h-1 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) GENERAL RULES AND REGULATIONS, SECURITIES EXCHANGE ACT OF 1934...
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Tucker, Kristal R; Block, Ethan R; Levitan, Edwin S
2015-08-11
Based on lysotracker red imaging in cultured hippocampal neurons, antipsychotic drugs (APDs) were proposed to accumulate in synaptic vesicles by acidic trapping and to be released in response to action potentials. Because many APDs are dopamine (DA) D2 receptor (D2R) antagonists, such a mechanism would be particularly interesting if it operated in midbrain DA neurons. Here, the APD cyamemazine (CYAM) is visualized directly by two-photon microscopy in substantia nigra and striatum brain slices. CYAM accumulated slowly into puncta based on vacuolar H(+)-ATPase activity and dispersed rapidly upon dissipating organelle pH gradients. Thus, CYAM is subject to acidic trapping and released upon deprotonation. In the striatum, Ca(2+)-dependent reduction of the CYAM punctate signal was induced by depolarization or action potentials. Striatal CYAM overlapped with the dopamine transporter (DAT). Furthermore, parachloroamphetamine (pCA), acting via vesicular monoamine transporter (VMAT), and a charged VMAT, substrate 1-methyl-4-phenylpyridinium (MPP(+)), reduced striatal CYAM. In vivo CYAM administration and in vitro experiments confirmed that clinically relevant CYAM concentrations result in vesicular accumulation and pCA-dependent release. These results show that some CYAM is in DA neuron VMAT vesicles and suggests a new drug interaction in which amphetamine induces CYAM deprotonation and release as a consequence of the H(+) countertransport by VMAT that accompanies vesicular uptake, but not by inducing exchange or acting as a weak base. Therefore, in the striatum, APDs are released with DA in response to action potentials and an amphetamine. This synaptic corelease is expected to enhance APD antagonism of D2Rs where and when dopaminergic transmission occurs.
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Ion-exchange and iontophoresis-controlled delivery of apomorphine.
Malinovskaja, Kristina; Laaksonen, Timo; Kontturi, Kyösti; Hirvonen, Jouni
2013-04-01
The objective of this study was to test a drug delivery system that combines iontophoresis and cation-exchange fibers as drug matrices for the controlled transdermal delivery of antiparkinsonian drug apomorphine. Positively charged apomorphine was bound to the ion-exchange groups of the cation-exchange fibers until it was released by mobile counter-ions in the external solution. The release of the drug was controlled by modifying either the fiber type or the ionic composition of the external solution. Due to high affinity of apomorphine toward the ion-exchanger, a clear reduction in the in vitro transdermal fluxes from the fibers was observed compared to the respective fluxes from apomorphine solutions. Changes in the ionic composition of the donor formulations affected both the release and iontophoretic flux of the drug. Upon the application of higher co-ion concentrations or co-ions of higher valence in the donor formulation, the release from the fibers was enhanced, but the iontophoretic steady-state flux was decreased. Overall, the present study has demonstrated a promising approach using ion-exchange fibers for controlling the release and iontophoretic transdermal delivery of apomorphine. Copyright © 2012 Elsevier B.V. All rights reserved.
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17 CFR 201.550 - Summary suspensions pursuant to Exchange Act Section 12(k)(1)(A).
Code of Federal Regulations, 2012 CFR
2012-04-01
... to Exchange Act Section 12(k)(1)(A). 201.550 Section 201.550 Commodity and Securities Exchanges... Suspensions § 201.550 Summary suspensions pursuant to Exchange Act Section 12(k)(1)(A). (a) Petition for termination of suspension. Any person adversely affected by a suspension pursuant to Section 12(k)(1)(A) of...
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17 CFR 201.550 - Summary suspensions pursuant to Exchange Act Section 12(k)(1)(A).
Code of Federal Regulations, 2013 CFR
2013-04-01
... to Exchange Act Section 12(k)(1)(A). 201.550 Section 201.550 Commodity and Securities Exchanges... Suspensions § 201.550 Summary suspensions pursuant to Exchange Act Section 12(k)(1)(A). (a) Petition for termination of suspension. Any person adversely affected by a suspension pursuant to Section 12(k)(1)(A) of...
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17 CFR 201.550 - Summary suspensions pursuant to Exchange Act Section 12(k)(1)(A).
Code of Federal Regulations, 2011 CFR
2011-04-01
... to Exchange Act Section 12(k)(1)(A). 201.550 Section 201.550 Commodity and Securities Exchanges... Suspensions § 201.550 Summary suspensions pursuant to Exchange Act Section 12(k)(1)(A). (a) Petition for termination of suspension. Any person adversely affected by a suspension pursuant to Section 12(k)(1)(A) of...
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17 CFR 201.550 - Summary suspensions pursuant to Exchange Act Section 12(k)(1)(A).
Code of Federal Regulations, 2014 CFR
2014-04-01
... to Exchange Act Section 12(k)(1)(A). 201.550 Section 201.550 Commodity and Securities Exchanges... Suspensions § 201.550 Summary suspensions pursuant to Exchange Act Section 12(k)(1)(A). (a) Petition for termination of suspension. Any person adversely affected by a suspension pursuant to Section 12(k)(1)(A) of...
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Federal Register 2010, 2011, 2012, 2013, 2014
2012-08-02
... Volatility July 27, 2012. Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (the ``Act... Market Volatility.'' The text of the proposed rule change is available at the Exchange's Web site at http... Extraordinary Market Volatility Pursuant to Rule 608 of Regulation NMS under the Securities Exchange Act of 1934...
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75 FR 64641 - Facilitating Shareholder Director Nominations
Federal Register 2010, 2011, 2012, 2013, 2014
2010-10-20
... SECURITIES AND EXCHANGE COMMISSION 17 CFR Parts 200, 232, 240, and 249 [Release Nos. 33-9151; 34...: Securities and Exchange Commission. ACTION: Final rule; notice of stay of effective and compliance dates. SUMMARY: By order dated October 4, 2010 (Release No. 33-9149, 34- 63031), the Securities and Exchange...
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17 CFR 210.5-01 - Application of §§ 210.5-01 to 210.5-04.
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... 17 Commodity and Securities Exchanges 2 2010-04-01 2010-04-01 false Application of §§ 210.5-01 to 210.5-04. 210.5-01 Section 210.5-01 Commodity and Securities Exchanges SECURITIES AND EXCHANGE...
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2012-03-27
This final rule will implement the new Affordable Insurance Exchanges ("Exchanges"), consistent with title I of the Patient Protection and Affordable Care Act of 2010 as amended by the Health Care and Education Reconciliation Act of 2010, referred to collectively as the Affordable Care Act. The Exchanges will provide competitive marketplaces for individuals and small employers to directly compare available private health insurance options on the basis of price, quality, and other factors. The Exchanges, which will become operational by January 1, 2014, will help enhance competition in the health insurance market, improve choice of affordable health insurance, and give small businesses the same purchasing clout as large businesses.
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Empirical and mechanistic evaluation of NH4(+) release kinetic in calcareous soils.
Ranjbar, F; Jalali, M
2014-05-01
Release, fixation, and distribution of ammonium (NH4(+)) as a source of nitrogen can play an important role in soil fertility and plant nutrition. In this study, ten surface soils, after addition of 1,000 mg NH4(+) kg(-1,) were incubated for 1 week at the field capacity moisture and 25 ± 2 °C temperature, and then NH4(+) release kinetic was investigated by sequential extractions with 10 mM CaCl2. Furthermore, NH4(+) distribution among three fractions, including water-soluble, exchangeable, and non-exchangeable, was determined in all soil samples. NH4(+) release was initially rapid followed by a slower reaction, and this was described well with the Elovich equation as an empirical model. The cumulative NH4(+) concentration released in spiked soil samples had a positive significant correlation with sand content and negative ones with pH, exchangeable Ca(2+)m and K(+), cation exchange capacity (CEC), equivalent calcium carbonate (ECC), and clay content. The cation exchange model in the PHREEQC program was successful in mechanistic simulation of the release trend of native and added NH4(+) in all control and spiked soil samples. The results of fractionation experiments showed that the non-exchangeable fraction in control and spiked soil samples was greater than that in water-soluble and exchangeable fractions. Soil properties, such as pH, exchangeable Ca(2+) and K(+), CEC, ECC, and contents of sand and clay, had significant influences on the distribution of NH4(+) among three measured fractions. This study indicated that both native and recently fixed NH4(+), added to soil through the application of fertilizers, were readily available for plant roots during 1 week after exposure.
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Federal Register 2010, 2011, 2012, 2013, 2014
2012-05-23
...In accordance with the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010 (``Dodd-Frank Act''), the Commodity Futures Trading Commission (``CFTC'') and the Securities and Exchange Commission (``SEC'') (collectively, the ``Commissions''), in consultation with the Board of Governors of the Federal Reserve System (``Board''), are adopting new rules and interpretive guidance under the Commodity Exchange Act (``CEA''), and the Securities Exchange Act of 1934 (``Exchange Act''), to further define the terms ``swap dealer,'' ``security-based swap dealer,'' ``major swap participant,'' ``major security-based swap participant,'' and ``eligible contract participant.''
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17 CFR 5.25 - Applicability of the Act.
Code of Federal Regulations, 2011 CFR
2011-04-01
... 17 Commodity and Securities Exchanges 1 2011-04-01 2011-04-01 false Applicability of the Act. 5.25 Section 5.25 Commodity and Securities Exchanges COMMODITY FUTURES TRADING COMMISSION OFF-EXCHANGE FOREIGN CURRENCY TRANSACTIONS § 5.25 Applicability of the Act. Except as otherwise specified in this part and...
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17 CFR 240.10b5-2 - Duties of trust or confidence in misappropriation insider trading cases.
Code of Federal Regulations, 2011 CFR
2011-04-01
... 17 Commodity and Securities Exchanges 3 2011-04-01 2011-04-01 false Duties of trust or confidence... Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) GENERAL RULES AND REGULATIONS, SECURITIES EXCHANGE ACT OF 1934 Rules and Regulations Under the Securities Exchange Act of 1934 Manipulative and Deceptive...
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17 CFR 240.10b5-2 - Duties of trust or confidence in misappropriation insider trading cases.
Code of Federal Regulations, 2010 CFR
2010-04-01
... 17 Commodity and Securities Exchanges 3 2010-04-01 2010-04-01 false Duties of trust or confidence... Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) GENERAL RULES AND REGULATIONS, SECURITIES EXCHANGE ACT OF 1934 Rules and Regulations Under the Securities Exchange Act of 1934 Manipulative and Deceptive...
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17 CFR 240.10b5-2 - Duties of trust or confidence in misappropriation insider trading cases.
Code of Federal Regulations, 2013 CFR
2013-04-01
... 17 Commodity and Securities Exchanges 3 2013-04-01 2013-04-01 false Duties of trust or confidence... Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) GENERAL RULES AND REGULATIONS, SECURITIES EXCHANGE ACT OF 1934 Rules and Regulations Under the Securities Exchange Act of 1934 Manipulative and Deceptive...
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17 CFR 240.10b5-2 - Duties of trust or confidence in misappropriation insider trading cases.
Code of Federal Regulations, 2014 CFR
2014-04-01
... 17 Commodity and Securities Exchanges 4 2014-04-01 2014-04-01 false Duties of trust or confidence... Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) GENERAL RULES AND REGULATIONS, SECURITIES EXCHANGE ACT OF 1934 Rules and Regulations Under the Securities Exchange Act of 1934 Manipulative and Deceptive...
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17 CFR 240.10b5-2 - Duties of trust or confidence in misappropriation insider trading cases.
Code of Federal Regulations, 2012 CFR
2012-04-01
... 17 Commodity and Securities Exchanges 3 2012-04-01 2012-04-01 false Duties of trust or confidence... Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) GENERAL RULES AND REGULATIONS, SECURITIES EXCHANGE ACT OF 1934 Rules and Regulations Under the Securities Exchange Act of 1934 Manipulative and Deceptive...
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Kadam, A. U.; Sakarkar, D. M.; Kawtikwar, P. S.
2008-01-01
An oral controlled release suspension of chlorpheniramine maleate was prepared using ion-exchange resin technology. A strong cation exchange resin Indion 244 was utilized for the sorption of the drug and the drug resinates was evaluated for various physical and chemical parameters. The drug-resinate complex was microencapsulated with a polymer Eudragit RS 100 to further retard the release characteristics. Both the drug-resinate complex and microencapsulated drug resinate were suspended in a palatable aqueous suspension base and were evaluated for controlled release characteristic. Stability study indicated that elevated temperature did not alter the sustained release nature of the dosage form indicating that polymer membrane surrounding the core material remained intact throughout the storage period. PMID:20046790
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Ferrante, Andrea; Anderson, Matthew W; Klug, Candice S; Gorski, Jack
2008-01-01
HLA-DM (DM) mediates exchange of peptides bound to MHC class II (MHCII) during the epitope selection process. Although DM has been shown to have two activities, peptide release and MHC class II refolding, a clear characterization of the mechanism by which DM facilitates peptide exchange has remained elusive. We have previously demonstrated that peptide binding to and dissociation from MHCII in the absence of DM are cooperative processes, likely related to conformational changes in the peptide-MHCII complex. Here we show that DM promotes peptide release by a non-cooperative process, whereas it enhances cooperative folding of the exchange peptide. Through electron paramagnetic resonance (EPR) and fluorescence polarization (FP) we show that DM releases prebound peptide very poorly in the absence of a candidate peptide for the exchange process. The affinity and concentration of the candidate peptide are also important for the release of the prebound peptide. Increased fluorescence energy transfer between the prebound and exchange peptides in the presence of DM is evidence for a tetramolecular complex which resolves in favor of the peptide that has superior folding properties. This study shows that both the peptide releasing activity on loaded MHCII and the facilitating of MHCII binding by a candidate exchange peptide are integral to DM mediated epitope selection. The exchange process is initiated only in the presence of candidate peptides, avoiding possible release of a prebound peptide and loss of a potential epitope. In a tetramolecular transitional complex, the candidate peptides are checked for their ability to replace the pre-bound peptide with a geometry that allows the rebinding of the original peptide. Thus, DM promotes a "compare-exchange" sorting algorithm on an available peptide pool. Such a "third party"-mediated mechanism may be generally applicable for diverse ligand recognition in other biological systems.
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Federal Register 2010, 2011, 2012, 2013, 2014
2012-03-27
...This final rule will implement the new Affordable Insurance Exchanges (``Exchanges''), consistent with title I of the Patient Protection and Affordable Care Act of 2010 as amended by the Health Care and Education Reconciliation Act of 2010, referred to collectively as the Affordable Care Act. The Exchanges will provide competitive marketplaces for individuals and small employers to directly compare available private health insurance options on the basis of price, quality, and other factors. The Exchanges, which will become operational by January 1, 2014, will help enhance competition in the health insurance market, improve choice of affordable health insurance, and give small businesses the same purchasing clout as large businesses.
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Federal Register 2010, 2011, 2012, 2013, 2014
2013-05-23
..., among other things: (1) The registration and comprehensive oversight of security-based swap dealers and... SECURITIES AND EXCHANGE COMMISSION 17 CFR Parts 240, 242, and 249 [Release No. 34-69491; File Nos... Releases and Policy Statements Applicable to Security-Based Swaps AGENCY: Securities and Exchange...
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Code of Federal Regulations, 2011 CFR
2011-04-01
..., alternatives, reasons and effects in a going-private transaction. 229.1013 Section 229.1013 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION STANDARD INSTRUCTIONS FOR FILING FORMS UNDER SECURITIES ACT OF 1933, SECURITIES EXCHANGE ACT OF 1934 AND ENERGY POLICY AND CONSERVATION ACT OF 1975...
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17 CFR 229.908 - (Item 908) Reasons for and alternatives to the roll-up transaction.
Code of Federal Regulations, 2011 CFR
2011-04-01
... alternatives to the roll-up transaction. 229.908 Section 229.908 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION STANDARD INSTRUCTIONS FOR FILING FORMS UNDER SECURITIES ACT OF 1933, SECURITIES EXCHANGE ACT OF 1934 AND ENERGY POLICY AND CONSERVATION ACT OF 1975-REGULATION S-K Roll-Up...
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17 CFR 229.908 - (Item 908) Reasons for and alternatives to the roll-up transaction.
Code of Federal Regulations, 2014 CFR
2014-04-01
... alternatives to the roll-up transaction. 229.908 Section 229.908 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION STANDARD INSTRUCTIONS FOR FILING FORMS UNDER SECURITIES ACT OF 1933, SECURITIES EXCHANGE ACT OF 1934 AND ENERGY POLICY AND CONSERVATION ACT OF 1975-REGULATION S-K Roll-Up...
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Code of Federal Regulations, 2014 CFR
2014-04-01
..., alternatives, reasons and effects in a going-private transaction. 229.1013 Section 229.1013 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION STANDARD INSTRUCTIONS FOR FILING FORMS UNDER SECURITIES ACT OF 1933, SECURITIES EXCHANGE ACT OF 1934 AND ENERGY POLICY AND CONSERVATION ACT OF 1975...
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Code of Federal Regulations, 2012 CFR
2012-04-01
..., alternatives, reasons and effects in a going-private transaction. 229.1013 Section 229.1013 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION STANDARD INSTRUCTIONS FOR FILING FORMS UNDER SECURITIES ACT OF 1933, SECURITIES EXCHANGE ACT OF 1934 AND ENERGY POLICY AND CONSERVATION ACT OF 1975...
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Code of Federal Regulations, 2010 CFR
2010-04-01
..., alternatives, reasons and effects in a going-private transaction. 229.1013 Section 229.1013 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION STANDARD INSTRUCTIONS FOR FILING FORMS UNDER SECURITIES ACT OF 1933, SECURITIES EXCHANGE ACT OF 1934 AND ENERGY POLICY AND CONSERVATION ACT OF 1975...
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Code of Federal Regulations, 2013 CFR
2013-04-01
..., alternatives, reasons and effects in a going-private transaction. 229.1013 Section 229.1013 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION STANDARD INSTRUCTIONS FOR FILING FORMS UNDER SECURITIES ACT OF 1933, SECURITIES EXCHANGE ACT OF 1934 AND ENERGY POLICY AND CONSERVATION ACT OF 1975...
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17 CFR 229.908 - (Item 908) Reasons for and alternatives to the roll-up transaction.
Code of Federal Regulations, 2013 CFR
2013-04-01
... alternatives to the roll-up transaction. 229.908 Section 229.908 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION STANDARD INSTRUCTIONS FOR FILING FORMS UNDER SECURITIES ACT OF 1933, SECURITIES EXCHANGE ACT OF 1934 AND ENERGY POLICY AND CONSERVATION ACT OF 1975-REGULATION S-K Roll-Up...
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17 CFR 229.908 - (Item 908) Reasons for and alternatives to the roll-up transaction.
Code of Federal Regulations, 2012 CFR
2012-04-01
... alternatives to the roll-up transaction. 229.908 Section 229.908 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION STANDARD INSTRUCTIONS FOR FILING FORMS UNDER SECURITIES ACT OF 1933, SECURITIES EXCHANGE ACT OF 1934 AND ENERGY POLICY AND CONSERVATION ACT OF 1975-REGULATION S-K Roll-Up...
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Federal Register 2010, 2011, 2012, 2013, 2014
2011-04-28
... Production Act of 1993--Petroleum Industry Data Exchange, Inc. Notice is hereby given that, on March 21, 2011... seq. (``the Act''), Petroleum Industry Data Exchange, Inc. (``PIDX'') has filed written notifications... organization is: Petroleum Industry Data Exchange, Inc., Houston, TX. The nature and scope of PIDX's standards...
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Zhao, Yang; Tan, Lu; Gao, Xiaoshan; Jie, Guifen; Huang, Tingyu
2018-07-01
Herein, we successfully devised a novel photoelectrochemical (PEC) platform for ultrasensitive detection of adenosine by target-triggering cascade multiple cycle amplification based on the silver nanoparticles-assisted ion-exchange reaction with CdTe quantum dots (QDs). In the presence of target adenosine, DNA s1 is released from the aptamer and then hybridizes with hairpin DNA (HP1), which could initiate the cycling cleavage process under the reaction of nicking endonuclease. Then the product (DNA b) of cycle I could act as the "DNA trigger" of cycle II to further generate a large number of DNA s1, which again go back to cycle I, thus a cascade multiple DNA cycle amplification was carried out to produce abundant DNA c. These DNA c fragments with the cytosine (C)-rich loop were captured by magnetic beads, and numerous silver nanoclusters (Ag NCs) were synthesized by AgNO 3 and sodium borohydride. The dissolved AgNCs released numerous silver ions which could induce ion exchange reaction with the CdTe QDs, thus resulting in greatly amplified change of photocurrent for target detection. The detection linear range for adenosine was 1.0 fM ~10 nM with the detection limit of 0.5 fM. The present PEC strategy combining cascade multiple DNA cycle amplification and AgNCs-induced ion-exchange reaction with QDs provides new insight into rapid, and ultrasensitive PEC detection of different biomolecules, which showed great potential for detecting trace amounts in bioanalysis and clinical biomedicine. Copyright © 2018 Elsevier B.V. All rights reserved.
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17 CFR 240.31T - Temporary rule regarding fiscal year 2004.
Code of Federal Regulations, 2014 CFR
2014-04-01
... 17 Commodity and Securities Exchanges 4 2014-04-01 2014-04-01 false Temporary rule regarding fiscal year 2004. 240.31T Section 240.31T Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) GENERAL RULES AND REGULATIONS, SECURITIES EXCHANGE ACT OF 1934 Rules and Regulations Under the Securities Exchange Act of 1934...
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17 CFR 240.31T - Temporary rule regarding fiscal year 2004.
Code of Federal Regulations, 2013 CFR
2013-04-01
... 17 Commodity and Securities Exchanges 3 2013-04-01 2013-04-01 false Temporary rule regarding fiscal year 2004. 240.31T Section 240.31T Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) GENERAL RULES AND REGULATIONS, SECURITIES EXCHANGE ACT OF 1934 Rules and Regulations Under the Securities Exchange Act of 1934...
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17 CFR 240.31T - Temporary rule regarding fiscal year 2004.
Code of Federal Regulations, 2011 CFR
2011-04-01
... 17 Commodity and Securities Exchanges 3 2011-04-01 2011-04-01 false Temporary rule regarding fiscal year 2004. 240.31T Section 240.31T Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) GENERAL RULES AND REGULATIONS, SECURITIES EXCHANGE ACT OF 1934 Rules and Regulations Under the Securities Exchange Act of 1934...
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17 CFR 240.31T - Temporary rule regarding fiscal year 2004.
Code of Federal Regulations, 2010 CFR
2010-04-01
... 17 Commodity and Securities Exchanges 3 2010-04-01 2010-04-01 false Temporary rule regarding fiscal year 2004. 240.31T Section 240.31T Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) GENERAL RULES AND REGULATIONS, SECURITIES EXCHANGE ACT OF 1934 Rules and Regulations Under the Securities Exchange Act of 1934...
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17 CFR 240.31T - Temporary rule regarding fiscal year 2004.
Code of Federal Regulations, 2012 CFR
2012-04-01
... 17 Commodity and Securities Exchanges 3 2012-04-01 2012-04-01 false Temporary rule regarding fiscal year 2004. 240.31T Section 240.31T Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) GENERAL RULES AND REGULATIONS, SECURITIES EXCHANGE ACT OF 1934 Rules and Regulations Under the Securities Exchange Act of 1934...
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Ferrante, Andrea; Gorski, Jack
2012-01-01
The mechanism of HLA-DM (DM) activity is still unclear. We have shown that DM-mediated peptide release from HLA-DR (DR) is dependent on the presence of exchange peptide. However, DM also promotes a small amount of peptide release in the absence of exchange peptide. Here we show that SDS-PAGE separates purified peptide/DR1 complexes (pDR1) into two conformers whose ratio is peptide Kd-dependent. In the absence of exchange peptide, DM only releases peptide from the slower migrating conformer. Addition of exchange peptide converts the DM-resistant conformer to the slower migrating conformer, which is DM labile. Thus, exchange peptide generates a conformer of pDR1 which constitutes the intermediate for peptide exchange and the substrate for DM activity. The resolution of the intermediate favors the highest affinity peptide. However, once folded into the DM-resistant conformer, even low affinity peptides can be presented in the absence of free peptide, broadening the repertoire available for presentation. PMID:22545194
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Federal Register 2010, 2011, 2012, 2013, 2014
2013-01-10
... Change To Address the Authority To Cancel Orders When a Technical or Systems Issue Occurs and To Describe... authority of the Exchange to cancel orders (or release routing-related orders) when a technical or systems... Exchange may encounter situations that make it necessary to cancel orders (or release routing- related...
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2015-12-18
This document contains final regulations on the health insurance premium tax credit enacted by the Patient Protection and Affordable Care Act and the Health Care and Education Reconciliation Act of 2010, as amended by the Medicare and Medicaid Extenders Act of 2010, the Comprehensive 1099 Taxpayer Protection and Repayment of Exchange Subsidy Overpayments Act of 2011, and the Department of Defense and Full-Year Continuing Appropriations Act, 2011. These final regulations affect individuals who enroll in qualified health plans through Affordable Insurance Exchanges (Exchanges, sometimes called Marketplaces) and claim the health insurance premium tax credit, and Exchanges that make qualified health plans available to individuals and employers.
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17 CFR 210.12-13 - Investments other than securities.
Code of Federal Regulations, 2010 CFR
2010-04-01
... 17 Commodity and Securities Exchanges 2 2010-04-01 2010-04-01 false Investments other than... 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 Form and Content of Schedules...
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17 CFR 210.12-13 - Investments other than securities.
Code of Federal Regulations, 2011 CFR
2011-04-01
... 17 Commodity and Securities Exchanges 2 2011-04-01 2011-04-01 false Investments other than... 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 Form and Content of Schedules...
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17 CFR 210.6A-03 - Statements of financial condition.
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 Employee Stock Purchase... 17 Commodity and Securities Exchanges 2 2010-04-01 2010-04-01 false Statements of financial...
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75 FR 79992 - End-User Exception to Mandatory Clearing of Security-Based Swaps
Federal Register 2010, 2011, 2012, 2013, 2014
2010-12-21
...In accordance with the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010 (``Dodd-Frank Act''), the Securities and Exchange Commission (``Commission'') is proposing new Rule 3Cg-1 under the Securities Exchange Act of 1934 (``Exchange Act'') governing the exception to mandatory clearing of security-based swaps available for counterparties meeting certain conditions. The Commission is requesting comments on the proposed rule and related matters.
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Dynamic protein coronas revealed as a modulator of silver nanoparticle sulphidation in vitro
NASA Astrophysics Data System (ADS)
Miclăuş, Teodora; Beer, Christiane; Chevallier, Jacques; Scavenius, Carsten; Bochenkov, Vladimir E.; Enghild, Jan J.; Sutherland, Duncan S.
2016-06-01
Proteins adsorbing at nanoparticles have been proposed as critical toxicity mediators and are included in ongoing efforts to develop predictive tools for safety assessment. Strongly attached proteins can be isolated, identified and correlated to changes in nanoparticle state, cellular association or toxicity. Weakly attached, rapidly exchanging proteins are also present at nanoparticles, but are difficult to isolate and have hardly been examined. Here we study rapidly exchanging proteins and show for the first time that they have a strong modulatory effect on the biotransformation of silver nanoparticles. Released silver ions, known for their role in particle toxicity, are found to be trapped as silver sulphide nanocrystals within the protein corona at silver nanoparticles in serum-containing cell culture media. The strongly attached corona acts as a site for sulphidation, while the weakly attached proteins reduce nanocrystal formation in a serum-concentration-dependent manner. Sulphidation results in decreased toxicity of Ag NPs.
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40 CFR 22.52 - Information exchange and discovery.
Code of Federal Regulations, 2010 CFR
2010-07-01
... Procedure Act § 22.52 Information exchange and discovery. Respondent's information exchange pursuant to § 22.19(a) shall include information on any economic benefit resulting from any activity or failure to act... 40 Protection of Environment 1 2010-07-01 2010-07-01 false Information exchange and discovery. 22...
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17 CFR 229.1004 - (Item 1004) Terms of the transaction.
Code of Federal Regulations, 2012 CFR
2012-04-01
... 17 Commodity and Securities Exchanges 2 2012-04-01 2012-04-01 false (Item 1004) Terms of the transaction. 229.1004 Section 229.1004 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION STANDARD INSTRUCTIONS FOR FILING FORMS UNDER SECURITIES ACT OF 1933, SECURITIES EXCHANGE ACT OF 1934 AND...
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17 CFR 229.1004 - (Item 1004) Terms of the transaction.
Code of Federal Regulations, 2010 CFR
2010-04-01
... 17 Commodity and Securities Exchanges 2 2010-04-01 2010-04-01 false (Item 1004) Terms of the transaction. 229.1004 Section 229.1004 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION STANDARD INSTRUCTIONS FOR FILING FORMS UNDER SECURITIES ACT OF 1933, SECURITIES EXCHANGE ACT OF 1934 AND...
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17 CFR 229.1004 - (Item 1004) Terms of the transaction.
Code of Federal Regulations, 2011 CFR
2011-04-01
... 17 Commodity and Securities Exchanges 2 2011-04-01 2011-04-01 false (Item 1004) Terms of the transaction. 229.1004 Section 229.1004 Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION STANDARD INSTRUCTIONS FOR FILING FORMS UNDER SECURITIES ACT OF 1933, SECURITIES EXCHANGE ACT OF 1934 AND...
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Federal Register 2010, 2011, 2012, 2013, 2014
2013-04-05
... Protection and Affordable Care Act; Exchange Functions: Standards for Navigators and Non-Navigator Assistance..., training and certification, and meaningful access standards applicable to Navigators and non-Navigator assistance personnel in Federally- facilitated Exchanges, including State Partnership Exchanges, and to non...
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17 CFR 210.12-12A - Investments-securities sold short.
Code of Federal Regulations, 2010 CFR
2010-04-01
... 17 Commodity and Securities Exchanges 2 2010-04-01 2010-04-01 false Investments-securities sold... 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 Form and Content of Schedules...
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17 CFR 210.12-12A - Investments-securities sold short.
Code of Federal Regulations, 2011 CFR
2011-04-01
... 17 Commodity and Securities Exchanges 2 2011-04-01 2011-04-01 false Investments-securities sold... 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 Form and Content of Schedules...
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26 CFR 301.6316-1 - Payment of income tax in foreign currency.
Code of Federal Regulations, 2010 CFR
2010-04-01
... Cultural Exchange Act of 1961, as amended (22 U.S.C. 2451); (2) Constitute either a grant made for... Mutual Educational and Cultural Exchange Act of 1961, as amended; or are paid from grants made to such... Educational and Cultural Exchange Act of 1961, as amended, or section 104 (h), (j), (k), (o), or (p) of the...
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Code of Federal Regulations, 2013 CFR
2013-04-01
... 17 Commodity and Securities Exchanges 3 2013-04-01 2013-04-01 false Schedule 15G-Information to be... Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) GENERAL RULES AND REGULATIONS, SECURITIES EXCHANGE ACT OF 1934 Rules and Regulations Under the Securities Exchange Act of 1934...
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Code of Federal Regulations, 2014 CFR
2014-04-01
... 17 Commodity and Securities Exchanges 4 2014-04-01 2014-04-01 false Schedule 15G-Information to be... Commodity and Securities Exchanges SECURITIES AND EXCHANGE COMMISSION (CONTINUED) GENERAL RULES AND REGULATIONS, SECURITIES EXCHANGE ACT OF 1934 Rules and Regulations Under the Securities Exchange Act of 1934...