Documents

Filings Under the Public Utility Holding Company Act of 1935 (``Act'')

Federal Register · Uncategorized Document · Mar 18, 1994

Interested persons wishing to comment or request a hearing on the application(s) and/or declaration(s) should submit their views in writing by April 4, 1994 to the Secretary, Securities and Exchange Commission … EEIC contemplates that it will engage in research relative to new generation technology, new transformer efficiency and design, air quality management, and electric vehicle development.

Amendments to Regulation SHO

Federal Register · Rule · Oct 17, 2008

The Commission made this data available to the public for review and comment by including it in a Commission release and re-opening the comment period to the Reproposal on July 7, 2008. 39 The comment … period.”

SunAmerica Focused Alpha Growth Fund, Inc., et al.; Notice of Application

Federal Register · Notice · Jan 13, 2009

ACTION: Notice of application under section 6(c) of the Investment Company Act of 1940 (“Act”) for an exemption from section 19(b) of the Act and rule 19b-1 under the Act. … limits the number of capital gains dividends, as defined in section 852(b)(3)(C) of the Code (“distributions”), that a fund may make with respect to any one taxable year to one, plus a supplemental “clean

DNP Select Income Fund Inc., et al.; Notice of Application

Federal Register · Notice · Aug 7, 2008

ACTION: Notice of application under section 6(c) of the Investment Company Act of 1940 (“Act”) for an exemption from section 19(b) of the Act and rule 19b-1 under the Act. … limits the number of capital gains dividends, as defined in section 852(b)(3)(C) of the Code (“distributions”), that a fund may make with respect to any one taxable year to one, plus a supplemental “clean

Cohen & Steers Advantage Income Realty Fund, Inc., et al.; Notice of Application

Federal Register · Notice · Jul 31, 2008

ACTION: Notice of application under section 6(c) of the Investment Company Act of 1940 (“Act”) for an exemption from section 19(b) of the Act and rule 19b-1 under the Act. … fund may make with respect to any one taxable year to one, plus one additional capital gain dividend made in whole or in part to avoid the excise tax under section 4982 of the Code, plus a supplemental “clean

Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Modify the NYSE Arca Options Fee Schedule Regarding the Firm and Broker Dealer Monthly Fee Cap and the Combined Cap on Submitting Broker Credits Paid for QCC Trades and Floor Broker Rebates Paid Through the Manual Billable Rebate Program

Federal Register · Notice · Apr 29, 2026

Solicitation of Comments Interested persons are invited to submit written data, views and arguments concerning the foregoing, including whether the proposed rule change is consistent with the Act. … Comments may be submitted by any of the following methods: Electronic Comments • Use the Commission's internet comment form ( https://www.sec.gov/rules/sro.shtml ); or • Send an email to rule-comments

Filings Under the Public Utility Holding Company Act of 1935, as amended (``Act'')

Federal Register · Notice · Aug 15, 1996

SECURITIES AND EXCHANGE COMMISSION [Release No. 35-26552] Filings Under the Public Utility Holding Company Act of 1935, as amended (``Act'') August 9, 1996. … Interested persons wishing to comment or request a hearing on the application(s) and/or declaration(s) should submit their views in writing by September 3, 1996, to the Secretary, Securities and Exchange

Filings Under the Public Utility Holding Company Act of 1935, as Amended (``Act'')

Federal Register · Notice · Oct 10, 1997

SECURITIES AND EXCHANGE COMMISSION [Release No. 35-26763] Filings Under the Public Utility Holding Company Act of 1935, as Amended (``Act'') October 3, 1997. … 80 through 91, 93 and 94 under the Act.

Macquarie Global Infrastructure Total Return Fund Inc., et al.; Notice of Application

Federal Register · Notice · Jan 13, 2009

ACTION: Notice of application under section 6(c) of the Investment Company Act of 1940 (“Act”) for an exemption from section 19(b) of the Act and rule 19b-1 under the Act. … limits the number of capital gains dividends, as defined in section 852(b)(3)(C) of the Code (“distributions”), that a fund may make with respect to any one taxable year to one, plus a supplemental “clean

Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Expand the Short Term Option Series Program To Allow Wednesday Expirations for SPY Options

Federal Register · Notice · Aug 31, 2016

Solicitation of Comments Interested persons are invited to submit written data, views and arguments concerning the foregoing, including whether the proposed rule change is consistent with the Act. … Comments may be submitted by any of the following methods: Electronic Comments • Use the Commission's Internet comment form ( http://www.sec.gov/rules/sro.shtml ); or • Send an email to rule-comments

In the Matter of Tamarak, Inc.; Order of Suspension of Trading

Federal Register · Notice · Aug 27, 2003

Air Force for Tamarak's film projects; and (4) purported discussions between Tamarak and major television and film studios. … by the above-listed company, is suspended for the period from 9:30 a.m.

Self-Regulatory Organizations; Cboe C2 Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fees Schedule To Codify a User Fee Exemption and the Amended Definition of “Non-Display Usage” in Its Fee Schedule

Federal Register · Notice · Apr 28, 2026

Solicitation of Comments Interested persons are invited to submit written data, views and arguments concerning the foregoing, including whether the proposed rule change is consistent with the Act. … Comments may be submitted by any of the following methods: Electronic Comments • Use the Commission's internet comment form ( https://www.sec.gov/rules/sro.shtml ); or • Send an email to rule-comments

RMR Real Estate Income Fund, et al.; Notice of Application

Federal Register · Notice · Mar 29, 2010

ACTION: Notice of application under section 6(c) of the Investment Company Act of 1940 (“Act”) for an exemption from section 19(b) of the Act and rule 19b-1 under the Act. … limits the number of capital gains dividends, as defined in section 852(b)(3)(C) of the Code (“distributions”), that a fund may make with respect to any one taxable year to one, plus a supplemental “clean

SECURITIES AND EXCHANGE COMMISSION

Agency decision · Agency decision

Offer will remain open for the applicable period required by Rule 13e4(e)(3). … e Subsequent OfSering Period. The Company does not intend to provide.a subsequent offering period. e Withdrawal Rights. Holders of Preference Shares participating in the U.S.

Filings Under the Public Utility Holding Company Act of 1935, as Amended (“Act”)

Federal Register · Notice · Apr 3, 2003

Interested persons wishing to comment or request a hearing on the application(s) and/or declaration(s) should submit their views in writing by April 22, 2003, to the Secretary, Securities and Exchange … which allow Applicants to defer dividend payments for specified periods.

Joint Industry Plan; Notice of Filing of the Seventh Amendment to the National Market System Plan To Address Extraordinary Market Volatility by BATS Exchange, Inc., BATS Y-Exchange, Inc., Chicago Board Options Exchange, Incorporated, Chicago Stock Exchange, Inc., EDGA Exchange, Inc., EDGX Exchange, Inc., Financial Industry Regulatory Authority, Inc., NASDAQ OMX BX, Inc., NASDAQ OMX PHLX LLC, The Nasdaq Stock Market LLC, National Stock Exchange, Inc., New York Stock Exchange LLC, NYSE MKT LLC, and NYSE Arca, Inc.

Federal Register · Notice · Mar 11, 2014

the Act. … Comments may be submitted by any of the following methods: Electronic Comments • Use the Commission's Internet comment form ( http://www.sec.gov/rules/sro.shtml ); or • Send an email to rule-comments

Self-Regulatory Organizations; Miami International Securities Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Expand the Short Term Option Series Program

Federal Register · Notice · Sep 12, 2016

Solicitation of Comments Interested persons are invited to submit written data, views and arguments concerning the foregoing, including whether the proposed rule change is consistent with the Act. … Comments may be submitted by any of the following methods: Electronic Comments • Use the Commission's Internet comment form ( http://www.sec.gov/rules/sro.shtml ); or • Send an email to rule-comments

Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Modify the NYSE American Options Fee Schedule To Eliminate Certain Incentive Programs and Increase the Limit on the Maximum Combined Floor Broker Credits Paid on QCC Trades and Rebates Paid Through the Manual Billable Program

Federal Register · Notice · Apr 3, 2026

Solicitation of Comments Interested persons are invited to submit written data, views and arguments concerning the foregoing, including whether the proposed rule change is consistent with the Act. … Comments may be submitted by any of the following methods: Electronic Comments • Use the Commission's internet comment form ( https://www.sec.gov/rules/sro.shtml ); or • Send an email to rule-comments

SECURITIES AND EXCHANGE COMMISSION

Agency decision · Agency decision

of THE PETER JOSEPH POLINSKI TRUST OPINION OF THE COMMISSION TRANSFER AGENT PROCEEDING Grounds for Remedial Action Misrepresentations on Form TA-1 Failure to Correct Form TA-1 Failure to Comply with Periodic … (cleaned up)); id. at 14 (“The filing of this Form is mandatory for all registered transfer agents.”). 26 15 U.S.C. § 78q-1(d)(1).

Blackrock International Growth and Income Trust, et al.; Notice of Application

Federal Register · Notice · Apr 14, 2009

ACTION: Notice of application under section 6(c) of the Investment Company Act of 1940 (“Act”) for an exemption from section 19(b) of the Act and rule 19b-1 under the Act. … capital gains dividends, as defined in section 852(b)(3)(C) of the Internal Revenue Code (“Code”) (“distributions”), that a fund may make with respect to any one taxable year to one, plus a supplemental “clean