Documents

Hamilton Lane Private Assets Fund, et al.

Federal Register · Notice · Apr 25, 2023

Notice of application for an order (“Order”) under sections 17(d) and 57(i) of the Investment Company Act of 1940 (the “Act”) and rule 17d-1 under the Act to permit certain joint transactions otherwise … prohibited by sections 17(d) and 57(a)(4) of the Act and rule 17d-1 under the Act.

Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change To List and Trade Shares of the Sprott Physical Copper Trust

Federal Register · Notice · Jun 26, 2025

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 … Paper Comments • Send paper comments in triplicate to Secretary, Securities and Exchange Commission, 100 F Street NE, Washington, DC 20549-1090.

SECURITIES AND EXCHANGE COMMISSION

Agency decision · Agency decision

” (cleaned up)); see also SEC v. … The episode aired on CNBC on October 6, 2016, three months after DreamFunded became a FINRA-registered funding portal.

Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 to the Proposed Rule Change by the Philadelphia Stock Exchange, Inc. Relating to the Listing of Options on the Phlx Airlines Sector Index

Federal Register · Uncategorized Document · Dec 28, 1994

The Index is composed of the stocks of 12 domestic passenger air carriers which, the Exchange represents, effectively represent the available domestic air transportation industry.\3\ The Exchange also … (C) Self-Regulatory Organization's Statement on Comments on the Proposed Rule Change Received From Members, Participants or Others No written comments were solicited or received with respect to the

Self-Regulatory Organizations; ICE Clear Europe Limited; Notice of Filing of Proposed Rule Change, Security Based Swap Submission, or Advance Notice Relating to Amendments to the ICE Clear Europe Collateral and Haircut Policy

Federal Register · Notice · Nov 17, 2017

These include the need to clean the bond price input data to remove spurious effects caused by changes in the different underlying bonds used to build bond price time-series. … 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.

Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposal To Make Clean-Up Changes by Amending Certain Rules

Federal Register · Notice · Mar 25, 2008

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. … rule-comments@sec.gov .

Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing and Immediate Effectiveness of Proposed Rule Relating to Rescinding a Policy Interpretation Affecting Certain Adjustments

Federal Register · Notice · Apr 11, 2012

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. … email to rule-comments@sec.gov.

In the Matter of Encore Clean Energy, Inc., Energy & Engine Technology Corp., Equity Media Holdings Corporation, eTotalSource, Inc., Extensions, Inc., Firepond, Inc., and GNC Energy Corporation; Order of Suspension of Trading

Federal Register · Notice · Dec 4, 2012

It appears to the Securities and Exchange Commission that there is a lack of current and accurate information concerning the securities of Encore Clean Energy, Inc. because it has not filed any periodic … Therefore, it is ordered, pursuant to Section 12(k) of the Securities Exchange Act of 1934, that trading in the securities of the above-listed companies is suspended for the period from 9:30 a.m.

Self-Regulatory Organizations; Notice of Filing of Proposed Rule Change by the New York Stock Exchange, Inc. To Amended Rules 13 and 72

Federal Register · Notice · Aug 11, 1999

a minimum time period. … 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.

Self-Regulatory Organizations; Notice of Filing of Proposed Rule Change by the Pacific Exchange, Inc. Relating to the Listing and Trading of Investment Company Units, Including World Equity Benchmark Shares (``WEBS'')

Federal Register · Notice · Nov 3, 1998

Share prices are ``swept clean'' daily and adjusted for any rights issues, stock dividends or splits. … 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.

Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt Article 20, Rule 13 To Implement the Regulation NMS Plan To Implement a Tick Size Pilot Program (“Plan”)

Federal Register · Notice · Apr 4, 2016

Exchange Act Release Nos. 77105 (February 10, 2016), 81 FR 8112 (February 17, 2016) (order approving SR-BATS-2015-102); and 77310 (March 7, 2016) (notice for comment and immediate effectiveness of SR-BATS … 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; Philadelphia Depository Trust Company; Notice of Filing and Order Granting Accelerated Approval on a Temporary Basis of a Proposed Rule Change to Appoint the West Canada Depository Trust Company as a Correspondent Depository

Federal Register · Notice · Feb 2, 1996

Securities will be shipped to Philadep via licensed air courier or other carrier agreed upon by the parties. … for public comment was brief.

Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing of a Proposed Rule Change Relating to Exchange Trading Days and Hours of Business and Trading Halts

Federal Register · Notice · Mar 29, 2013

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; The Options Clearing Corporation; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Interpret By-Laws as to Dividend Adjustments

Federal Register · Notice · Sep 16, 2010

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 e-mail to rule-comments

In the Matter of: Acclaim Entertainment, Inc., Benguet Corp., Clean Systems Technology Group, Ltd., Family Golf Centers, Inc., Graham-Field Health Products, Inc., Lechters, Inc., Symbiat, Inc., Texfi Industries, Inc., and Value Holdings, Inc. (n/k/a Galea Life Sciences, Inc.); Order of Suspension of Trading

Federal Register · Notice · Jun 25, 2008

SECURITIES AND EXCHANGE COMMISSION [File No. 500-1] In the Matter of: Acclaim Entertainment, Inc., Benguet Corp., Clean Systems Technology Group, Ltd., Family Golf Centers, Inc., Graham-Field Health … Therefore, it is ordered, pursuant to section 12(k) of the Securities Exchange Act of 1934, that trading in the securities of the above-listed companies is suspended for the period from 9:30 a.m.

In the Matter of Act Clean Technologies, Inc.; Order of Suspension of Trading

Federal Register · Notice · May 27, 2010

SECURITIES AND EXCHANGE COMMISSION [File No. 500-1] In the Matter of Act Clean Technologies, Inc.; Order of Suspension of Trading May 25, 2010. … Therefore, it is ordered, pursuant to Section 12(k) of the Securities Exchange Act of 1934, that trading in the above-listed company is suspended for the period from 9:30 a.m.

Self-Regulatory Organizations; Chicago Board Options Exchange, Inc.; Order Granting Approval to Proposed Rule Change and Notice of Filing and Order Granting Accelerated Approval of Amendment No. 1 to Proposed Rule Change Relating to Listing of Regular Options, Full and Reduced Value Long-Term Index Options, and FLEX Options on the Dow Jones Transportation Average

Federal Register · Notice · Sep 11, 1997

\ No comments were received on the proposal. … Further, the Commission notes that the original proposal was published for the full 21-day comment period and no comments were received by the Commission.

Self-Regulatory Organizations; BOX Options Exchange LLC; Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Adopt Rules Governing the Trading of Complex Qualified Contingent Cross Orders and Complex Customer Cross Orders

Federal Register · Notice · Sep 11, 2018

), Rule 7245 (Complex Order Price Improvement Period) or Rule 7270 (Block Trades). … The Commission is concerned about allowing Complex QCC Orders to execute as a “clean” cross ahead of resting Public Customer interest on the BOX Book.

Self-Regulatory Organizations; Midwest Stock Exchange, Inc.; Order Approving Proposed Rule Change and Amendment No. 1 to Proposed Rule Change and Notice of Filing and Order Granting Accelerated Approval to Amendment No. 2 to Proposed Rule Change Relating to Agency Crosses Between the Disseminated Exchange Market

Federal Register · Uncategorized Document · Mar 10, 1994

in Securities Exchange Act Release No. 33500 (January 21, 1994), 59 FR 4128 (January 28, 1994). … Finally, the interpretation the MSE proposes to adopt is substantially similar to the rules of several other exchanges that were published in the Federal Register for the full comment period and were approved

Self-Regulatory Organizations; American Stock Exchange, Inc.; Order Approving Proposed Rule Change and Amendment No. 1 to Proposed Rule Change Relating to Priority of Agency Orders to Cross Blocks of 25,000 Shares or More Under Rule 126(g), Commentary .01 and .02.

Federal Register · Uncategorized Document · May 26, 1994

The Commission received no comment letters. This order approves the proposed rule change, including Amendment No. 1. II. … \14\See Securities Exchange Act Release No. 31343 (October 21, 1992), 57 FR 48645 (October 27, 1992) (File No. SR-NYSE-90-39) (``NYSE Clean Cross Order'').