Documents

SECURITIES AND EXCHANGE COMMISSION

Agency decision · Agency decision

Securities Act of 1933, as amended, and the rules and regulations promulgated thereunder (the "Securities Act"), pursuant to a registration statement on Form F-3. … As such, their market activities will be subject to Rule 102 of Regulation M throughout the Restricted Period, except to the extent that any of them acts as a "distribution participants" subject to Rule

Self-Regulatory Organizations; NYSE Arca, Inc.; Order Granting Approval of Proposed Rule Change To List and Trade the Huntington US Equity Rotation Strategy ETF and Huntington EcoLogical Strategy ETF Under NYSE Arca Equities Rule 8.600

Federal Register · Notice · Jun 12, 2012

The proposed rule change was published for comment in the Federal Register on April 27, 2012. 3 The Commission received no comments on the proposal. … of 1940 (“1940 Act”).

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

Federal Register · Notice · Sep 14, 2005

and rule 45 under the Act. … CIM holds investments in several leasing transactions, including those held through its wholly-owned subsidiaries: CIM Air Leasing, Inc. (“CIM Air”), CILCORP Lease Management Inc.

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

Federal Register · Notice · Jun 26, 2000

Interested persons wishing to comment or request a hearing on the application(s) and/or declaration(s) should submit their views in writing by July 14, 2000, to the Secretary, Securities and Exchange Commission … services in commercial and industrial markets both inside and outside SPPC's service territory. e.three's services include: technology and efficiency improvements to lighting, heating, ventilation and air-conditioning

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

Federal Register · Notice · Sep 11, 2000

Columbia's consolidated revenues for the same period were approximately $2.6 billion. … During the period of the year the New NiSource requests to form its New Service Company (“Transition Period”), Applicants propose that an interim service company agreement be in place.

Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to SPX End-of-Month Closing Procedures

Federal Register · Notice · Dec 3, 2014

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

Hutchinson Technology Incorporated; Notice of Application

Federal Register · Notice · Feb 1, 2006

ACTION: Notice of application under section 3(b)(2) of the Investment Company Act of 1940 (the “Act”). . … HTI submits that an analysis of the sources of its revenue (especially in periods where HTI reported net losses) provides a more meaningful, and even more compelling, picture of the nature and extent of

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

Federal Register · Notice · Aug 25, 2000

or the rules under the Act. … and Rule 40 under the Act.

Tri-Continental Corporation, et al.; Notice of Application

Federal Register · Notice · Sep 16, 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. … one, plus a supplemental “clean up” distribution made pursuant to section 855 of the Code not exceeding 10% of the total amount distributed for the year, plus one additional capital gain dividend made

Stone Harbor Emerging Markets Income Fund, et al.; Notice of Application

Federal Register · Notice · Sep 26, 2011

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. … Applicants request an order under section 6(c) of the Act granting an exemption from the provisions of section 19(b) of the Act and rule 19b-1 thereunder to permit each Fund to distribute periodic capital

Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto To List and Trade Units of the Sprott Physical Platinum and Palladium Trust Pursuant to NYSE Arca Equities Rule 8.201

Federal Register · Notice · Oct 30, 2012

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

Lazard Global Total Return and Income Fund, Inc., et al.; Notice of Application

Federal Register · Notice · Jun 30, 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

Self-Regulatory Organizations; The Options Clearing Corporation; Order Approving Proposed Rule Change Concerning the Execution of an Agreement for Clearing and Settlement Services Between OCC and NASDAQ Futures, Inc.

Federal Register · Notice · Apr 22, 2015

of 1934 (“Act”)  1 and Rule 19b-4 thereunder. 2 The proposed rule change was published for comment in the Federal Register on March 10, 2015. 3 The Commission received no comments on … Various administrative changes have been made throughout the document including, but not limited to, an amended legal name and description of NFX, updated references to sections within the document, and clean-up

Alpine Global Dynamic Dividend Fund, et al.; Notice of Application

Federal Register · Notice · Sep 11, 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. … Applicants request an order pursuant to section 6(c) of the Act granting an exemption from section 19(b) of the Act and rule 19b-1 thereunder to permit each Fund to make periodic capital gain dividends

Reaves Utility Income Fund, et al.; Notice of Application

Federal Register · Notice · Jul 20, 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. … The Investment Adviser is a Delaware corporation registered under the Investment Advisers Act of 1940 (“Advisers Act”).

Invesco Total Property Market Income Fund, et al.; Notice of Application

Federal Register · Notice · May 2, 2012

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. … Applicants request an order pursuant to section 6(c) of the Act granting an exemption from section 19(b) of the Act and rule 19b-1 thereunder to permit each Fund to distribute periodic capital gain

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

Federal Register · Notice · Aug 28, 2000

of 1935 (the “Act”), as amended, and rules 42, 43, 45, 46, 52, 53 and 88 under the Act. … Period”).

DIVISION OF ECONOMIC AND RISK ANALYSIS (“DERA”) 1

Agency decision · Agency decision

Page 53 Analysis of Long-Lasting Straddle States Trading and Quoting Activity During Long-Lasting Straddle States • For a sample of straddle states with a clean control period[1][2], spreads during the … A control period is “clean” if there were five trading days to use as a control period prior to the day of the straddle event and there were no long-lasting straddle states during the control period. [

Eaton Vance Enhanced Equity Income Fund, et al.; Notice of Application

Federal Register · Notice · Feb 17, 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. … period; then: 1.

Clough Global Allocation Fund, et al.; Notice of Application

Federal Register · Notice · Aug 31, 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. … The Adviser is a Delaware limited partnership registered under the Investment Advisers Act of 1940 (“Advisers Act”).