Documents

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.

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. [

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”).

Self-Regulatory Organizations; Order Approving Proposed Rule Change by National Association of Securities Dealers, Inc. Relating to Procedures for Large and Complex Arbitration Cases

Federal Register · Notice · Feb 7, 1995

Two comment letters were received.\7\ This order approves the proposed rule change. … SR-NASD-94-10 be, and hereby is approved for a one year period beginning May 2, 1995.

Pioneer Diversified High Income Trust, et al.; Notice of Application

Federal Register · Notice · Oct 22, 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. … by the policy and provisions of the Act. 3.

First Trust/Aberdeen Global Opportunity Income Fund, et al.; Notice of Application

Federal Register · Notice · Mar 4, 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; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Clarifying How the Options Regulatory Fee is Assessed and Collected

Federal Register · Notice · Dec 4, 2017

The Exchange also proposes a couple of minor clean up changes to the Fees Schedule. … 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; Cboe C2 Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Clarify How the Options Regulatory Fee is Assessed and Collected

Federal Register · Notice · Dec 4, 2017

The Exchange also proposes a couple of minor clean up changes to the Fees Schedule. … 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; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Fees for the Complex Order Book Data Feed

Federal Register · Notice · Jan 5, 2017

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

Tortoise Power and Energy Infrastructure Fund, Inc. and Tortoise Capital Advisors, L.L.C.; Notice of Application

Federal Register · Notice · Aug 22, 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 section 19(b) of the Act and rule 19b-1 under the Act to permit the Company to distribute periodic capital gain dividends

Neuberger Berman Management LLC, et al.; Notice of Application

Federal Register · Notice · Oct 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. … Applicants request an order pursuant to 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 make periodic capital

Evergreen Income Advantage Fund, et al.; Notice of Application

Federal Register · Notice · Oct 6, 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. … , 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 in

Federated Enhanced Treasury Income Fund, et al.; Notice of Application

Federal Register · Notice · Jul 20, 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. … Applicants request an order pursuant to 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 make periodic capital

Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by The Options Clearing Corporation Concerning Changes To Codify in OCC's By-Laws That a Clearing Member May Submit Adjustments to Its Positions With OCC for Any Purpose Permissable Under Exchange Rules

Federal Register · Notice · Jul 25, 2025

The clean-up change to remove duplicative language would further ensure that OCC's By-Laws remain clear, accurate, and up-to-date. … 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.

John Hancock Income Securities Trust, et al.; Notice of Application

Federal Register · Notice · Sep 5, 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. … period; then: 1.

David Becker, General Counsel

Agency decision · Agency decision

After a period of time, usually 3-6 months, EQ would send a second Letter of Transmittal to those shareholders who did not respond to the initial mailing, requesting the stock certificates be returned … Generally, a year after the reverse stock split's effective date, the issuer would engage with EQ in what the industry refers to as an "unexchanged shareholder clean-up program" to continue to reach out

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

Federal Register · Uncategorized Document · Aug 26, 1994

SECURITIES AND EXCHANGE COMMISSION [Release No. 35-26107] Filing Under the Public Utility Holding Company Act of 1935 (``Act'') August 19, 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 September 12, 1994 to the Secretary, Securities and Exchange

Securities and Exchange Commission

Agency decision · Agency decision

I respectfully request the Commission publish this petition for public comment and act promptly to restore trust in U.S. equity markets. … Due to the overwhelming response to proposed Regulation SHO, in July 2004, after the commend period had closed, the SEC released a summary of the comments received. 31 WORKING PAPER Most commenters

Boulder Total Return Fund, Inc., et al.; Notice of Application

Federal Register · Notice · Oct 24, 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

Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing of a Proposed Rule Change Relating To Adopt Rule 6.10 To Introduce a Voluntary Compression Service for Market Makers

Federal Register · Notice · Apr 12, 2021

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