NOTICES: New York Stock Exchange LLC,
Published: 2008-10-06
September 29, 2008.
I. Introduction
On August 20, 2008, the New York Stock Exchange LLC (``NYSE'' or
``Exchange''), filed with the Securities and Exchange Commission
(``Commission''), pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (``Exchange Act'') \1\ and Rule 19b4
thereunder,\2\ a proposed rule change amending NYSE Rule
NOTICES: NYSE Arca, Inc.,
Published: 2008-10-06
September 29, 2008.
I. Introduction
On August 20, 2008, NYSE Arca, Inc., (``NYSE Arca'' or
``Exchange''), filed with the Securities and Exchange Commission
(``Commission''), pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (``Exchange Act'') \1\ and Rule 19b4
thereunder,\2\ a proposed rule change to (i) amend NYSE Arca
NOTICES: H&Q Healthcare Investors, et al.,
Published: 2008-10-06
Applicants: H&Q Healthcare Investors (``HQH''); H&Q Life Sciences
Investors (``HQL''); Hambrecht & Quist Capital Management LLC on behalf
of itself and its successors (``HQCM''); Promere Fund LP (``Promere
Fund''); Promere Performance LLC (``Promere General Partner''); Promere
Capital Management LLC on behalf of itself and its successors
NOTICES: MCG Capital Corp., et al.,
Published: 2008-10-06
Summary of the Application: Applicants request an order to permit: (1)
A business development company to look to the assets of its wholly
owned subsidiaries, rather than the business development company's
interest in the subsidiaries themselves, in determining whether the
business development company meets certain requirements for business
NOTICES: Meetings; Sunshine Act,
Published: 2008-10-06
Notice is hereby given, pursuant to the provisions of the
Government in the Sunshine Act, Public Law 94409, that the Securities
and Exchange Commission will hold a Closed Meeting on Wednesday, October 1, 2008, at 2 p.m.
Commissioners, Counsels to the Commissioners, the Secretary to the
Commission, and certain staff members who have an
NOTICES: Meetings; Sunshine Act; Cancellation,
Published: 2008-10-06
Federal Register Citation Of Previous Announcement: [73 FR 55571, September 25, 2008].
[[Page 58277]]
Status: Closed Meeting.
Place: 100 F Street, NE., Washington, DC.
Date and Time of Previously Announced Meeting: Monday, September 29, 2008 at 2 p.m.
Change in the meeting: Cancellation of Meeting.
The Closed Meeting scheduled for Monday,
NOTICES: International Securities Exchange, LLC,
Published: 2008-10-06
September 30, 2008.
Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934
(``Act'') \1\ and Rule 19b4 thereunder,\2\ notice is hereby given that
on September 24, 2008, the International Securities Exchange, LLC
(``Exchange'' or ``ISE'') filed with the Securities and Exchange
Commission (``Commission'') the proposed rule change as
NOTICES: NASDAQ OMX PHLX, Inc.,
Published: 2008-10-06
September 30, 2008.
Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934
(``Act'') \1\ and Rule 19b4 thereunder,\2\ notice is hereby given that
on September 18, 2008, the NASDAQ OMX PHLX, Inc. (``Phlx'' or
``Exchange'') filed with the Securities and Exchange Commission
(``Commission'') the proposed rule change as described in
NOTICES: NASDAQ Stock Market LLC,
Published: 2008-10-06
September 30, 2008.
Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934
(``Act'') \1\ and Rule 19b4 thereunder,\2\ notice is hereby given that
on September 19, 2008, The NASDAQ Stock Market LLC (``Nasdaq'') filed
with the Securities and Exchange Commission (``Commission'') the
proposed rule change as described in Items I, II,
NOTICES: Dodge & Cox Funds and Dodge & Cox Inc.,
Published: 2008-10-03
[[Page 57689]]
Summary of the Application: Applicants request an order that would
permit certain registered openend management investment companies to participate in a joint lending and borrowing facility.
Applicants: Dodge & Cox Funds (the ``Trust'') and Dodge & Cox Inc orporated (``Dodge & Cox'').
Filing Dates: The application was filed on January
NOTICES: Forward Funds and Forward Management, LLC,
Published: 2008-10-03
Summary of Application: Applicants request an order that would
supersede an existing order that permits them to enter into and
materially amend subadvisory agreements without shareholder approval (``Existing Order'').\1\
\1\ Forward Funds, et al., Investment Company Act Release Nos.
27777 (April 5, 2007) (notice) and 27814 (May 1, 2007)
NOTICES: Invesco PowerShares Capital Management LLC, et al.,
Published: 2008-10-03
Summary of Application: Applicants request an order to amend a prior
order (``Prior Order'') \1\ that permits (a) Openend management
investment companies whose portfolio securities include equity and/or
fixedincome securities of U.S. issuers to issue shares (``Shares'')
that can be redeemed only in large aggregations (``Creation Units'');
(b)
NOTICES: WisdomTree Asset Management, Inc. and WisdomTree Trust,
Published: 2008-10-03
Applicants: WisdomTree Asset Management, Inc. (the ``Advisor'') and WisdomTree Trust (the ``Trust'').
Summary of Application: Applicants request an order that permits: (a)
Series of certain openend management investment companies that utilize
active management investment strategies to issue shares (``Shares'')
redeemable in large aggregations only
NOTICES: First Trust Advisors L.P., et al.,
Published: 2008-10-03
Applicants: First Trust Advisors L.P. (the ``Advisor''), First Trust
Portfolios L.P. (the ``Distributor'') and First Trust ExchangeTraded Fund III (the ``Initial Trust'').
Summary of Application: Applicants request an order that permits: (a)
Series of certain openend management investment companies to issue
shares (``Shares'') redeemable in large
NOTICES: American Stock Exchange LLC,
Published: 2008-10-03
September 29, 2008.
On July 28, 2008, American Stock Exchange LLC, a Delaware limited [[Page 57706]]
liability company (``Amex'' or ``Exchange''), 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 19b4
thereunder,\2\ a proposed rule
NOTICES: American Stock Exchange LLC and New York Stock Exchange LLC,
Published: 2008-10-03
September 29, 2008.
I. Introduction
On July 23, 2008, American Stock Exchange LLC, a Delaware limited
liability company (``Amex''), 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 19b4
thereunder,\2\ a proposed rule change in
NOTICES: International Securities Exchange, LLC,
Published: 2008-10-03
September 29, 2008.
Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934
(the ``Act''),\1\ and Rule 19b4 thereunder,\2\ notice is hereby given
that on September 22, 2008, the International Securities Exchange, LLC
(the ``Exchange'' or the ``ISE'') filed with the Securities and
Exchange Commission the proposed rule change as
NOTICES: International Securities Exchange, LLC,
Published: 2008-10-03
September 25, 2008.
Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934
(the ``Act''),\1\ and Rule 19b4 thereunder,\2\ notice is hereby given
that on September 23, 2008, the International Securities Exchange, LLC
(the ``Exchange'' or the ``ISE'') filed with the Securities and
Exchange Commission (``Commission'') the proposed
NOTICES: International Securities Exchange, LLC,
Published: 2008-10-03
September 29, 2008.
Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934
(the ``Act''),\1\ and Rule 19b4 thereunder,\2\ notice is hereby given
that on September 23, 2008, the International Securities Exchange, LLC
(the ``Exchange'' or the ``ISE'') filed with the Securities and
Exchange Commission the proposed rule change as
NOTICES: NASDAQ OMX PHLX, Inc.,
Published: 2008-10-03
September 26, 2008.
Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934
(``Act'') \1\ and Rule 19b4 thereunder,\2\ notice is hereby given that
on September 18, 2008, NASDAQ OMX PHLX, Inc. (``Phlx'' or ``Exchange'')
filed with the Securities and Exchange Commission (``Commission'') the
proposed rule change as described in Items I
NOTICES: NASDAQ Stock Market LLC,
Published: 2008-10-03
September 26, 2008.
Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934
(``Act''),\1\ and Rule 19b4 thereunder,\2\ notice is hereby given that
on March 12, 2008, The NASDAQ Stock Market LLC (``Nasdaq'') filed with
the Securities and Exchange Commission (``Commission'') the proposed
rule change as described in Items I, II, and
NOTICES: New York Stock Exchange LLC,
Published: 2008-10-02
September 25, 2008.
Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934
(the ``Act''),\1\ and Rule 19b4 thereunder,\2\ notice is hereby given
that on September 9, 2008, New York Stock Exchange LLC (``NYSE'' or
``the Exchange'') filed with the Securities and Exchange Commission
(the ``Commission'') the proposed rule change as
NOTICES: NYSE Arca, Inc.,
Published: 2008-10-02
September 25, 2008.
Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934
(``Exchange Act'') \1\ and Rule 19b4 thereunder,\2\ notice is hereby
given that on September 18, 2008, NYSE Arca, Inc. (``NYSE Arca'' or
``Exchange'') filed with the Securities and Exchange Commission
(``Commission'') the proposed rule change described in
RULES: Item 407 of Regulation S-K; Technical Amendment,
Published: 2008-10-02
The Securities and Exchange Commission (``Commission'') is
making a technical amendment to Item 407 of Regulation SK. The
technical amendment updates a reference to Independence Standards Board
Standard No. 1 (``ISB No. 1''), which was previously adopted by the
Public Company Accounting Oversight Board (``PCAOB'') as an interim
standard but has
NOTICES: Applications for Deregistration under Section 8(f) of the Investment Company Act (of 1940),
Published: 2008-10-02
September 26, 2008.
The following is a notice of applications for deregistration under
section 8(f) of the Investment Company Act of 1940 for the month of
September, 2008. A copy of each application may be obtained for a fee
at the Commission's Public Reference Room, 100 F Street NE, Washington,
DC 205491520 (tel. 2025515850). An order granting
