NOTICES: Agency Information Collection Activities; Proposals, Submissions, and Approvals,
Published: 2008-12-31
Upon written request, copies available from: Securities and Exchange
Commission, Office of Investor Education and Advocacy, Washington, DC 205490213.
Extension: Rule 3a8; SEC File No. 270516; OMB Control No. 3235 0574.
Notice is hereby given that pursuant to the Paperwork Reduction Act
of 1995 (44 U.S.C. 3501 et seq. ), the Securities and
NOTICES: Agency Information Collection Activities; Proposals, Submissions, and Approvals,
Published: 2008-12-31
Upon written request, copies available from: Securities and Exchange
Commission, Office of Investor Education and Advocacy, Washington, DC 205490213.
Extension: Rule 01; SEC File No. 270472; OMB Control No. 3235 0531.
Notice is hereby given that, pursuant to the Paperwork Reduction
Act of 1995 (44 U.S.C. 350l et seq.), the Securities and
NOTICES: Agency Information Collection Activities; Proposals, Submissions, and Approvals,
Published: 2008-12-31
Upon written request, copies available from: U.S. Securities and
Exchange Commission, Office of Investor Education and Advocacy, Washington, DC 205490213.
Extension: Rule 12d21; OMB Control No. 32350081; SEC File No. 270 98.
Notice is hereby given that pursuant to the Paperwork Reduction Act of 1995
[[Page 80448]]
(44 U.S.C. 3501 et seq.), the
NOTICES: Agency Information Collection Activities; Proposals, Submissions, and Approvals,
Published: 2008-12-31
Upon written request, copies available from: Securities and Exchange
Commission, Office of Investor Education and Advocacy, Washington, DC 205490213.
Extension: Rule 17a7; SEC File No. 270238; OMB Control No. 3235 0214.
Notice is hereby given that, pursuant to the Paperwork Reduction
Act of 1995 (44 U.S.C. 35013520), the Securities and Exchange
NOTICES: Citigroup Global Markets Inc., et al.,
Published: 2008-12-31
Summary of Application: Applicants have received a temporary order
exempting them from section 9(a) of the Act, with respect to an
injunction entered against Citigroup Global Markets Inc. (``CGMI'') on
December 23, 2008 by the United States District Court for the Southern
District of New York (the ``Injunction''), until the Commission takes
final
NOTICES: UBS Securities LLC, et al.,
Published: 2008-12-31
Summary of Application: Applicants have received a temporary order
exempting them from section 9(a) of the Act, with respect to an
injunction entered against UBS Securities LLC (``UBS Securities'') and
UBS Financial Services Inc. (``UBSFS,'' and together with UBS
Securities, the ``Settling Firms'') on December 23, 2008 by the United
States
NOTICES: AdvisorShares Investments, LLC and AdvisorShares Trust,
Published: 2008-12-31
Applicants: AdvisorShares Investments, LLC (the ``Advisor'') and AdvisorShares Trust (the ``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 aggregations only (``Creation
Units''); (b) secondary market
NOTICES: Grail Advisors, LLC and Grail Advisors’ Alpha ETF Trust,
Published: 2008-12-31
Applicants: Grail Advisors, LLC (``Adviser'') and Grail Advisors' Alpha ETF Trust (``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 aggregations only (``Creation
Units''); (b) secondary market transactions in
NOTICES: Sun Life Assurance Company of Canada (U.S.), et al.,
Published: 2008-12-31
Applicants: Sun Life Assurance Company of Canada (U.S.) (``Sun Life
U.S.''), Sun Life Insurance and Annuity Company of New York (``Sun Life
N.Y.'') (together with Sun Life U.S., the ``Companies''), Sun Life of
Canada (U.S.) Variable Account F (``Account F''), Sun Life of Canada
(U.S.) Variable Account G (``Account G''), Sun Life of Canada
NOTICES: Boston Stock Exchange, Inc.,
Published: 2008-12-31
December 23, 2008.
I. Introduction
On November 3, 2008, the Boston Stock Exchange (``BSE'' 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 change to: (i) Adopt new rules governing
NOTICES: Depository Trust Co.,
Published: 2008-12-31
December 23, 2008.
I. Introduction
On August 26, 2008, The Depository Trust Company (``DTC'') filed
with the Securities and Exchange Commission (``Commission'') and on
September 9, 2008, and on September 30, 2008, amended proposed rule
change SRDTC200812 pursuant to Section 19(b)(1) of the Securities
Exchange Act of 1934 (``Act'').\1\ Notice of
NOTICES: Financial Industry Regulatory Authority, Inc.,
Published: 2008-12-31
December 22, 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 December 17, 2008, Financial Industry Regulatory Authority, Inc.
(``FINRA'') (f/k/a National Association of Securities Dealers, Inc.
(``NASD'')) filed with the Securities and Exchange
NOTICES: International Securities Exchange, LLC,
Published: 2008-12-31
December 22, 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 December 17, 2008, the International Securities Exchange, LLC
(the ``Exchange'' or the ``ISE'') filed with the Securities and
Exchange Commission (``Commission'') the proposed rule
NOTICES: NASDAQ Stock Market LLC,
Published: 2008-12-31
December 23, 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 December 15, 2008, The NASDAQ Stock Market LLC (``Nasdaq'' or
``Exchange'') filed with the Securities and Exchange Commission
(``Commission'') the proposed rule change as described in
NOTICES: New York Stock Exchange LLC,
Published: 2008-12-31
December 22, 2008.
Pursuant to Section 19(b)(1) \1\ of the Securities Exchange Act of
1934 (the ``Act'') \2\ and Rule 19b4 thereunder,\3\ notice is hereby
given that, on December 18, 2008, New York Stock Exchange LLC (the
``NYSE'' or the ``Exchange'') filed with the Securities and Exchange
Commission (the ``Commission'') the proposed rule
NOTICES: New York Stock Exchange LLC,
Published: 2008-12-31
December 22, 2008.
I. Introduction
On October 31, 2008, 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 (``Act'') \1\ and Rule 19b4 thereunder,\2\ a
proposed rule change to amend Section 703.19 of the
NOTICES: New York Stock Exchange LLC,
Published: 2008-12-31
December 22, 2008.
Pursuant to Section 19(b)(1) \1\ of the Securities Exchange Act of
1934 (the ``Act'') \2\ and Rule 19b4 thereunder,\3\ notice is hereby
given that, on December 22, 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: New York Stock Exchange LLC,
Published: 2008-12-31
December 22, 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 December 12, 2008, the New York Stock Exchange LLC (``NYSE'' or
``Exchange'') filed with the Securities and Exchange Commission
(``Commission'') the proposed rule change as described in
NOTICES: NYSE Alternext US LLC,
Published: 2008-12-31
December 22, 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 December 19, 2008, NYSE Alternext US LLC (``NYSE Alternext'', ``NYSE
Amex Options'', ``NYSE Amex'', or the ``Exchange'') filed with the
Securities and Exchange Commission
NOTICES: NYSE Alternext US LLC,
Published: 2008-12-31
December 22, 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 December 12, 2008, NYSE Alternext US LLC (``NYSE Alternext'' or
``Exchange'') filed with the Securities and Exchange Commission
(``Commission'') the proposed rule change as described in
NOTICES: NYSE Arca, Inc.,
Published: 2008-12-31
December 22, 2008.
Pursuant to section 19(b)(1) \1\ of the Securities Exchange Act of
1934 (the ``Act'') \2\ and Rule 19b4 thereunder,\3\ notice is hereby
given that on December 10, 2008, NYSE Arca, Inc. (``NYSE Arca'' or
``Exchange'') filed with the Securities and Exchange Commission
(``Commission'') the proposed rule change as described in
PROPOSED RULES: Records Services, Fee Schedule,
Published: 2008-12-31
The Securities and Exchange Commission (``Commission'') is
soliciting comments on a proposed amendment to its regulation governing
the fees for records services. The Commission's schedule of fees for
records services will be updated using a formula for the calculation of
fees under the Freedom of Information Act (``FOIA'') and language that
NOTICES: Applications for Deregistration Under Section 8(f) of the Investment Company Act (of 1940),
Published: 2008-12-30
December 19, 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
December 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
NOTICES: International Securities Exchange, LLC,
Published: 2008-12-30
December 22, 2008.
I. Introduction
On December 3, 2008, the International Securities Exchange, LLC
(``ISE'' or ``Exchange'') filed with the Securities and Exchange
Commission (``Commission''), pursuant to Rule 012 \1\ under the
Securities Exchange Act of 1934 (``Exchange Act''), an application for
an exemption under Section 36(a)(1) of the
NOTICES: International Securities Exchange, LLC and the Financial Industry Regulatory Authority, Inc.,
Published: 2008-12-30
December 22, 2008.
Notice is hereby given that the Securities and Exchange Commission
(``Commission'') has issued an Order, pursuant to Sections 17(d)\1\ and
11A(a)(3)(B)\2\ of the Securities Exchange Act of 1934 (``Act''),
approving and declaring effective a plan for the allocation of
regulatory responsibilities (``Plan'') that was filed
