Agency: Securities and Exchange Commission

Advanced Search

Pages: 1

[FR Doc E9-23669] 1.

September 25, 2009.

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, 2009. A copy of each application may be obtained via the Commission's Web site by searching for the file number, or an applicant using the Company name box, at

Published: 2009-10-01 SECURITIES AND EXCHANGE COMMISSION : Securities and Exchange Commission

 

[FR Doc E9-23730] 2. Ridgewood Capital Energy Growth Fund, LLC, et al.; Notice of Application

Summary of Application: Applicants request an order to permit a business development company (``BDC'') to coinvest with certain affiliated investment funds in portfolio companies.
Applicants: Ridgewood Capital Energy Growth Fund, LLC (the ``Company''), Ridgewood Capital Fund IV, LLC, Ridgewood Capital Fund IVB, LLC, Ridgewood Capital Fund IVC,

Published: 2009-10-01 SECURITIES AND EXCHANGE COMMISSION : Securities and Exchange Commission

[FR Doc E9-23805] 3.

September 29, 2009.

It appears to the Securities and Exchange Commission that there is a lack of current and accurate information concerning the securities of Consumers Financial Corporation because it has not filed any periodic reports since the period ended December 31, 2005.

The Commission is of the opinion that the public interest and

Published: 2009-10-01 SECURITIES AND EXCHANGE COMMISSION : Securities and Exchange Commission

 

[FR Doc E9-23624] 4.

September 23, 2009.

On August 10, 2009, the Chicago Board Options Exchange, Incorporated (``CBOE'') 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 eliminate Rule 6.73(d) and its

Published: 2009-10-01 SECURITIES AND EXCHANGE COMMISSION : Securities and Exchange Commission

 

[FR Doc E9-23623] 5.

September 22, 2009.

Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (``Act''),\1\ notice is hereby given that on August 28, 2009, The Depository Trust Company (``DTC'') filed with the Securities and Exchange Commission (``Commission'') the proposed rule change described in Items I, II, and III below, which items have been

Published: 2009-10-01 SECURITIES AND EXCHANGE COMMISSION : Securities and Exchange Commission

 

[FR Doc E9-23699] 6.

September 25, 2009.

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 21, 2009, Financial Industry Regulatory Authority, Inc. (``FINRA'') filed with the Securities and Exchange Commission (``SEC'' or ``Commission'') the proposed rule

Published: 2009-10-01 SECURITIES AND EXCHANGE COMMISSION : Securities and Exchange Commission

 

[FR Doc E9-23701] 7.

September 28, 2009.

On August 6, 2009, the Municipal Securities Rulemaking Board (``MSRB''), filed with the Securities and Exchange Commission (``Commission'' or ``SEC''), pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934
[[Page 50856]]
(``Act''),\1\ and Rule 19b4 thereunder,\2\ a proposed rule change to amend Rule G11(i)

Published: 2009-10-01 SECURITIES AND EXCHANGE COMMISSION : Securities and Exchange Commission

 

[FR Doc E9-23625] 8.

September 24, 2009.

On July 29, 2009, 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 (``Act'')\1\ and Rule 19b4 thereunder,\2\ a proposed rule change amending NYSE Arca Rule 10.12 (Minor Rule Plan) (``MRP'')

Published: 2009-10-01 SECURITIES AND EXCHANGE COMMISSION : Securities and Exchange Commission

[FR Doc E9-23626] 9.

September 24, 2009.

On August 12, 2009, NYSE Arca, Inc. (``NYSE Arca'' or ``Exchange''), through its wholly owned subsidiary, NYSE Arca Equities, Inc. (``NYSE Arca Equities''), 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

Published: 2009-10-01 SECURITIES AND EXCHANGE COMMISSION : Securities and Exchange Commission

 

[FR Doc E9-23698] 10.

September 25, 2009.

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, 2009, NYSE Arca, Inc. (``NYSE Arca'' or the ``Exchange'') filed with the Securities and Exchange
[[Page 50859]]
Commission (the ``Commission'') the proposed rule

Published: 2009-10-01 SECURITIES AND EXCHANGE COMMISSION : Securities and Exchange Commission

 

[FR Doc E9-23622] 11.

September 25, 2009.

On December 24, 2008, in connection with its efforts to facilitate the establishment of one or more central counterparties for clearing credit default swap (``CDS'') transactions,\1\ the Securities and Exchange Commission (``Commission'') granted temporary, conditional exemptions from the registration requirements under

Published: 2009-10-01 SECURITIES AND EXCHANGE COMMISSION : Securities and Exchange Commission

 

Pages: 1