Department: SECURITIES AND EXCHANGE COMMISSION
Years: 20002001200220032004200520062007200820092010201120122013[FR Doc E8-31089] 1.
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
Published: 2008-12-31 SECURITIES AND EXCHANGE COMMISSION : Securities and Exchange Commission
[FR Doc E8-31091] 2. Submission for OMB Review; Comment Request
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
Published: 2008-12-31 SECURITIES AND EXCHANGE COMMISSION : Securities and Exchange Commission
[FR Doc E8-31088] 3. Sun Life Assurance Company of Canada (U.S.), et al., Notice of Application
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
Published: 2008-12-31 SECURITIES AND EXCHANGE COMMISSION : Securities and Exchange Commission
[FR Doc E8-31092] 4. Submission for OMB Review; Comment Request
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
Published: 2008-12-31 SECURITIES AND EXCHANGE COMMISSION : Securities and Exchange Commission
[FR Doc E8-31094] 5.
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
Published: 2008-12-31 SECURITIES AND EXCHANGE COMMISSION : Securities and Exchange Commission
[FR Doc E8-31048] 6.
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
Published: 2008-12-31 SECURITIES AND EXCHANGE COMMISSION : Securities and Exchange Commission
[FR Doc E8-31051] 7.
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
Published: 2008-12-31 SECURITIES AND EXCHANGE COMMISSION : Securities and Exchange Commission
[FR Doc E8-31050] 8.
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
Published: 2008-12-31 SECURITIES AND EXCHANGE COMMISSION : Securities and Exchange Commission
[FR Doc E8-31130] 9.
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
Published: 2008-12-31 SECURITIES AND EXCHANGE COMMISSION : Securities and Exchange Commission
[FR Doc E8-31049] 10.
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
Published: 2008-12-31 SECURITIES AND EXCHANGE COMMISSION : Securities and Exchange Commission
[FR Doc E8-31052] 11.
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
Published: 2008-12-31 SECURITIES AND EXCHANGE COMMISSION : Securities and Exchange Commission
[FR Doc E8-31100] 12.
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
Published: 2008-12-31 SECURITIES AND EXCHANGE COMMISSION : Securities and Exchange Commission
[FR Doc E8-31102] 13.
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
Published: 2008-12-31 SECURITIES AND EXCHANGE COMMISSION : Securities and Exchange Commission
[FR Doc E8-31053] 14.
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
Published: 2008-12-31 SECURITIES AND EXCHANGE COMMISSION : Securities and Exchange Commission
[FR Doc E8-31093] 15.Submission for OMB Review; Comment Request
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
Published: 2008-12-31 SECURITIES AND EXCHANGE COMMISSION : Securities and Exchange Commission
[FR Doc E8-31101] 16.
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
Published: 2008-12-31 SECURITIES AND EXCHANGE COMMISSION : Securities and Exchange Commission
[FR Doc E8-31090] 17.
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
Published: 2008-12-31 SECURITIES AND EXCHANGE COMMISSION : Securities and Exchange Commission
[FR Doc E8-31098] 18.
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
Published: 2008-12-31 SECURITIES AND EXCHANGE COMMISSION : Securities and Exchange Commission
[FR Doc E8-31087] 19. UBS Securities LLC, et al.; Notice of Application and Temporary Order
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
Published: 2008-12-31 SECURITIES AND EXCHANGE COMMISSION : Securities and Exchange Commission
[FR Doc E8-31127] 20. Records Services, Fee Schedule
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
Published: 2008-12-31 SECURITIES AND EXCHANGE COMMISSION : Securities and Exchange Commission
[FR Doc E8-31086] 21. AdvisorShares Investments, LLC and AdvisorShares Trust; Notice of Application
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
Published: 2008-12-31 SECURITIES AND EXCHANGE COMMISSION : Securities and Exchange Commission
[FR Doc E8-31085] 22. Submission for OMB Review; Comment Request
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
Published: 2008-12-31 SECURITIES AND EXCHANGE COMMISSION : Securities and Exchange Commission
[FR Doc E8-30897] 23.
December 19, 2008.
Pursuant to Section 19(b)(1) \1\ of the Securities Exchange Act of 1934 (the ``Exchange Act''),\2\ and Rule 19b4 thereunder,\3\ notice is hereby given that, on December 16, 2008, New York Stock Exchange, LLC (the ``NYSE'' or the ``Exchange'') filed with the Securities and Exchange Commission the proposed rule changes [sic] as
Published: 2008-12-30 SECURITIES AND EXCHANGE COMMISSION : Securities and Exchange Commission
[FR Doc E8-30898] 24.
December 18, 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 16, 2008, NYSE Alternext US LLC (``NYSE Alternext'' or ``Exchange'') filed with the Securities and Exchange Commission (``Commission'') the proposed rule change as described in
Published: 2008-12-30 SECURITIES AND EXCHANGE COMMISSION : Securities and Exchange Commission
[FR Doc E8-30938] 25.
December 18, 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 11, 2008, NYSE Arca, Inc. (``NYSE Arca'' or the ``Exchange'') filed with the Securities and Exchange Commission (the ``Commission'') the proposed rule change as
Published: 2008-12-30 SECURITIES AND EXCHANGE COMMISSION : Securities and Exchange Commission
Years: 20002001200220032004200520062007200820092010201120122013