Department: SECURITIES AND EXCHANGE COMMISSION
Pages: 1
[FR Doc E8-22502] 1.
September 21, 2008.
Pursuant to Section 12(k)(2) of the Securities Exchange Act of 1934,\1\ on September 18, 2008, the Securities and Exchange Commission (``Commission'') issued an Emergency Order (the ``Order'') related to short selling the publicly traded securities of certain financial firms.\2\ The Order was effective immediately. The
Published: 2008-09-25 SECURITIES AND EXCHANGE COMMISSION : Securities and Exchange Commission
[FR Doc E8-22509] 2.
September 21, 2008.
Pursuant to Section 12(k)(2) of the Securities Exchange Act of 1934 (``Exchange Act''),\1\ on September 18, 2008, the Securities and Exchange Commission (``Commission'') issued an Emergency Order (``Order'') requiring institutional investment managers to report short sales of certain publicly traded securities.\2\ The Order
Published: 2008-09-25 SECURITIES AND EXCHANGE COMMISSION : Securities and Exchange Commission
[FR Doc E8-22508] 3. Triangle Capital Corporation, et al.; Notice of Application
Summary of Application: Applicants, Triangle Capital Corporation (``Triangle''), Triangle Mezzanine Fund, LLLP (``Triangle SBIC''), and New Triangle GP, LLC (``General Partner''), request an order permitting a business development company (``BDC'') and its whollyowned small business investment company (``SBIC'') subsidiary to (1) engage in certain
Published: 2008-09-25 SECURITIES AND EXCHANGE COMMISSION : Securities and Exchange Commission
[FR Doc E8-22507] 4. Trust for Professional Managers, et al.; Notice of Application
September 19, 2008.
Agency: Securities and Exchange Commission (``Commission'').
Action: Notice of an application under section 6(c) of the Investment
Company Act of 1940 (``Act'') for an exemption from section 15(a) of
the Act and rule 18f2 under the Act, as well as from certain disclosure requirements.
Summary of Application: Applicants request
Published: 2008-09-25 SECURITIES AND EXCHANGE COMMISSION : Securities and Exchange Commission
[FR Doc E8-22489] 5.
September 18, 2008.
I. Introduction
On June 19, 2008, the Consolidated Tape Association (``CTA'') Plan and Consolidated Quotation (``CQ'') Plan participants
(``Participants'') \1\ filed with the Securities and Exchange
Commission (``Commission'') pursuant to Rule 608 \2\ under the
Securities Exchange Act of 1934 (``Act'') \3\ a proposal to
Published: 2008-09-25 SECURITIES AND EXCHANGE COMMISSION : Securities and Exchange Commission
[FR Doc E8-22546] 6. Sunshine Act Meeting
Federal Register Citation of Previous Announcement: [73 FR 54644, September 22, 2008]
Status: Closed Meeting.
Place: 100 F Street, NE., Washington, DC.
Date and Time of Previously Announced Meeting: Tuesday, September 23, 2008 at 10 a.m.
Change in the Meeting: Date Change.
The Closed Meeting scheduled for Tuesday, September 23, 2008 at 10 a.m.,
Published: 2008-09-25 SECURITIES AND EXCHANGE COMMISSION : Securities and Exchange Commission
[FR Doc E8-22644] 7. Sunshine Act Meeting
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 Monday, September 29, 2008 at 2 p.m.
Commissioners, Counsel to the Commissioners, the Secretary to the Commission, and recording secretaries will attend the
Published: 2008-09-25 SECURITIES AND EXCHANGE COMMISSION : Securities and Exchange Commission
[FR Doc E8-22503] 8.
September 22, 2008.
Barclays Capital, Inc. (``Barclays Capital'') is a brokerdealer registered with the Securities and Exchange Commission
(``Commission''). Barclays Capital's ultimate holding company is
Barclays Group (``Barclays Group''), which is supervised by the United
Kingdom Financial Services Authority. Barclays Group, through Barclays
Published: 2008-09-25 SECURITIES AND EXCHANGE COMMISSION : Securities and Exchange Commission
[FR Doc E8-22547] 9.
September 22, 2008.
The Reserve Fund (the ``Trust'' or the ``Applicant''), an openend management investment company registered with the Commission under the Investment Company Act of 1940 (the ``Act''), has filed an application on behalf of two of its series, the Primary Fund and the U.S. Government Fund (the ``Funds''), for a temporary order
Published: 2008-09-25 SECURITIES AND EXCHANGE COMMISSION : Securities and Exchange Commission
[FR Doc E8-22505] 10.
September 19, 2008.
Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934, as amended (``Act'') \1\ and Rule 19b4 thereunder,\2\ notice is hereby given that on September 19, 2008, the American Stock Exchange LLC (``Amex'' or ``Exchange'') filed with the Securities and Exchange Commission (``SEC'' or ``Commission'') the proposed
Published: 2008-09-25 SECURITIES AND EXCHANGE COMMISSION : Securities and Exchange Commission
[FR Doc E8-22463] 11.Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Filing
September 17, 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 15, 2008, the Chicago Stock Exchange, Inc. (``Exchange'' or ``CHX'') filed with the Securities and Exchange Commission (``Commission'') the proposed rule change as described
Published: 2008-09-25 SECURITIES AND EXCHANGE COMMISSION : Securities and Exchange Commission
[FR Doc E8-22506] 12.
September 19, 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 September 19, 2008, New York Stock Exchange LLC (``NYSE'' or the ``Exchange'') filed with the Securities and Exchange Commission (the ``Commission'') the proposed rule change
Published: 2008-09-25 SECURITIES AND EXCHANGE COMMISSION : Securities and Exchange Commission
[FR Doc E8-22504] 13.
September 19, 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 September 19, 2008, NYSE Arca, Inc. (``NYSE Arca'' or the ``Exchange'') filed with the Securities and Exchange Commission (the ``Commission'') the proposed rule change as
Published: 2008-09-25 SECURITIES AND EXCHANGE COMMISSION : Securities and Exchange Commission
[FR Doc E8-22488] 14.
September 18, 2008.
I. Introduction
On July 24, 2008, The Options Clearing Corporation (``OCC'') filed with the Securities and Exchange Commission (``Commission'') proposed rule change SROCC200816 pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (``Act'').\1\ Notice of the proposal was published in the Federal Register on
Published: 2008-09-25 SECURITIES AND EXCHANGE COMMISSION : Securities and Exchange Commission
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