sec deregistration orders

The Staff also noted that the trading volume test is being proposed as the sole benchmark for deregistration because in the Staff's view it presents a clear, consistent . Interested persons may request a hearing on any application by writing to the SEC's Secretary . Nuveen Build America Bond Opportunity Fund. Deregistration Like all companies with stock traded on the Nasdaq, most market orphans will have a class of securities (generally their common stock) registered under Section 12 (g) of the Exchange Act, which triggers the duty to file periodic reports with the SEC and to comply with the SEC's proxy rules. Found inside – Page 277applicant in sec . ... fine may be directed by the court to be paid into Consolidated Revenue or to such person or organisation as the court orders . ... 143 ( 1 ) ( h ) that parties seeking a deregistration order most commonly rely . MILC continues to focus on the liquidation of its sole investment in securities - its investment in SMC and plans to invest the proceeds in operating businesses. Notice of Applications for Deregistration under Section 8 (f) of the Investment Company Act of 1940: (Orders dated June 20, 2007) Prudential Unit Trusts Prudential Equity Trust Shares 1, File No. On April 20, 2012, we filed to terminate the registration of our common stock with theSEC. See also other Investment Company Act Notices and Orders. If the Proposals are approved by shareholders, HFRO will apply to the SEC for a Deregistration Order, but the timing for receiving the Deregistration Order is uncertain. This includes: the company has not paid its annual review fee within 12 months of the due date. SCS Hedged Opportunities Master Fund, LLC. IC-34340) IVA Fiduciary Trust 811-22211. Read full article. Goldman Sachs Dynamic Income Opportunities Fund. The SEC has issued final rules permitting both national securities exchanges and issuers, under certain circumstances, to delist securities from trading on a national securities exchange and/or deregister such securities under Section 12(b) of the Exchange Act upon electronically filing a newly-revised Form 25 with the Commission. Dreyfus U.S. Treasury Intermediate Term Fund. NB Crossroads Private Markets Fund IV (TI) – Custody Client LLC. This baby was one of twins; and I may remarkhere that I hardly ever, in all my experience of the family, saw boththe twins detached from Mrs. One morning when I went into the parlour with my books, I found mymother looking anxious, Miss Murdstone looking firm, and Mr. Then they remained motionless intheir chairs, with scarcely a glimmer of light, the little servant girlhaving carried off the . Found insideThe amended rule does not contemplate the submission of a proposed Commission order by which the relief sought by the ... this fee shall not be applicable to (1) any application for deregistration of an investment company pursuant to ... Morgan Stanley Emerging Markets Fund, Inc.. Morgan Stanley Institutional Fund of Hedge Funds LP. . A Form 15 will be filed with the Securities and Exchange Commission (the "SEC") on or about August 6, 2020 in order to effect such deregistration. BlackRock Defined Opportunity Credit Trust. Mr. Koester said, "The Company is taking this action to reduce the legal, accounting and administrative costs associated with being an SEC reporting company. delisting/deregistration process is designed to operate by the passage of time, with a "safety valve" allowing the SEC to intervene in limited circumstances if necessary. amends the Exchange Act to increase the number of shareholders threshold for SEC deregistration from 300 shareholders to 1,200 shareholders. If the Proposals are approved by shareholders, HFRO will apply to the SEC for a Deregistration Order, but the timing for receiving the Deregistration Order is uncertain. Further, the SEC may determine not to grant the Company's request for the Deregistration Order, which would materially change the Company's plans for its business. Nuveen Premium Income Municipal Fund 4, Inc.. Nuveen Dividend Advantage Municipal Fund 2. Partners Group Private Equity (Institutional TEI), LLC. Found inside – Page 1264Action: Notice of Proposed Deregistration under the Investment Company Act of 1940 (the "Act"). Relevant Act Sections: Sections 8(a), 8(f ) and 54(a). Summary of Notice: The SEC proposes to declare by order on its own motion that the ... Oppenheimer Rochester AMT-Free Municipal Fund. Found insideAny program deregistered and the review body of the disposition of pursuant to these regulations may be reinthe ... of the complaint or such evidence , solicit a response from [ 17,616 ] the program sponsor and conduct whatever Sec . Pending the SEC's issuance of the . Further, the SEC may determine not to grant the Company's request for the Deregistration Order, which would materially change the Company's plans for its business. The timing for receiving a deregistration order cannot be predicted . On March 31, 2021, the Company filed an application with the Securities and Exchange Commission (the "SEC") for an order under the 1940 Act declaring that the Company is no longer an investment company (the "Deregistration Order"). Pending the SEC's issuance of the Deregistration Order, the Adviser intends to begin realigning HFRO's portfolio consistent with its new business as a diversified holding company. No. Until the SEC issues a Deregistration Order, HFRO will continue to be registered as an investment company and will continue to be regulated under the 1940 Act. T. Rowe Price Capital Appreciation & Income Fund, Inc.. ClearBridge American Energy MLP Fund Inc.. College & University Facility Loan Trust Two. Found inside – Page 361... Relevant 1940 Act Section : Orders requesting Inc. There are no stockholders of Applicant to deregistration under Section ... Any requests must be received by the Applicant is deregistered , such form will be filed SEC by 5:30 p.m. ... SEC.gov | Investment Company Act Deregistration Notices and Orders Investment Company Act Deregistration Notices and Orders Archive: 2017 Following is a list of notices of applications for deregistration and orders under section 8 (f) of the Investment Company Act of 1940. 811-23495. Pending the SEC's issuance of the Deregistration Order, the Adviser intends to begin realigning HFRO's portfolio consistent with its new business as a diversified holding company. 811-6100. Eaton Vance Municipal Income Trust Ohio Merger Subsidiary, LLC. ( Order: Rel. Interested persons may request a hearing on any application by e-mailing the SEC's Secretary at Until the SEC issues a Deregistration Order, HFRO will continue to be registered as an investment company and will continue to be regulated under the 1940 Act. Nuveen Quality Income Municipal Fund, Inc.. Nuveen Municipal Market Opportunity Fund, Inc.. Nuveen Premium Income Municipal Fund 2, Inc.. Nuveen Performance Plus Municipal Fund, Inc.. Nuveen Premier Municipal Income Fund, Inc.. Nuveen Premium Income Municipal Fund, Inc.. Nuveen Select Quality Municipal Fund, Inc.. Nuveen Investment Quality Municipal Fund, Inc.. Nuveen California Dividend Advantage Municipal Fund 2. SunAmerica Goldman Sachs Diversified Yield Fund, Inc.. RiverSource Diversified Income Series, Inc.. RiverSource Short Term Investments Series, Inc.. RiverSource High Yield Income Series, Inc.. Columbia Government Money Market Fund, Inc.. Columbia Seligman Communications & Information Fund, Inc.. Madison Harbor Balanced Strategies, Inc.. CBRE Clarion MLP Select Income Opportunities Fund. A company must . CFR 200.30-3(a)(57) and (58). If the Proposals are approved by shareholders, HFRO will apply to the SEC for a Deregistration Order, but the timing for receiving the Deregistration Order is uncertain. Pending the SEC's issuance of the . Guggenheim Enhanced Equity Strategy Fund. Further, the SEC may determine not to grant the Company's request for the Deregistration Order, which would materially change the Company's plans for its business. Found inside – Page 678Deregistration of company Commission order deregistering comReview may be had pursuant to this section of any ... Commission which if true would establish that it had ( SEC ) had authority to consider modifybeen injured in fact by ... Partners Group Private Income Opportunities, LLC. Eaton Vance New York Municipal Bond Fund Merger Subsidiary, LLC. An order granting each application will be issued unless the SEC orders a hearing. Announces Sec Deregistration. Oppenheimer Master Event-Linked Bond Fund, LLC. In prior years, such orders typically instituted a proceeding as to two or more, usually unrelated, issuers. Oppenheimer Rochester California Municipal Fund. Found inside – Page 200Finally , in order to encourage a member to avail himself of the remedies given on applications for investigation into ... in similar circumstances to those that justify deregistration under the Commonwealth Arbitration Act ( sec . Further, the SEC may determine not to grant the Company's request for the Deregistration Order, which would materially change the Company's plans for its business and investments. Interested persons may request a hearing on any application by writing to the SEC's Secretary at . iShares Sovereign Screened Global Bond Fund, Inc.. Cohen & Steers Institutional Global Realty Shares, Inc.. Eaton Vance Municipal Bond Fund Massachusetts Merger Subsidiary, LLC. Eligibility for Deregistration - SEC Counting Rules. An order granting each application will be issued unless the SEC orders a hearing. In the Matter of an Application by Readymix (West Indies) Limited for the Commission to declare that it is de-registered from the register of . Notice of Applications for Deregistration under Section 8 (f) of the Investment Company Act of 1940. THE REPUBLIC OF TRINIDAD AND TOBAGO. Until the SEC issues a Deregistration Order, HFRO will continue to be registered as an investment company and will continue to be regulated under the 1940 Act. An order granting each application will be issued unless the SEC orders a hearing. Order re: Conditional Deregistration Readymix (West Indies) Limited. Separate Account D of Voya Insurance & Annuity Co.. Western Asset Emerging Markets Income Fund Inc.. Western Asset Worldwide Income Fund Inc.. Ramius Archview Credit and Distressed Feeder Fund. 811-5046. 2021. Oppenheimer International Diversified Fund. The implementation period may last approximately two years, with full implementation not projected until approximately the middle of 2023. Interested persons may request a hearing on any application by emailing the SEC's Secretary at Secretarys-Office@sec.gov and serving the relevant applicant with a copy of the request by email, if an email address is listed for the relevant applicant below, or . Eaton Vance Municipal Bond Fund II Merger Subsidiary, LLC. . Announces Stock Repurchase Program and SEC Deregistration Contacts Gary J. Koester President and CEO (513) 574-0700 gkoester@eaglesavings.com Pending the SEC's issuance of the . 18 (CF), March 15, 2010. Partners Group Private Equity (TEI), LLC. (202) 551-8090. Found inside – Page 348On November 18 , 2005 , each Fund filed an application under section 8 ( f ) of the Act for an order of deregistration . On May 24 , 2006 , the Commission issued orders under section 8 ( f ) declaring that each Fund had ceased to be an ... Interested persons may request a hearing on any application by e-mailing the SEC's Secretary at Until the SEC issues a Deregistration Order, HFRO will continue to be registered as an investment company and will continue to be regulated under the 1940 Act. The Order exempts Filers from any requirement to file or furnish materials with the SEC under Exchange Act Sections 13(a), 13(f), 13(g), 14(a), 14(c), 14(f), 15(d) and Regulations 13A, Regulation 13D-G (except for those provisions mandating the filing of Schedule 13D or amendments to Schedule â ¦ Van Kampen Retirement Strategy Trust, et al . Until the SEC issues a Deregistration Order, HFRO will continue to be registered as an investment company and will continue to be regulated under the 1940 Act. . Found inside – Page 11Falling below 300 holders of record , filing the necessary certification , and the SEC's order are the only method for deregistration specified in the Act . ( 15 U.S.C. $ 781 ( g ) ( 4 ) ) While Lakefront's common shares have been since ... Until the SEC issues a Deregistration Order, HFRO will continue to be registered as an investment company and will continue to be regulated under the 1940 Act. NorthStar/Townsend Institutional Real Estate Fund Inc.. Nuveen High Income December 2018 Target Term Fund. Columbia Funds Variable Insurance Trust I. Seligman TargetHorizon ETF Portfolios, Inc.. T. Rowe Price California Tax-Free Income Trust. Nuveen Credit Opportunities 2024 Target Term Fund. Ramius Archview Credit & Distressed Fund. 25, 2021. Pending the SEC's issuance of the Deregistration Order, the Adviser intends to begin realigning HFRO's portfolio consistent with its new business as a diversified holding company. Freedom in the World, the Freedom House flagship survey whose findings have been published annually since 1972, is the standard-setting comparative assessment of global political rights and civil liberties. Interested persons 44 15 45 17 U.S.C. Found inside – Page 1861Sec . 11. ( 178.091 ) INVESTIGATIONS AND ENFORCEMENT ; APPRENTICESHIP PROGRAMS AND STANDARDS . Subdivision 1. Investigations . In order to carry out the purposes of this chapter , the commissioner may investigate registered ... Duff & Phelps Utility & Corporate Bond Trust Inc.. Invesco Floating Rate Corporate Credit Fund. Nuveen Credit Opportunities 2020 Target Term Fund. Twice-yearly supplements keep the book current in this rapidly evolving field. At least 10 days prior to filing the Form 25, the company must issue a press . Found inside – Page 17-467On March 21 , 1962 , Atlas filed an application with the SEC for an order of deregistration pursuant to Section 8 ( f ) of the 1940 Act . It being necessary to obtain stockholder approval of deregistration , Atlas mailed a proxy ... We manage all business and commercial filings through our hub: Business.CT.gov. (i)Struck off the register as a defunct company by the Companies Commission of Malaysia (CCM) - deregistered under Sec 308 of the act. Columbia Funds Master Investment Trust, LLC. Oppenheimer Government Money Market Fund. In order to examine how firm and country characteristics influence investors' valuation of the SEC's FPI deregistration rule, we associate individual cumulative abnormal returns (obtained from the SUR estimation to their firms' cross-sectional determinants as in Brook, Hendershott, and Lee (1998). Found inside – Page 702See also SEC brokerage services , XIII 83 delegation of , XI 821 investment , XIX $ 86 , 7.3 of SEC , XIX 97.2 of SEC in issuing deregistration orders , XXIV $ 16.7 under section 206 ( 3 ) of the Advisers Act , XII 83 Discretionary ... Found inside – Page 9389 ( 1975 ) issues albeit involving a different time quired to register with the SEC or period . ... Commerce Act complaint in part attacks as void a 1970 regulation , the orders were sustained . order of the SEC deregistering Alle4. Oppenheimer Intermediate Term Municipal Fund. Oppenheimer Master Inflation Protected Securities Fund, LLC. IC-27853) Seligman Quality Municipal Fund, Inc., File No. An order granting each application will be issued unless the SEC orders a hearing. There is a significant increase in going-dark deregistrations in 2003 and 2004. The following is a notice of applications for deregistration under section 8(f) of the Investment Company Act of 1940 for the month of August 2021. Man FRM Alternative Multi-Strategy Fund LLC. Duff & Phelps Diversified Income Fund Inc.. Market Vectors Double Tax-Free Municipal Income Fund. on the financial statements included in the Company SEC Documents for all Taxes payable by the Company and its Subsidiaries for all taxable periods and portions . The Sarbanes-Oxley Act may be the catalyst for this increased deregistration activity, either because of the additional costs associated with compliance, or because of the additional responsibilities, monitoring, and . Following is a list of notices of applications for deregistration and orders under section 8(f) of the Investment Company Act of 1940. shorter time as the SEC may determine. (In Fiscal Year 2020, the Commission's deregistration and/or suspension orders instituted a proceeding as to a single issuer. Pending the SEC's issuance of the . the company has not responded to a Company compliance notice or. Found inside – Page 609The SEC explained , “ For a variety of reasons , some specialists have deregistered from certain NNM securities ... At the same time , CHX floor brokers continue to receive orders for may of these ' dropped ' issues ; such floor brokers ... Michigan Merger Subsidiary, LLC Bond Trust Inc.. AllianzGI Institutional Multi-Series.. 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