Regulatory Compliance, Financial Implications 8 Jan 2025 sec, financial regulation, consolidated audit trail, box exchange, fee schedule, industry members
Compliance, Regulatory Requirements 8 Jan 2025 sec, regulatory changes, nasdaq, series definition, class definition, trading rules
Regulatory Compliance, Financial Implications 8 Jan 2025 compliance, sec, financial regulation, self-regulatory organizations, audit trail fees, investors exchange
Regulatory Compliance, Financial Impact 6 Jan 2025 sec, proposed rule change, memx, cat costs, industry fees
Regulatory Compliance, Financial Implications 6 Jan 2025 compliance, sec, securities, fees, finra, audit trail, cost recovery
Compliance, Financial Regulation 6 Jan 2025 sec, securities, cboe, fees, financial regulation, audit trail
Regulatory Notice 2 Jan 2025 sec, nasdaq phlx, options trading, rule change, securities regulation
Compliance 2 Jan 2025 sec, regulatory compliance, information collection, paperwork reduction act, form se
Regulatory Notice 2 Jan 2025 compliance, sec, information collection, regulation, form th
Compliance, Regulatory Requirements 3 Jan 2025 sec, business compliance, financial regulations, investment company act, deregistration

📊SEC Notice on Investment Company Deregistration Applications - Dec 2024

Applicant seeks an order declaring that it has ceased to be an investment company. The applicant has transferred its assets to BNY Mellon AMT-Free Municipal Bond Fund, a series of BNY Mellon Municipal Funds, Inc., and on March 8, 2024 made a final distribution to its shareholders based on net asset value. Expenses of $176,946 incurred in connection with the reorganization were paid by the applicant. Filing Date: The application was filed on November 25, 2024. Applicant's Address: c/o BNY Mellon Investment Adviser, Inc., 240 Greenwich Street, New York, New York 10286.

Learn More