Search Results for keywords:"conflict of interest"

The Securities and Exchange Commission (SEC) has received an application for an order permitting certain joint transactions involving business development companies (BDCs) and closed-end management investment companies. The applicants, including Muzinich BDC, Inc. and its associated entities, seek permission to co-invest in portfolio companies alongside affiliated investment funds. This involves transactions that are generally prohibited without SEC approval, ensuring fairness and compliance with investment regulations. The SEC will issue the order unless a hearing is requested by interested parties by a specified date.

William T. White has submitted an application to the Federal Energy Regulatory Commission (FERC) to hold interlocking positions under the Federal Power Act. Anyone wishing to comment or oppose this filing must follow specific FERC procedures and submit their papers by January 8, 2025. The full document is available online, and FERC encourages electronic submissions. Assistance is available through FERC's Office of Public Participation for those needing help understanding the process.

Nasdaq PHLX LLC proposed a rule change to allow market makers to participate in Price Improvement XL auctions for Nasdaq-100 Micro Index Options. The Securities and Exchange Commission (SEC) initially had 45 days to approve, disapprove, or begin proceedings on this rule change, ending on December 21, 2024. However, the SEC extended this period to ensure they have enough time to consider the proposal thoroughly. The new deadline for a decision is February 4, 2025.

The Securities and Exchange Commission (SEC) is reviewing a proposed plan, submitted by various stock exchanges and financial industry regulators, to establish a new national system for sharing real-time stock market data. This new plan aims to replace the existing three separate plans and address conflicts of interest where exchanges might prioritize their own data products over the collective responsibility to provide fair access to market data. The SEC is seeking public comments to determine whether the plan should be approved, possibly with modifications, or disapproved. Interested parties are invited to submit their opinions by February 5, 2021, with opportunities for rebuttals until February 19, 2021.

The Nuclear Waste Technical Review Board has announced the members of its Senior Executive Service Performance Review Board, effective immediately until December 10, 2025. The designated board members include executives from the Defense Nuclear Facilities Safety Board, the National Nuclear Security Administration, and the U.S. Department of Energy. This announcement complies with the legal requirement to publish notice of such appointments in the Federal Register. For further details, Kimberly Brown at the board can be contacted via email at brown@nwtrb.gov or phone at 703-235-4473.

The Federal Aviation Administration (FAA) is considering a request to release and sell a 37.21-acre parcel of land at New Century AirCenter in Kansas. This action is necessary because the property was acquired with federal funds and must meet certain federal requirements before it can be used for non-airport purposes. The FAA ensures that selling this property will not affect future aviation needs and will be done at a fair market value. Public comments on this proposal are invited and must be submitted by February 18, 2025.

LCM Healthcare Fund I, L.P., located in Dallas, Texas, is a federal licensee under the Small Business Investment Act seeking an exemption from the U.S. Small Business Administration (SBA). The exemption is requested for a proposed equity financing deal with Northwest Surgical Development Company, Inc., which is considered a conflict of interest as it does not meet specific terms and conditions required by SBA regulations. The SBA is asking for public comments on this transaction within fifteen days of the notice's publication. Thomas Morris from the SBA is in charge of this matter.