|
OPUR Filings and NoticesPending Registered Holding Company Applications and Notices Pending Holding Company Applications and Notices Seeking Exemption
Registered Holding Company Applications:Below is a list of pending applications filed with the Securities and Exchange Commission (Commission) under the 1935 Act by registered holding companies. Also provided are notices if they have been issued for an application. Once filed, each application is given a file number. To view a filed application, click on the file numbers below. You will be taken to the EDGAR database of Commission filings. The EDGAR database displays any document filed under that file number, including exhibits and amendments. To view a notice, click on the notice number, which begins with "35". This page includes all pending applications. This page does not include all applications filed under the 1935 Act. To view older applications, go to EDGAR.
Holding Company Applications Seeking ExemptionBelow is a list of pending applications filed with the Commission by holding companies seeking exemption as well as links to any notices issued in connection with an application. Once filed each application is given a file number. To view a filed application, click on the file numbers below. You will be taken to the EDGAR database of Commission filings. The EDGAR database displays any document filed under that file number, including exhibits and amendments. To view a notice, click on the notice number. This site includes all pending applications.
http://www.sec.gov/divisions/investment/opur/filing.htm
|