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103 SEC Docket 1 (2012-2013)

handle is hein.journals/secdoc108 and id is 1 raw text is: CCHO CCH SEC DOCKET Volume 103, Issue No. 1 November 5, 2012 Releases in this Volume Release No. Page Securities Act of 1933: 9260 ............................... 3 Securities Exchange Act of 1934: 66369-66416 .............. 14 Investment Advisers Act of 1940: 3370-3374 ............... 168 Investment Company Act of 1940: 29944-29948 ............ 188 Litigation: 22256-22260 ............................ 196 Initial Decision: 451-453 ............................. 199 This listing covers releases issued from 2/10/2012-2/16/2012. *34-66370 Intentionally Omitted This listing does not affect the legal status of any document published in this issue. *33-9260 Solicitation of comments on Regulatory Flexibility Agenda and Rules Scheduled for Review. The Agenda is a general announcement to the Public intended to provide advance notice of rulemaking actions which may have a significant economic Impact on a substantial number of small entities. S7-37-1. The Regulatory Flexibility Agenda will be published in a later issue of the SEC Docket. SIGNIFICANT ITEMS INITIAL DECISIONS ID-451 Leila C. Jenkins The initial decision may be appealed to the Commission. ID-452 Gualario & Co., LLC and Ronald Gualario The initial decision may be appealed to the Commission. ID453 Absolute Potential, Inc. (f/k/a Absolute Waste Services, Inc.) The initial decision may be appealed to the Commission. CCH INCORPORATED Wolters Kluwer 4025 W. Peterson Ave., Chicago, IL 60646-6085 l ess 1 800 449 6435 Law & Business htip://www.cch.com A WoltersKluwer Company

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