alea-institute/kl3m-data-sample-004-shuffled huggingface dataset:
UNITED STATES OF AMERICA

BEFORE THE

SECURITIES AND EXCHANGE COMMISSION

INVESTMENT COMPANY ACT OF 1940

Release No. 35091 / January 17, 2024

In the Matter of

NUVEEN ENHANCED FLOATING RATE INCOME FUND

NUVEEN FUND ADVISORS, LLC

NUVEEN SECURITIES, LLC

NUVEEN ASSET MANAGEMENT, LLC

333 West Wacker Drive

Chicago, Illinois 60606

(812-15530)

ORDER UNDER SECTIONS 6(c) AND 23(c)(3) OF THE INVESTMENT COMPANY ACT 

OF 1940 (THE “ACT”) GRANTING AN EXEMPTION FROM CERTAIN PROVISIONS OF 

RULE 23c-3 UNDER THE ACT

Nuveen Enhanced Floating Rate Income Fund, Nuveen Fund Advisors, LLC, Nuveen Securities, 

LLC, and Nuveen Asset Management, LLC filed an application on December 6, 2023. 

Applicants requested an order under sections 6(c) and 23(c)(3) of the Act for an exemption from 

certain provisions of rule 23c-3 under the Act. The order would permit certain registered closedend management investment companies to make repurchase offers on a monthly basis.

On December 22, 2023, a notice of the filing of the application was issued (Investment Company 

Act Release No. 35081). The notice gave interested persons an opportunity to request a hearing 

and stated that an order disposing of the application would be issued unless a hearing was 

ordered. No request for a hearing has been filed, and the Commission has not ordered a hearing.

The matter has been considered and it is found, on the basis of the information set forth in the 

application, that granting the requested exemption is appropriate in the public interest and 

consistent with the protection of investors and the purposes fairly intended by the policy and 

provisions of the Act. 

It is further found that the proposed purchases will be made in a manner or on a basis which does 

not unfairly discriminate against any holders of the class or classes of securities to be purchased.
2

Accordingly, in the matter of Nuveen Enhanced Floating Rate Income Fund, Nuveen Fund 

Advisors, LLC, Nuveen Securities, LLC, and Nuveen Asset Management, LLC (File No. 812-

15530),

IT IS ORDERED, under sections 6(c) and 23(c)(3)of the Act, that the requested exemption from 

certain provisions of rule 23c-3 is granted, effective immediately, subject to the conditions 

contained in the application.

For the Commission, by the Division of Investment Management, under delegated authority.

Sherry R. Haywood,

Assistant Secretary.
§ 100.7 Conduct of investigations. ( a ) *Periodic compliance reviews.* The responsible Department official or his designee shall from time to time review the practices of recipients to determine whether they are complying with this part.
( b ) *Complaints.* Any person who believes himself or any specific class of individuals to be subjected to discrimination prohibited by this part may by himself or by a representative file with the responsible Department official or his designee a written complaint. A complaint must be filed not later than 180 days from the date of the alleged discrimination, unless the time for filing is extended by the responsible Department official or his designee.
( c ) *Investigations.* The responsible Department official or his designee will make a prompt investigation whenever a compliance review, report, complaint, or any other information indicates a possible failure to comply with this part. The investigation should include, where appropriate, a review of the pertinent practices and policies of the recipient, the circumstances under which the possible noncompliance with this part occurred, and other factors relevant to a determination as to whether the recipient has failed to comply with this part.
( d ) *Resolution of matters.* ( 1 ) If an investigation pursuant to paragraph (c) of this section indicates a failure to comply with this part, the responsible Department official or his designee will so inform the recipient and the matter will be resolved by informal means whenever possible. If it has been determined that the matter cannot be resolved by informal means, action will be taken as provided for in § 100.8.
( 2 ) If an investigation does not warrant action pursuant to paragraph (1) of this paragraph (d) the responsible Department official or his designee will so inform the recipient and the complainant, if any, in writing.
( e ) *Intimidatory or retaliatory acts prohibited.* No recipient or other person shall intimidate, threaten, coerce, or discriminate against any individual for the purpose of interfering with any right or privilege secured by section 601 of the Act or this part, or because he has made a complaint, testified, assisted, or participated in any manner in an investigation, proceeding or hearing under this part. The identity of complainants shall be kept confidential except to the extent necessary to carry out the purposes of this part, including the conduct of any investigation, hearing, or judicial proceeding arising thereunder.
(Authority: Sec. 601, 602, Civil Rights Act of 1964; 78 Stat. 252; 42 U.S.C. 2000d, 2000d-1)
g:\blm\buttermp\AMS\FinalFigures\fig2-23_roadandtransportation.mxd 

Sheep

Creek

WSA Cascade County 

Sleeping 

Giant

WSA 

Lewis and Clark County 

Meagher County 

Jefferson County 

§ ̈¦15 

£¤

Elkhorns Broadwater County

WSA 

12 Townsend 

Boulder 

Anaconda 

§ ̈¦90 

Deerlodge County 

£¤287 

Butte 

I Wilderness Study Area (WSA) - Closed to Travel 

Bureau of Land Management (BLM) Land - Area Availability for Motorized Travel 

0 Miles 10 Open to Limited Travel Butte Field Office - EIS

Bureau of Land Management (BLM) Land - Open to Travel RMP Planning Area, Montana No warranty is made by the Bureau of Map

Land Management (BLM) for use of Location FIGURE 2-23a 

data for purposes not intended by BLM. 

Blacksage

WSA 

Powell County Helena 

East Helena 

£¤12
### §460s–10. Acquisition of property

#### (a) Owner's retention of right of use and occupancy for residential purposes for term of years or life; adjustment of compensation; conveyance or lease of right for noncommercial residential purposes

Any owner or owners of improved property on the date of its acquisition by the Secretary may, as a condition to such acquisition, retain, for a term of not to exceed twenty-five years, or for a term ending at the death of such owner or owners, the right of use and occupancy of such property for any residential purpose which is not incompatible with the purposes of this subchapter or which does not impair the usefulness and attractiveness of the area designated for inclusion. The Secretary shall pay to the owner the value of the property on the date of such acquisition, less the value on such date of the right retained by the owner. Where any such owner retains a right of use and occupancy as herein provided, such right during its existence may be conveyed or leased for noncommercial residential purposes in accordance with the provisions of this section.

#### (b) Termination of use and occupancy because of noncompliance with statutory uses; adjustment of compensation

Any deed or other instrument used to transfer title to property, with respect to which a right of use and occupancy is retained under this section, shall provide that such property shall not be used for any purpose which is incompatible with purposes of this subchapter, or which impairs the usefulness and attractiveness of the lakeshore and if it should be so used, the Secretary shall have authority to terminate such right. In the event the Secretary exercises his power of termination under this subsection he shall pay to the owner of the right terminated an amount equal to the value of that portion of such right which remained unexpired on the date of such termination.

#### (c) Land subject to lease of cottage or hunting lodge; new lease for term of years or life; conditions of lease

Any land acquired by the Secretary under this subchapter on which there is situated a cottage or hunting lodge which, on December 31, 1964, was under lease to any lessee or lessees shall, if such lease is in effect on the date such land is so acquired, be acquired by the Secretary subject to such lease and the right of such lessee or lessees to continue using the property covered by such lease in accordance with the provisions thereof. Upon the expiration of such lease, the Secretary shall have the authority to enter into a lease with such lessee or lessees authorizing them to continue using such cottage or lodge (as the case may be) for a term of not to exceed twenty-five years, or for a term ending at the death of such lessee or lessees, subject to such conditions as may be prescribed by the Secretary.

(Pub. L. 89–668, §11, Oct. 15, 1966, 80 Stat. 925.)
§ 300.32 Personally identifiable. *Personally identifiable* means information that contains— ( a ) The name of the child, the child's parent, or other family member;
( b ) The address of the child;
( c ) A personal identifier, such as the child's social security number or student number; or
( d ) A list of personal characteristics or other information that would make it possible to identify the child with reasonable certainty.
(Authority: 20 U.S.C. 1415(a))
**Exhibit
        32.1**
 
 **CERTIFICATION
        PURSUANT TO**
 **18
        U.S.C. Section 1350,**
 **AS
        ADOPTED PURSUANT TO**
 **SECTION
        906 OF THE SARBANES-OXLEY ACT OF 2002**
 
 In
        connection with the Quarterly Report of Q Comm International, Inc. (the
        "Company") on Form 10-Q for the period ended June 30, 2005 as filed with
        the
        Securities and Exchange Commission (“SEC”) on the date hereof (the "Report"), I,
        Michael D. Keough, Chief Executive Officer of the Company, certify, pursuant
        to
        18 U.S.C. Section 1350, as adopted pursuant to Section 906 of the Sarbanes-Oxley
        Act of 2002, that:
 
 (1)
              The
                  Report fully complies with the requirements of section 13(a) or
                  15(d) of
                  the Securities Exchange Act of 1934; and
 
 (2)
              The
                  information contained in the Report fairly presents, in all material
                  respects, the financial condition and results of operations of
                  the
                  Company.
 
 A
        signed
        original of this written statement has been provided to the Company and will
        be
        retained by the Company and furnished to the SEC or its staff upon
        request.
 
 /s/
        Michael D. Keough
 
 Michael
        D. Keough
 Chief
        Executive Officer
 
 August
        26, 2005
1

Example Form – CWA 316(b) Annual Report

EPA Regulations – 40 CFR 125 Subparts I, J and N 

Example Data Entry Form

[Note: Users will also be able to batch this data into this form via a spreadsheet or CSV file.]

NPDES Number <system generated>

Start Date of Reporting Period (YYYY-MM-DD)

End Date of Reporting Period (YYYY-MM-DD) 

NPDES Data Group Number 10

<system generated>

I. INTAKE VELOCITY MONITORING COMPLIANCE INFORMATION

Velocity Monitoring - Compliance 

with the Velocity Requirements

Velocity Monitoring - Compliance with the Velocity Requirements: The unique code/description indicating whether or not the facility 

is in compliance with the velocity requirement for each permitted cooling water intake structure. 1 = new facility is in compliance 

with the Maximum Through-Screen Design Intake Velocity of 0.5 fps as require under 125.84(b)(2) or (c)(1) or 125.134(b)(2), 2 = new 

facility is reducing the level of adverse environmental impact to a comparable level as require under 125.84(d) or 125.134(c)(1), 3 = 

new facility is in compliance with alternative requirements as outlined in 125.85 or 125.135, 4 = existing facility if velocity monitoring 

is required, is in compliance with the maximum design intake velocity of 0.5 fps, the maximum actual through screen velocity of 0.5 

fps, or an alternative requirements established by the Director. A value of zero means the facility is not subject to 125 Subpart I, J, or 

N and is in compliance with the limits based on BPJ.
2

Standard Signature Block and Certification 

Statement for CWA Reporting (in compliance 

with CFR Parts 3, 122.22, and 127).

II. CWA 316(b) BIOLOGICAL MONITORING INFORMATION

CWA 316(b) Biological Monitoring -

Species Name 

(pick list)

CWA 316(b) Biological Monitoring -

Species Number

CWA 316(b) Biological Monitoring -

Threatened or Endangered Flag

CWA 316(b) Biological Monitoring -

Species Impinged and Entrained

CWA 316(b) Biological Monitoring - Species Name: For new and existing facilities, a listing of each species (or relevant taxa) for all life 

stages in the vicinity of the cooling water intake structure.

CWA 316(b) Biological Monitoring - Species Number: For new and existing facilities, the number of each species (or relevant taxa) in 

the vicinity of the cooling water intake structure.

CWA 316(b) Biological Monitoring - Threatened or Endangered Flag: For new and existing facilities, a unique code/description that 

describes for each species (or relevant taxa) whether the species is threatened, endangered, or is an otherwise protected species 

that might be susceptible to impingement and entrainment at the facility’s cooling water intake structures.

CWA 316(b) Biological Monitoring - Species Impinged and Entrained: For new and existing facilities, the number of each species (or 

relevant taxa) impinged and entrained per year in the vicinity of the cooling water intake structure.

SUBMIT 

REPORT
Exhibit (a)(12)

                                    AMENDMENT
                                       TO
              EMPLOYEE RETENTION AGREEMENT OF ILLINOVA CORPORATION

     WHEREAS,  Illinova  Corporation  (Corporation)  has entered  into  Employee
Retention Agreements with certain of its employees (the "Agreements"); and

     WHEREAS, amendment of the Agreements is now deemed desirable;

     NOW,  THEREFORE,  BE IT RESOLVED that,  pursuant to the amending  authority
reserved  to the  Corporation  in  paragraph 8 of each of the  Agreements,  each
Agreement  is hereby  amended by adding  the  following  sentence  at the end of
paragraph 1 thereof:

"Notwithstanding  any provision in this Agreement to the contrary,  the benefits
under this paragraph 1 shall be in lieu of, and not in addition to, any benefits
to which the  Eligible  Employee  might  otherwise  be entitled  under any other
severance plan maintained by the Company."
C O U R T O F A P P E A LS EI GHTH D I STRI CT OF TEX AS ELPASO, TEXAS I N RE: J AI ME L UEVAN O, Relator. § § § § § § No
. 08 -0 9- 00 15 3- CR

AN ORI GI

NAL PROCEEDI

NG I N MANDA MUS

MEMORAN DUM OP INION ON P ETIT ION F OR WRIT OF M ANDAM US Relator has f

iled a pr o s e petition for writ of mandamus re questing this Court “to gra nt the
emer g ency

hear ings en banc ,” re g ardingsever al motions he purports to have f iled in the 120th and 4 0 9 t h D i s t r i c tC o u rt s i n E l P a s o C o u n t y. Relief by writ of mandamus will only be g rante d in e x traordina ry circ umstances whe re the Relator is able to e stablish the trial court has clear ly abused its discre tion, and no adequate re medy
a t la w e x ists. S

ee State ex. re l Y

oung v. Sixth Judic ial Dist. Court of Appeals at T exark ana , 236 S.W. 3d 20 7, 21 0 ( Te x.Cr im. Ap p. 20 07 ). B a se d o n th e pe tit ion and re c or d b e fo re us , w e are un a ble to conclude that Relator is entitled to the relief reque sted. Acc ording ly , mandamus re lief is denied. See T EX .R.A PP .P. 52.8(a)
.
GUADA L UPE RI VERA, J ustice J uly 1, 2009 B e f o r e C h e w , C
. J. , M c C l u r e , a n d R i v e r a , JJ. (Do Not Publish)
Company Filings

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# Open Meeting Agenda

## Thursday, October 11, 2018

| **Item 1:** | **Capital, Margin, and Segregation Requirements for Security-Based Swap Dealers and Major Security-Based Swap Participants and Capital Requirements for Broker-Dealers** |
|-------------|--------------------------------------------------------------------------------------------------------------------------------------------------------------------------|
| Office:     | Division of Trading and Markets                                                                                                                                          |
| Staff:      | Brett Redfearn, Elizabeth Baird, Michael Macchiaroli, Thomas McGowan, Randall Roy, Sheila Swartz, Raymond Lombardo, Valentina Deng, and Tim Fox                          |
||
#### Guidone & Galardi Company, Respondent, v. Francesco Caggiano and Another, Appellants.

Judgment affirmed, with costs. Ro opinion. Jenks, P. J., Burr, Carr, Rich and Putnam, JJ., concurred.
CVC Water Delivery Records

Preliminary Data - Subject to Change

Red indicates Scheduled Data Green indicates Delivery DataBlue indicates Actual Data Deliveries on Behalf of CVC Contractors (70% Allocation)

Oct-05

CVC 

Water 

Pumped 

@ Banks 

AF

Article 55 

Water 

Pumped 

@ Banks 

AF

CVC 

Water 

Pumped 

@ Tracy 

AF

CVC 

Water 

Pumped 

@ Dos 

Amigos for 

Delivery 

AF

3% Loss 

Between 

Banks and 

O'Neill 

Based on 

Actual 

Pumping

2,469 AF 

Lower Tule 

transfered to 

Federal Level 

4 Refuge 

Program

2,469 AF 

Pixley 

transfered to 

Federal Level 

4 Refuge 

Program

10/1/2005 0 AF 0 AF 0 AF 0 AF 0 AF 0 AF 0 AF

10/2/2005 0 AF 0 AF 0 AF 0 AF 0 AF 0 AF 0 AF

10/3/2005 0 AF 0 AF 0 AF 0 AF 0 AF 0 AF 0 AF

10/4/2005 0 AF 0 AF 0 AF 0 AF 0 AF 0 AF 0 AF

10/5/2005 0 AF 0 AF 0 AF 0 AF 0 AF 0 AF 0 AF

10/6/2005 0 AF 0 AF 0 AF 0 AF 0 AF 0 AF 0 AF

10/7/2005 0 AF 0 AF 0 AF 0 AF 0 AF 0 AF 0 AF

10/8/2005 0 AF 0 AF 0 AF 0 AF 0 AF 0 AF 0 AF

10/9/2005 0 AF 0 AF 0 AF 0 AF 0 AF 0 AF 0 AF

10/10/2005 0 AF 0 AF 0 AF 0 AF 0 AF 0 AF 0 AF10/11/2005 0 AF 0 AF 0 AF 0 AF 0 AF 0 AF 0 AF10/12/2005 0 AF 0 AF 0 AF 0 AF 0 AF 0 AF 0 AF10/13/2005 0 AF 0 AF 0 AF 0 AF 0 AF 0 AF 0 AF10/14/2005 0 AF 0 AF 0 AF 0 AF 0 AF 0 AF 0 AF10/15/2005 0 AF 0 AF 0 AF 0 AF 0 AF 0 AF 0 AF10/16/2005 0 AF 0 AF 0 AF 0 AF 0 AF 0 AF 0 AF10/17/2005 0 AF 0 AF 0 AF 0 AF 0 AF 0 AF 0 AF10/18/2005 0 AF 0 AF 0 AF 0 AF 0 AF 0 AF 0 AF10/19/2005 0 AF 0 AF 0 AF 0 AF 0 AF 0 AF 0 AF10/20/2005 0 AF 0 AF 0 AF 0 AF 0 AF 0 AF 0 AF

10/21/2005 0 AF 0 AF 0 AF 0 AF 0 AF 0 AF 0 AF10/22/2005 0 AF 0 AF 0 AF 0 AF 0 AF 0 AF 0 AF10/23/2005 0 AF 0 AF 0 AF 0 AF 0 AF 0 AF 0 AF10/24/2005 0 AF 0 AF 0 AF 0 AF 0 AF 0 AF 0 AF10/25/2005 0 AF 0 AF 0 AF 0 AF 0 AF 0 AF 0 AF10/26/2005 0 AF 0 AF 0 AF 0 AF 0 AF 0 AF 0 AF10/27/2005 1,000 AF 0 AF 0 AF 0 AF 30 AF 485 AF 485 AF

10/28/2005 1,000 AF 0 AF 0 AF 0 AF 30 AF 485 AF 485 AF

10/29/2005 1,000 AF 0 AF 0 AF 0 AF 30 AF 485 AF 485 AF

10/30/2005 1,007 AF 0 AF 0 AF 0 AF 30 AF 489 AF 488 AF

10/31/2005 1,084 AF 0 AF 0 AF 0 AF 33 AF 525 AF 526 AF

Oct Total 5,091 AF 0 AF 0 AF 0 AF 153 AF 2,469 AF 2,469 AF 0 AF 0 AF 0 AF

Note: 4,938 AF of water was transfered to the Level 4 Refuge Program on behalf of Lower Tule (2,469 AF) and Pixley (2,469 AF). 

4,938 AF was exchanged from DWR to CVP in O'Neill on Nov 4, 5, 6, 2005 for delivery to the Refuge Program.CVC Dos Amigos pumping is 790 AF under pumped. This amount was brought forward from Nov 2004.

h:\data\public\~water\~smith\CVC\2003\2005-2006 CVC Deliveries.xls
PRELIMINARY RECOMMENDATION OF THE MUNICIPAL SECURITIES TRANSPARENCY

SUBCOMMITTEE OF THE FIXED INCOME MARKET STRUCTURE ADVISORY COMMITTEE 

CONCERNING PRE-TRADE TRANSPARENCY

An issue that has long been of concern to investors, market participants and regulators is the lack of 

transparency in the municipal securities marketplace. This issue is exacerbated by the fact that, for the 

most part, individual municipal securities trade only occasionally, so that post-trade information cannot 

close the gap.

This is not a new issue and has been studied by the Commission and formally discussed in its 2012 

Report on the Municipal Securities Market. At that time retail investors had access to relatively little

information, thus making it difficult to determine what securities were available for trading, as well as 

prices associated with these securities. Since then, firms have focused on providing additional 

information to the user base, but the subcommittee still believes there are significant improvements to be 

made, particularly for the retail investor.

As such, the Municipal Securities Transparency Subcommittee of FIMSAC believes that this remains an 

important area for the Commission to consider. We recommend that the Commission review

developments in this area in the past decade, including the manner in which retail trades are executed, the 

roles played by market participants, including intermediaries and marketplaces, and the manner and 

breadth of information dissemination to retail investors. The subcommittee recommends that the 

Commission determine whether there are effective actions that can be taken by the Commission, MSRB 

or others to provide additional transparency for this vast market to the investing public.