№ lp_2_2_06792
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Official regulatory correspondence notifying the Commodity Futures Trading Commission of the self-certification and initial listing details of a broad-based equity index futures contract under CFTC Regulation 40.2(a).
Date: June 23, 2022
Sender: Small Exchange, Inc.
Recipient: Commodity Futures Trading Commission
Addressee: Mr. Christopher J. Kirkpatrick, Office of the Secretariat
Document Type: Regulatory certification letter
Subject: Self-certification of initial listing of the Small Equities 400 Index Futures Contract
Regulatory Reference: CFTC Regulation 40.2(a)
Contract Name: Small Equities 400 Index Futures Contract
Commodity Code: SMES
Rulebook Chapter: 40
Clearing Organization: Options Clearing Corporation
Effective Date: June 24, 2022
Trade Date: June 27, 2022
Underlying Index: Small Equities 400 Index
Index Calculation Agent: dxFeed
Jurisdiction: United States
Price: 8 / 10 USD
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Service List – Email Addresses – In the Matter of the Companies' Creditors Arrangement Act (R.S.C. 1985, c. C-36) and the Plan of Compromise or Arrangement of 923451 Ontario Inc., CCL Equities Inc., and CCL Realty Inc.
Jurisdiction: Canada
Status of Legislation: As amended
Parties: 923451 Ontario Inc. (formerly known as Comstock Canada Ltd.); CCL Equities Inc.; CCL Realty Inc.
Subject: Plan of Compromise or Arrangement
Type of Document: Service List
Content: Email addresses of counsel, representatives, creditors, companies, and government officials
Province: Ontario
Resolution E-5433. Pacific Gas and Electric. Electric Rules 2, 15, 16 Exceptional Case Submittal, Electric Transmission Interconnection, Sunnyvale Technology Partners LLC c/o Menlo Equities
Year: 2026
Region / City: Sunnyvale, California
Theme: Energy, Utilities
Document Type: Resolution
Organization: California Public Utilities Commission
Author: California Public Utilities Commission
Target Audience: Energy sector professionals, Utility companies, Local government agencies
Period of Validity: 2025–2027
Approval Date: March 19, 2026
Amendment Date: N/A
Key Investor Information for Arbrook American Equities Fund Class B10 (GBP) Income Shares
Fund name: Arbrook American Equities Fund
Share class: Class B10 (GBP) Income Shares
Fund structure: Sub-fund of Skyline Umbrella Fund ICAV
ISIN: IE00BGV5W438
Fund manager: IQ EQ Fund Management (Ireland) Limited
Depositary: Northern Trust Fiduciary Services (Ireland) Ltd
Benchmark index: S&P 500 Index
Investment objective: Capital appreciation and income over the medium term
Investment strategy: Actively managed diversified portfolio of predominantly United States equities
Minimum equity allocation: At least 80% of assets in equities and equity-like securities
Dividend policy: Income shares paying dividends
Investor risk profile: Medium to high risk tolerance
Recommended investment horizon: Minimum 3 years
Risk category indicator: 6 on a scale of 1–7
Ongoing charges: 0.74% per year
Entry charge: 0% (maximum)
Exit charge: 0% (maximum)
Performance fee: None
Share class launch date: 25 September 2019
Base currency of performance calculation: GBP
Legal structure: Irish ICAV with segregated liability between sub-funds
Availability of reports: Prospectus, supplements, annual and semi-annual reports available in English from the Manager
Swiss representative: 1741 Fonds Solutions AG
Swiss paying agent: Bank Vontobel AG
ITALIAN FTT Equities Protocol – Adherence Letter Form
Year: 2026
Region / City: London, United Kingdom
Subject: Financial Transactions Tax, Equities
Document Type: Adherence Letter / Legal Protocol Document
Organization: Association for Financial Markets in Europe (AFME)
Author: Adhering Party (corporate group)
Target Audience: Financial institutions participating in Italian FTT Equities Protocol
Effective Period: From date of signature until amendments or termination of Protocol
Date of Issue: 2026
Regulatory References: UK PRA/FCA number, SEC number, LEI, DTC ID, Euroclear number
Topics: SMFE 2022-013 Equities