Securities and Exchange Commission – Federal Register Recent Federal Regulation Documents

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Document Number: 2014-17778
Type: Notice
Date: 2014-07-29
Agency: Securities and Exchange Commission, Agencies and Commissions
Document Number: 2014-17777
Type: Notice
Date: 2014-07-29
Agency: Securities and Exchange Commission, Agencies and Commissions
Document Number: 2014-17776
Type: Notice
Date: 2014-07-29
Agency: Securities and Exchange Commission, Agencies and Commissions
Document Number: 2014-17775
Type: Notice
Date: 2014-07-29
Agency: Securities and Exchange Commission, Agencies and Commissions
Document Number: 2014-17748
Type: Notice
Date: 2014-07-29
Agency: Securities and Exchange Commission, Agencies and Commissions
Pursuant to Section 36 of the Securities Exchange Act of 1934 (``Exchange Act'') and Exchange Act Rule 10b-10(f), the Securities and Exchange Commission (``SEC'' or ``Commission'') is proposing to grant exemptive relief, subject to certain conditions, from the immediate confirmation delivery requirements of Exchange Act Rule 10b-10 for transactions effected in shares of any open-end management investment company registered under the Investment Company Act of 1940 (``Investment Company Act'') that holds itself out as a money market fund operating in accordance with Rule 2a-7(c)(1)(ii) of the Investment Company Act.
Document Number: 2014-17810
Type: Notice
Date: 2014-07-28
Agency: Securities and Exchange Commission, Agencies and Commissions
Document Number: 2014-17655
Type: Notice
Date: 2014-07-28
Agency: Securities and Exchange Commission, Agencies and Commissions
Document Number: 2014-17617
Type: Notice
Date: 2014-07-28
Agency: Securities and Exchange Commission, Agencies and Commissions
Summary of Application: Applicants request an order that permits: (a) Actively-managed series of certain open-end management investment companies to issue shares (``Shares'') redeemable in large aggregations only (``Creation Units''); (b) secondary market transactions in Shares to occur at negotiated market prices; (c) certain series to pay redemption proceeds, under certain circumstances, more than seven days from the tender of Shares for redemption; (d) certain affiliated persons of the series to deposit securities into, and receive securities from, the series in connection with the purchase and redemption of Creation Units; and (e) certain registered management investment companies and unit investment trusts outside of the same group of investment companies as the series to acquire Shares.
Document Number: 2014-17516
Type: Notice
Date: 2014-07-25
Agency: Securities and Exchange Commission, Agencies and Commissions
Document Number: 2014-17515
Type: Notice
Date: 2014-07-25
Agency: Securities and Exchange Commission, Agencies and Commissions
Document Number: 2014-17282
Type: Notice
Date: 2014-07-23
Agency: Securities and Exchange Commission, Agencies and Commissions
Document Number: 2014-17281
Type: Notice
Date: 2014-07-23
Agency: Securities and Exchange Commission, Agencies and Commissions
Document Number: 2014-17280
Type: Notice
Date: 2014-07-23
Agency: Securities and Exchange Commission, Agencies and Commissions
Document Number: 2014-17279
Type: Notice
Date: 2014-07-23
Agency: Securities and Exchange Commission, Agencies and Commissions
Document Number: 2014-17278
Type: Notice
Date: 2014-07-23
Agency: Securities and Exchange Commission, Agencies and Commissions
Document Number: 2014-17270
Type: Notice
Date: 2014-07-23
Agency: Securities and Exchange Commission, Agencies and Commissions
Summary of the Application: The order would permit certain open-end management investment companies registered under the Act to acquire shares of certain open-end management investment companies registered under the Act that are outside of the same group of investment companies as the acquiring investment companies. Applicants: FundVantage Trust (the ``Trust''), Gotham Asset Management, LLC (the ``Adviser''), and Foreside Funds Distributor, LLC (the ``Distributor'').
Document Number: 2014-17267
Type: Notice
Date: 2014-07-23
Agency: Securities and Exchange Commission, Agencies and Commissions
Summary of the Application: The Company requests an order to permit it to adhere to a modified asset coverage requirement.
Document Number: 2014-17188
Type: Notice
Date: 2014-07-21
Agency: Securities and Exchange Commission, Agencies and Commissions
Document Number: 2014-17186
Type: Notice
Date: 2014-07-21
Agency: Securities and Exchange Commission, Agencies and Commissions
Document Number: 2014-17142
Type: Notice
Date: 2014-07-21
Agency: Securities and Exchange Commission, Agencies and Commissions
Document Number: 2014-17141
Type: Notice
Date: 2014-07-21
Agency: Securities and Exchange Commission, Agencies and Commissions
Document Number: 2014-17020
Type: Notice
Date: 2014-07-21
Agency: Securities and Exchange Commission, Agencies and Commissions
Document Number: 2014-17019
Type: Notice
Date: 2014-07-21
Agency: Securities and Exchange Commission, Agencies and Commissions
Document Number: 2014-17018
Type: Notice
Date: 2014-07-21
Agency: Securities and Exchange Commission, Agencies and Commissions
Document Number: 2014-17017
Type: Notice
Date: 2014-07-21
Agency: Securities and Exchange Commission, Agencies and Commissions
Document Number: 2014-17016
Type: Notice
Date: 2014-07-21
Agency: Securities and Exchange Commission, Agencies and Commissions
Document Number: 2014-17015
Type: Notice
Date: 2014-07-21
Agency: Securities and Exchange Commission, Agencies and Commissions
Document Number: 2014-17014
Type: Notice
Date: 2014-07-21
Agency: Securities and Exchange Commission, Agencies and Commissions
Document Number: 2014-17036
Type: Notice
Date: 2014-07-18
Agency: Securities and Exchange Commission, Agencies and Commissions