Securities and Exchange Commission – Federal Register Recent Federal Regulation Documents

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Document Number: 2014-08586
Type: Notice
Date: 2014-04-15
Agency: Securities and Exchange Commission, Agencies and Commissions
Document Number: 2014-08526
Type: Notice
Date: 2014-04-15
Agency: Securities and Exchange Commission, Agencies and Commissions
Document Number: 2014-08475
Type: Notice
Date: 2014-04-14
Agency: Securities and Exchange Commission, Agencies and Commissions
Document Number: 2014-08287
Type: Notice
Date: 2014-04-14
Agency: Securities and Exchange Commission, Agencies and Commissions
Summary of Application: Applicants request an order that would permit (a) 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 rather than at net asset value (``NAV''); (c) certain series to pay redemption proceeds, under certain circumstances, more than seven days after 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; (e) certain registered management investment companies and unit investment trusts outside of the same group of investment companies as the series to acquire Shares; and (f) certain series to perform creations and redemptions of Creation Units in-kind in a master-feeder structure. Applicants: ALPS ETF Trust (``Trust''), ALPS Advisors, Inc. (``Current Adviser''), and ALPS Distributors, Inc. and ALPS Portfolio Solutions Distributor, Inc. (collectively, the ``Distributor'').
Document Number: 2014-08286
Type: Notice
Date: 2014-04-14
Agency: Securities and Exchange Commission, Agencies and Commissions
Summary of Application: Applicants request an order that would permit them to enter into and materially amend sub-advisory agreements without shareholder approval and that would grant relief from certain disclosure requirements. Applicants: Professionally Managed Portfolios (the ``Trust'') and Balter Liquid Alternatives, LLC (the ``Adviser'') (collectively, ``Applicants'').
Document Number: 2014-08131
Type: Notice
Date: 2014-04-11
Agency: Securities and Exchange Commission, Agencies and Commissions
Summary of Application: Applicants request an order that permits: (a) Actively-managed series of the Trust 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 after the tender of Creation Units 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; (e) certain registered management investment companies and unit investment trusts outside of the same group of investment companies as the series to acquire Shares; and (f) certain series to perform creations and redemptions of Creation Units in-kind in a master-feeder structure.
Document Number: 2014-08004
Type: Notice
Date: 2014-04-11
Agency: Securities and Exchange Commission, Agencies and Commissions