Securities and Exchange Commission August 2010 – Federal Register Recent Federal Regulation Documents

Results 151 - 170 of 170
Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 1940
Document Number: 2010-19110
Type: Notice
Date: 2010-08-04
Agency: Securities and Exchange Commission, Agencies and Commissions
Applicant seeks an order declaring that it has ceased to be an investment company. On January 22, 2010, applicant transferred its assets to John Hancock Small Cap Equity Fund, a series of John Hancock Investment Trust II, based on net asset value. Expenses of $130,204 incurred in connection with the reorganization were paid by applicant and the acquiring fund.
Mutual Fund Distribution Fees; Confirmations
Document Number: 2010-18305
Type: Proposed Rule
Date: 2010-08-04
Agency: Securities and Exchange Commission, Agencies and Commissions
The Securities and Exchange Commission (``SEC'' or ``the Commission'') is proposing a new rule and rule amendments that would replace rule 12b-1 under the Investment Company Act, the rule that has permitted registered open-end management investment companies (``mutual funds'' or ``funds'') to use fund assets to pay for the cost of promoting sales of fund shares. The new rule and amendments would continue to allow funds to bear promotional costs within certain limits, and would also preserve the ability of funds to provide investors with alternatives for paying sales charges (e.g., at the time of purchase, at the time of redemption, or through a continuing fee charged to fund assets). Unlike the current rule 12b-1 framework, the proposed rules would limit the cumulative sales charges each investor pays, no matter how they are imposed. To help investors make better- informed choices when selecting a fund that imposes sales charges, the Commission is also proposing to require clearer disclosure about all sales charges in fund prospectuses, annual and semi-annual reports to shareholders, and in investor confirmation statements.
Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change Amending Rule 6.47
Document Number: 2010-18998
Type: Notice
Date: 2010-08-03
Agency: Securities and Exchange Commission, Agencies and Commissions
Proposed Collection; Comment Request
Document Number: 2010-18896
Type: Notice
Date: 2010-08-02
Agency: Securities and Exchange Commission, Agencies and Commissions
Virtus Opportunities Trust, et al.; Notice of Application
Document Number: 2010-18894
Type: Notice
Date: 2010-08-02
Agency: Securities and Exchange Commission, Agencies and Commissions
This site is protected by reCAPTCHA and the Google Privacy Policy and Terms of Service apply.