Securities and Exchange Commission December 2013 – Federal Register Recent Federal Regulation Documents
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Securities Exempted; Distribution of Shares by Registered Open-End Management Investment Company; Applications Regarding Joint Enterprises or Arrangements and Certain Profit-Sharing Plans
The Securities and Exchange Commission (``Commission'') is correcting outdated cross-references in rule 602 under the Securities Act of 1933 (``Securities Act'') and rule 12b-1 under the Investment Company Act of 1940 (``Investment Company Act'') and correcting an inadvertent error in rule 17d-1 under the Investment Company Act as published in the Federal Register on January 22, 2003.
IndexIQ ETF Trust, et al.; Notice of Application
Summary of the Application: Applicants request an order that would (a) permit certain registered open-end management investment companies that operate as ``funds of funds'' to acquire shares of certain registered open-end management investment companies, registered closed-end management investment companies, business development companies as defined by section 2(a)(48) of the 1940 Act (``business development companies''), and registered unit investment trusts that are within or outside the same group of investment companies as the acquiring investment companies and (b) permit certain registered open- end management investment companies relying on rule 12d1-2 under the 1940 Act to invest in certain financial instruments. Applicants: IndexIQ ETF Trust, IndexIQ Active ETF Trust (each, a ``Trust,'' and collectively, the ``Trusts''), IndexIQ Advisors LLC (``IndexIQ Advisors'') and ALPS Distributors Inc. (the ``Distributor'').
IndexIQ ETF Trust, et al.; Notice of Application
Summary of Application: Applicants request an order that would permit (a) certain open-end management investment companies or series thereof 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 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. The order would supersede the applicants' prior order.\1\
Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 1940
Each applicant, a closed-end investment company, seeks an order declaring that it has ceased to be an investment company. Between November 26, 2013, and December 10, 2013, each applicant made a liquidating distribution to its shareholders, based on net asset value. Expenses of $15,000, $15,000, $25,000 and $25,000, respectively, incurred in connection with the liquidations were paid by applicants. Applicants have retained $49,042, $59,671, $76,452 and $77,063, respectively, in cash to pay certain outstanding liabilities. Filing Date: The applications were filed on December 12, 2013. Applicants' Address: 100 Bellevue Pkwy., Wilmington, DE 19809.
Extension of Comment Period for Proposed Interagency Policy Statement Establishing Joint Standards for Assessing the Diversity Policies and Practices of Entities Regulated by the Agencies
On October 25, 2013, the OCC, Board, FDIC, NCUA, CFPB, and SEC (collectively, the ``Agencies'') published in the Federal Register a joint notice of a proposed interagency policy statement establishing standards for assessing the diversity policies and practices of the entities they regulate.\1\ To allow the public more time to consider the proposed assessment standards, the Agencies have determined that an extension of the comment period to February 7, 2014, is appropriate. This action will allow interested persons additional time to analyze the interagency policy statement and prepare their comments.
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