Securities and Exchange Commission November 2014 – Federal Register Recent Federal Regulation Documents
Results 1 - 50 of 168
Lattice Strategies, LLC, et al.; Notice 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; 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.
Advanced Series Trust, et al.; Notice of Application
Applicants request an order that would permit them to enter into and materially amend subadvisory agreements with Non-Affiliated Sub-Advisors (as defined below) and Wholly-Owned Sub-Advisors (as defined below) without shareholder approval and would grant relief from certain disclosure requirements. The requested order would supersede a prior order that granted exemptive relief from section 15(a) of the Act and rule 18f-2 under the Act solely with respect to Non-Affiliated Sub- Advisors (``Prior Order'').\1\
BlackRock, Inc., et al.; Notice of Application
Applicants request an order to exempt certain investment vehicles formed for the benefit of eligible employees of BlackRock, Inc. and its affiliates (``Partnerships'') from certain provisions of the Act. Each Partnership will be an ``employees' securities company'' within the meaning of section 2(a)(13) of the Act. Applicants: BlackRock, Inc. (``BlackRock''), BlackRock Energy Opportunity (Employees) Fund, L.P. (the ``Energy Fund''), Vesey Street Employee Fund IV, L.P. (the ``Vesey Street Fund''), BlackRock Energy Opportunity Fund GP, LLC (the ``Energy Fund GP''), BlackRock DivPEP IV, LLC (the ``Vesey Street Fund GP''), BlackRock Capital Management, Inc. (``BCM''), and BlackRock Investment Management, LLC (``BIM'').
Privacy Act of 1974: Systems of Records
In accordance with the requirements of the Privacy Act of 1974, as amended, 5 U.S.C. 552a, the Securities and Exchange Commission (``Commission'' or ``SEC'') proposes to revise two existing systems of records, ``Administrative Proceeding Files (SEC-36)'', last published in the Federal Register Volume 62 FR 47884 (September 11, 1997) and ``Information Pertaining or Relevant to SEC Regulated Entities and Their Activities'' (SEC-55), last published in the Federal Register Volume 75 FR 35853 (June 23, 2010).
TPG Specialty Lending, Inc., et al.; Notice of Application
Summary of Application: Applicants request an order to permit a business development company (``BDC'') to co-invest in portfolio companies with affiliated investment funds.
Staff Accounting Bulletin No. 115
This staff accounting bulletin rescinds portions of the interpretive guidance included in the Staff Accounting Bulletin Series in order to make the relevant interpretive guidance consistent with authoritative accounting guidance and Securities and Exchange Commission rules and regulations. Specifically, the staff is updating the Series in order to bring existing guidance into conformity with a recent consensus of the Financial Accounting Standards Board Emerging Issues Task Force, Accounting Standards Update No. 2014-17Business Combinations (Topic 805): Pushdown Accounting (a consensus of the FASB Emerging Issues Task Force).
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