Securities and Exchange Commission December 1, 2014 – Federal Register Recent Federal Regulation Documents
Results 1 - 4 of 4
Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 1940
Applicant seeks an order declaring that it has ceased to be an investment company. Applicant transferred its assets to corresponding series of MainStay Funds Trust, and on July 7, 2014, made distributions to its shareholders based on net asset value. Expenses of $822,606 incurred in connection with the reorganization were paid by Cushing Asset Management, L.P., applicant's investment adviser, and New York Life Investment Management LLC, the surviving fund's investment adviser. Filing Date: The application was filed on October 27, 2014. Applicant's Address: 8117 Preston Rd., Suite 440, Dallas, TX 75225.
MUFG Union Bank, N.A.; Notice of Application
Summary of Application: Applicant requests an order that would permit an issuer of asset-backed securities (``ABS'') that is not registered as an investment company under the Act in reliance on Rule 3a-7 under the Act (an ``Issuer'') to appoint the applicant as a trustee in connection with the Issuer's ABS when the applicant is affiliated with an underwriter for the Issuer's ABS. Applicant: MUFG Union Bank, N.A.
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