Securities and Exchange Commission 2014 – Federal Register Recent Federal Regulation Documents
Results 151 - 200 of 2,134
Regulation Systems Compliance and Integrity
The Securities and Exchange Commission (``Commission'') is adopting new Regulation Systems Compliance and Integrity (``Regulation SCI'') under the Securities Exchange Act of 1934 (``Exchange Act'') and conforming amendments to Regulation ATS under the Exchange Act. Regulation SCI will apply to certain self-regulatory organizations (including registered clearing agencies), alternative trading systems (``ATSs''), plan processors, and exempt clearing agencies (collectively, ``SCI entities''), and will require these SCI entities to comply with requirements with respect to the automated systems central to the performance of their regulated activities.
SEC Advisory Committee on Small and Emerging Companies
The Securities and Exchange Commission Advisory Committee on Small and Emerging Companies is providing notice that it will hold a public meeting on Wednesday, December 17, 2014, in Multi-Purpose Room LL-006 at the Commission's headquarters, 100 F Street NE., Washington, DC. The meeting will begin at 9:30 a.m. (EST) and will be open to the public, except for a period of approximately 90 minutes when the Committee will meet in an administrative work session during lunch. The public portions of the meeting will be Webcast on the Commission's Web site at www.sec.gov. Persons needing special accommodations to take part because of a disability should notify the contact person listed below. The public is invited to submit written statements to the Committee. The agenda for the meeting includes matters relating to rules and regulations affecting small and emerging companies under the federal securities laws.
Banc of America Mortgage Securities, Inc., et al.; Notice of Application and Temporary Order
Applicants have received a temporary order (the ``Temporary Order'') exempting them from section 9(a) of the Act, with respect to injunctions entered against Bank of America, N.A. (``BANA''), Merrill Lynch, Pierce, Fenner & Smith Incorporated (``Merrill Lynch''), and Banc of America Mortgage Securities, Inc. (``BOAMS,'' and, together with BANA and Merrill Lynch, the ``Respondents'') on November 25, 2014 by the United States District Court for the Western District of North Carolina (the ``District Court'') until the Commission takes final action on an application for a permanent order (the ``Permanent Order,'' and with the Temporary Order, the ``Orders''). Applicants also have applied for a Permanent Order. Applicants: BofA Advisors, LLC (``BoA Advisors''), BofA Distributors, Inc. (``BoA Distributors''), KECALP Inc. (``KECALP''), Merrill Lynch Ventures, LLC (``Ventures''), Merrill Lynch Global Private Equity, Inc. (``MLGPE''), and Merrill Lynch Alternative Investments LLC (``MLAI'') (each, an ``Applicant'' and collectively, the ``Applicants''), and solely for purposes of agreeing to condition 3 of the application, the Respondents.
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.
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'').
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