Securities and Exchange Commission May 2009 – Federal Register Recent Federal Regulation Documents
Results 51 - 100 of 122
Pacific Investment Management Company LLC and PIMCO ETF Trust; Notice of Application
Summary of Application: Applicants request an order that would permit (a) series of certain open-end management investment companies whose portfolios will consist of the component securities of certain domestic, global or international fixed income securities indexes to issue shares (``Shares'') redeemable in large aggregations only (``Creation Unit Aggregations''); (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 Unit Aggregations; 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.
Cohen & Steers Advantage Income Realty Fund, et al.; Notice of Application
Summary of Application: Applicants request an order (``Order'') granting an exemption from sections 18(a)(1)(A) and (B) of the Act for a period from the date of the Order until October 31, 2010. The Order would permit each Fund to issue or incur debt subject to asset coverage of 200% that would be used to refinance the Fund's auction preferred shares (``APS Shares'') issued prior to February 1, 2008 that are outstanding at the time such post-Order debt is issued or incurred. The Order also would permit each Fund to declare dividends or any other distributions on, or purchase, capital stock during the term of the Order, provided that any such debt has asset coverage of at least 200% after deducting the amount of such transaction.
Securities and Exchange Commission Semiannual Regulatory Agenda
The Securities and Exchange Commission is publishing an agenda of its rulemaking actions pursuant to the Regulatory Flexibility Act (RFA) (Pub. L. No. 96-354, 94 Stat. 1164) (Sep. 19, 1980). Information in the agenda was accurate on March 25, 2009, the day on which the Commission's staff completed compilation of the data. To the extent possible, rulemaking actions by the Commission since that date have been reflected in the agenda. The Commission invites questions and public comment on the agenda and on the individual agenda entries.
Interactive Data for Mutual Fund Risk/Return Summary; Correction
The Securities and Exchange Commission is making technical corrections to rule amendments adopted in Release No. 33-9006 (February 11, 2009), which appeared in the Federal Register on February 19, 2009 (74 FR 7748). Specifically, the Commission is making certain corrections to conform to technical amendments adopted in Release No. 33-9002A (April 1, 2009), which appeared in the Federal Register on April 7, 2009 (74 FR 15666).
Roundtable on Short Selling Price Test Restrictions and Short Sale Circuit Breakers
In light of current instability in the financial markets and the erosion of investor confidence, the Commission is evaluating the issue of short sale price test restrictions and short sale circuit breakers. On April 8, 2009, the Commission unanimously voted to propose two new approaches to short selling regulation. The first approach proposes two permanent market-wide short sale price test restrictions. The second approach proposes three circuit breaker rules that, when triggered by a significant intraday decline in a security's price, would impose either a temporary halt on short selling of an individual security, or a temporary price test restriction.
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