Securities and Exchange Commission 2009 – Federal Register Recent Federal Regulation Documents
Results 601 - 650 of 1,827
MML Series Investment Fund, et al.; Notice of Application
Summary of Application: Applicants request an order pursuant to Section 6(c) of the 1940 Act exempting each life insurance company separate account supporting variable life insurance contracts (``VLI Account'') (and its insurance company depositor) that may invest in shares of an existing portfolio of the MML Trust or the MML II Trust (an ``Existing Fund'') or a ``Future Fund,'' as defined below, from the provisions of Sections 9(a), 13(a), 15(a) and 15(b) of the Act and Rules 6e-2(b)(15) and 6e-3(T)(b)(15) thereunder, in situations where such VLI Accounts hold shares of any Existing Fund or Future Fund (each, a ``Fund;'' collectively, the ``Funds'') when one or more of the following other types of investors also hold shares of the Funds: (1) a life insurance company separate account supporting variable annuity contracts (a ``VA Account''), (2) any VLI account, (3) a Fund's investment adviser or affiliated person of the investment adviser (representing seed money investments in the Fund), and/or (4) trustees of a qualified group pension or group retirement plan outside the separate account context. As used herein, a Future Fund is any investment company (or investment portfolio or series thereof), other than an Existing Fund, designed to be sold to VLI Accounts and to which Applicants or their affiliates may in the future serve as investment advisers, investment subadvisers, investment managers, administrators, principal underwriters, or sponsors.
Commission Guidance Regarding the Financial Accounting Standards Board's Accounting Standards Codification
The Securities and Exchange Commission (the ``Commission'') is publishing interpretive guidance regarding the release by the Financial Accounting Standards Board (``FASB'') of its FASB Accounting Standards Codification\TM\ (``FASB Codification'').
Joint Meetings on Harmonization of Regulation
On June 17, 2009, the Department of the Treasury released a White Paper on Financial Regulatory Reform (``White Paper'') calling on the SEC and the CFTC to ``make recommendations to Congress for changes to statutes and regulations that would harmonize regulation of futures and securities.'' Specifically, the White Paper recommended ``that the CFTC and the SEC complete a report to Congress by September 30, 2009 that identifies all existing conflicts in statutes and regulations with respect to similar types of financial instruments and either explains why those differences are essential to achieve underlying policy objectives with respect to investor protection, market integrity, and price transparency or makes recommendations for changes to statutes and regulations that would eliminate the differences.''
Old Mutual Global Shares Trust, et al.; Notice of Application
Summary of Application: Applicants request an order that would permit (a) certain open-end management investment companies and their series to issue shares (``Shares'') that can be redeemed only in large aggregations (``Creation Units''); (b) secondary market transactions in Shares to occur at negotiated 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.
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