Securities and Exchange Commission September 2011 – Federal Register Recent Federal Regulation Documents

Proposed Collection; Comment Request
Document Number: 2011-25077
Type: Notice
Date: 2011-09-29
Agency: Securities and Exchange Commission, Agencies and Commissions
Proposed Collection; Comment Request
Document Number: 2011-25076
Type: Notice
Date: 2011-09-29
Agency: Securities and Exchange Commission, Agencies and Commissions
Consolidation of the Office of the Executive Director With the Office of the Chief Operating Officer
Document Number: 2011-24964
Type: Rule
Date: 2011-09-29
Agency: Securities and Exchange Commission, Agencies and Commissions
The Securities and Exchange Commission (``Commission'') is amending its rules to reflect the consolidation of the Office of the Executive Director with the Office of the Chief Operating Officer, including amendments to replace references to the Executive Director with references to the Chief Operating Officer.
DFA Investment Dimensions Group Inc., et al.; Notice of Application
Document Number: 2011-24920
Type: Notice
Date: 2011-09-28
Agency: Securities and Exchange Commission, Agencies and Commissions
Summary of Application: Applicants request an order to permit open-end management investment companies relying on rule 12d1-2 under the Act to invest in certain financial instruments.
Fifth Third Funds, et al.; Notice of Application
Document Number: 2011-24919
Type: Notice
Date: 2011-09-28
Agency: Securities and Exchange Commission, Agencies and Commissions
Summary of the Application: The requested order would (a) permit certain registered open-end management investment companies that operate as ``funds of funds'' to acquire shares of certain registered open-end management investment companies and unit investment trusts (``UITs'') that are within and outside the same group of investment companies as the acquiring investment companies, and (b) permit funds of funds relying on rule 12d1-2 under the Act to invest in certain financial instruments.
The Singapore Fund, Inc.; Notice of Application
Document Number: 2011-24869
Type: Notice
Date: 2011-09-28
Agency: Securities and Exchange Commission, Agencies and Commissions
Summary of Application: Applicant seeks an order that would permit in-kind repurchases of shares of the Fund held by certain affiliated shareholders of the Fund.
Prohibition Against Conflicts of Interest in Certain Securitizations
Document Number: 2011-24404
Type: Proposed Rule
Date: 2011-09-28
Agency: Securities and Exchange Commission, Agencies and Commissions
The Securities and Exchange Commission (``Commission'') is proposing for comment a new rule under the Securities Act of 1933 (``Securities Act'') to implement the prohibition under Section 621 of the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010 (``Dodd-Frank Act'') on material conflicts of interest in connection with certain securitizations. Proposed Rule 127B under the Securities Act would prohibit certain persons who create and distribute an asset- backed security, including a synthetic asset-backed security, from engaging in transactions, within one year after the date of the first closing of the sale of the asset-backed security, that would involve or result in a material conflict of interest with respect to any investor in the asset-backed security. The proposed rule also would provide exceptions from this prohibition for certain risk-mitigating hedging activities, liquidity commitments, and bona fide market-making.
Curian Series Trust and Curian Capital, LLC; Notice of Application
Document Number: 2011-24590
Type: Notice
Date: 2011-09-26
Agency: Securities and Exchange Commission, Agencies and Commissions
The requested order would permit certain registered open-end management investment companies to enter into and materially amend subadvisory agreements without shareholder approval. Applicants: Curian Series Trust (``Trust'') and Curian Capital, LLC (the ``Adviser'').
ASGI Agility Income Fund, et al.; Notice of Application
Document Number: 2011-24589
Type: Notice
Date: 2011-09-26
Agency: Securities and Exchange Commission, Agencies and Commissions
Stone Harbor Emerging Markets Income Fund, et al.; Notice of Application
Document Number: 2011-24587
Type: Notice
Date: 2011-09-26
Agency: Securities and Exchange Commission, Agencies and Commissions
Proposed Collection; Comment Request
Document Number: 2011-24585
Type: Notice
Date: 2011-09-26
Agency: Securities and Exchange Commission, Agencies and Commissions
Sunshine Act Meeting
Document Number: 2011-24434
Type: Notice
Date: 2011-09-22
Agency: Securities and Exchange Commission, Agencies and Commissions
Highland Capital Management, L.P., et al.; Notice of Application
Document Number: 2011-24331
Type: Notice
Date: 2011-09-22
Agency: Securities and Exchange Commission, Agencies and Commissions
Legg Mason Partners Equity Trust, et al.;
Document Number: 2011-24330
Type: Notice
Date: 2011-09-22
Agency: Securities and Exchange Commission, Agencies and Commissions