Securities and Exchange Commission October 7, 2011 – Federal Register Recent Federal Regulation Documents
Results 1 - 8 of 8
Global X Funds, et al.
Summary 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; (c) certain series to pay redemption proceeds, under certain circumstances, more than seven days after the tender of Creation Units 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. The order would supersede a prior order.\1\
Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 1940
Applicant, a closed-end investment company, seeks an order declaring that it has ceased to be an investment company. On October 22, 2010, applicant transferred its assets to Rivus Bond Fund, based on net asset value. Expenses of approximately $834,811 incurred in connection with the reorganization were paid by Cutwater Asset Management Corp., investment adviser for the acquiring fund, and Hartford Investment Financial Services, LLC, applicant's investment adviser. Filing Dates: The application was filed on August 10, 2011, and amended on September 21, 2011. Applicant's Address: P.O. Box 2999, Hartford, CT 06104-2999.
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