Securities and Exchange Commission April 2012 – Federal Register Recent Federal Regulation Documents
Results 101 - 150 of 156
Investment Company Advertising: Target Date Retirement Fund Names and Marketing
The Securities and Exchange Commission is reopening the period for public comment on amendments it originally proposed in Securities Act Release No. 9126 to allow interested persons to submit comments on the results of investor testing regarding target date retirement funds. The rule proposal would, if adopted, require a target date retirement fund that includes the target date in its name to disclose the fund's asset allocation at the target date immediately adjacent to the first use of the fund's name in marketing materials; require marketing materials for target date retirement funds to include a table, chart, or graph depicting the fund's asset allocation over time, together with a statement that would highlight the fund's final asset allocation; require a statement in marketing materials to the effect that a target date retirement fund should not be selected based solely on age or retirement date, is not a guaranteed investment, and the stated asset allocations may be subject to change; and provide additional guidance regarding statements in marketing materials for target date retirement funds and other investment companies that could be misleading.
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. On December 16, 2011, applicant transferred its assets to Value Line Income and Growth Fund, Inc., based on net asset value. Expenses of $81,000 incurred in connection with the reorganization were paid by applicant and the acquiring fund pro rata based on relative net asset value. Filing Dates: The application was filed on January 18, 2012 and amended on March 8, 2012. Applicant's Address: 7 Times Square, 21st Floor, New York, NY 10036.
Exemptions for Security-Based Swaps Issued by Certain Clearing Agencies
We are adopting exemptions under the Securities Act of 1933, the Securities Exchange Act of 1934, and the Trust Indenture Act of 1939 for security-based swaps issued by certain clearing agencies satisfying certain conditions. The final rules exempt transactions by clearing agencies in these security-based swaps from all provisions of the Securities Act, other than the Section 17(a) anti-fraud provisions, as well as exempt these security-based swaps from Exchange Act registration requirements and from the provisions of the Trust Indenture Act, provided certain conditions are met.
Sunwest Rollover Member LLC; Notice of Application
Summary of Application: Sunwest Rollover Member LLC (``Applicant'') requests an order of the Commission pursuant to sections 6(c) and 6(e) of the Act exempting it from all provisions of the Act and the rules thereunder, except sections 9, 17(a), 17(d) and 17(e), section 31, as modified herein (``Modified Section 31''), and sections 36 through 53 of the Act and the rules thereunder. Applicant would be exempt until the earlier of August 5, 2015 or such time as it no longer meets the definition of an investment company under the Act.
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