Securities and Exchange Commission January 15, 2013 – Federal Register Recent Federal Regulation Documents

Exchange Traded Spreads Trust, et al.; Notice of Application
Document Number: 2013-00681
Type: Notice
Date: 2013-01-15
Agency: Securities and Exchange Commission, Agencies and Commissions
Summary of Application: Applicants request an order that permits: (a) Actively-managed series of the Trust 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 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.
J.P. Morgan Securities LLC, et al.; Notice of Application and Temporary Order
Document Number: 2013-00660
Type: Notice
Date: 2013-01-15
Agency: Securities and Exchange Commission, Agencies and Commissions