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

Results 101 - 150 of 192
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
Sunshine Act Meetings
Document Number: 2013-00680
Type: Notice
Date: 2013-01-14
Agency: Securities and Exchange Commission, Agencies and Commissions
Sunshine Act Meetings
Document Number: 2013-00678
Type: Notice
Date: 2013-01-14
Agency: Securities and Exchange Commission, Agencies and Commissions
Sunshine Act Meetings
Document Number: 2013-00677
Type: Notice
Date: 2013-01-14
Agency: Securities and Exchange Commission, Agencies and Commissions
Advisory Committee on Small and Emerging Companies; Meeting
Document Number: 2013-00539
Type: Notice
Date: 2013-01-14
Agency: Securities and Exchange Commission, Agencies and Commissions
The Securities and Exchange Commission Advisory Committee on Small and Emerging Companies is providing notice that it will hold a public meeting on Friday, February 1, 2013, in Multi-Purpose Room LL- 006 at the Commission's headquarters, 100 F Street NE., Washington, DC. The meeting will begin at 9:30 a.m. (EST) and will be open to the public. The meeting will be webcast on the Commission's Web site at www.sec.gov. Persons needing special accommodations to take part because of a disability should notify the contact person listed below. The public is invited to submit written statements to the Committee. The agenda for the meeting includes consideration of recommendations and other matters relating to rules and regulations affecting small and emerging companies under the federal securities laws.
Dodd-Frank Investor Advisory Committee
Document Number: 2013-00538
Type: Notice
Date: 2013-01-14
Agency: Securities and Exchange Commission, Agencies and Commissions
The Securities and Exchange Commission Investor Advisory Committee, established pursuant to Section 911 of the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010, is providing notice that it will hold a public meeting on Friday, January 18, 2013, in Multi-Purpose Room LL-006 at the Commission's headquarters, 100 F Street NE., Washington, DC 20549. The meeting will begin at 10:00 a.m. (EDT) and end at 4:00 p.m. and will be open to the public, except during portions of the meeting reserved for meetings of the Committee's subcommittees. The meeting will be webcast on the Commission's Web site at www.sec.gov. Persons needing special accommodations to take part because of a disability should notify the contact person listed below. The public is invited to submit written statements to the Committee. The agenda for the meeting includes: Introductory remarks from Chairman Walter and Commissioners; introductory remarks from Committee officers; discussion of administrative matters; and reports from the four Investor Advisory Committee subcommittees (the Investor as Owner subcommittee, the Investor as Purchaser subcommittee, the Investor Education subcommittee, and the Market Structure subcommittee).
Proposed Collection; Comment Request
Document Number: 2013-00520
Type: Notice
Date: 2013-01-14
Agency: Securities and Exchange Commission, Agencies and Commissions
Submission for OMB Review; Comment Request
Document Number: 2013-00519
Type: Notice
Date: 2013-01-14
Agency: Securities and Exchange Commission, Agencies and Commissions
Proposed Collection; Comment Request
Document Number: 2013-00518
Type: Notice
Date: 2013-01-14
Agency: Securities and Exchange Commission, Agencies and Commissions
Submission for OMB Review; Comment Request
Document Number: 2013-00517
Type: Notice
Date: 2013-01-14
Agency: Securities and Exchange Commission, Agencies and Commissions
First Trust Exchange-Traded Fund, et al.; Notice of Application
Document Number: 2013-00516
Type: Notice
Date: 2013-01-14
Agency: Securities and Exchange Commission, Agencies and Commissions
Credit Suisse Opportunity Funds, et al.; Notice of Application
Document Number: 2013-00434
Type: Notice
Date: 2013-01-11
Agency: Securities and Exchange Commission, Agencies and Commissions
Summary of Application: The order would permit certain registered closed-end management investment companies to acquire shares of registered open-end management investment companies that are within the same group of investment companies. Applicants: Credit Suisse Opportunity Funds (``Opportunity Funds''), Credit Suisse Commodity Strategy Funds (``Commodity Strategy Funds''), Credit Suisse High Yield Bond Fund (``High Yield Bond Fund''), Credit Suisse Asset Management Income Fund, Inc. (``Income Fund''); Credit Suisse Asset Management, LLC (``Adviser''), and Credit Suisse Securities (USA) LLC (``CSSU'').\1\
Fidelity Commonwealth Trust, et al.; Notice of Application
Document Number: 2013-00380
Type: Notice
Date: 2013-01-11
Agency: Securities and Exchange Commission, Agencies and Commissions
Summary of Application: Applicants request an order that would permit (a) Certain open-end management investment companies or series thereof 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; (e) certain registered management investment companies and unit investment trusts outside of the same group of investment companies as the series to acquire Shares; and (f) certain series to perform creations and redemptions of Shares in-kind in a master-feeder structure. Applicants: Fidelity Commonwealth Trust (the ``Trust''), Fidelity Management & Research Company (the ``Adviser''), and Fidelity Distributors Corporation (the ``Distributor'').