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

Results 51 - 100 of 210
Regulation Systems Compliance and Integrity
Document Number: 2013-05888
Type: Proposed Rule
Date: 2013-03-25
Agency: Securities and Exchange Commission, Agencies and Commissions
The Securities and Exchange Commission (``Commission'') is proposing Regulation Systems Compliance and Integrity (``Regulation SCI'') under the Securities Exchange Act of 1934 (``Exchange Act'') and conforming amendments to Regulation ATS under the Exchange Act. Proposed Regulation SCI would apply to certain self-regulatory organizations (including registered clearing agencies), alternative trading systems (``ATSs''), plan processors, and exempt clearing agencies subject to the Commission's Automation Review Policy (collectively, ``SCI entities''), and would require these SCI entities to comply with requirements with respect to their automated systems that support the performance of their regulated activities.
Ivy Funds Variable Insurance Portfolios, et al.; Notice of Application
Document Number: 2013-06639
Type: Notice
Date: 2013-03-22
Agency: Securities and Exchange Commission, Agencies and Commissions
Global X Funds, et al.; Notice of Application
Document Number: 2013-06401
Type: Notice
Date: 2013-03-20
Agency: Securities and Exchange Commission, Agencies and Commissions
Summary of the Application: Applicants request an order that 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, registered closed-end management investment companies, ``business development companies,'' as defined by section 2(a)(48) of the 1940 Act, and registered unit investment trusts that are within or outside the same group of investment companies as the acquiring investment companies and (b) permit certain registered open-end management investment companies relying on rule 12d1-2 under the 1940 Act to invest in certain financial instruments.
Krane Funds Advisors LLC., et al.; Notice of Application
Document Number: 2013-06399
Type: Notice
Date: 2013-03-20
Agency: Securities and Exchange Commission, Agencies and Commissions
Summary of Application: Applicants request an order that permits: (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 from 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.
Renaissance Capital Greenwich Funds, et al.; Notice of Application
Document Number: 2013-06119
Type: Notice
Date: 2013-03-18
Agency: Securities and Exchange Commission, Agencies and Commissions
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 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. Applicants: Renaissance Capital Greenwich Funds (``Trust''), Renaissance Capital LLC (``Adviser''), and Renaissance Capital Investments, Inc. (``Renaissance Capital Investments'').