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

Results 201 - 205 of 205
Neuberger Berman ETF Trust and Neuberger Berman Management LLC; Notice of Application
Document Number: 2013-07415
Type: Notice
Date: 2013-04-01
Agency: Securities and Exchange Commission, Agencies and Commissions
Summary of Application: Applicants request an order that permits: (a) Series of certain actively-managed 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.