Securities and Exchange Commission May 10, 2013 – Federal Register Recent Federal Regulation Documents

Forum Investment Advisors, LLC, et al.;
Document Number: 2013-11146
Type: Notice
Date: 2013-05-10
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 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.
Credit Ratings Roundtable
Document Number: 2013-11082
Type: Notice
Date: 2013-05-10
Agency: Securities and Exchange Commission, Agencies and Commissions
This notice announces the change of location of the May 14, 2013, Credit Ratings Roundtable that was published in the April 29, 2013 Federal Register (78 FR 25101 through 25102). The new location of the roundtable discussion is Room L-002 (the Auditorium) at the Securities and Exchange Commission's headquarters located at 100 F Street NE., in Washington, DC 20549. The public is invited to observe the roundtable discussion. Seating will be available on a first-come, first-served basis. The roundtable discussion also will be available via webcast on the Commission's Web site at www.sec.gov.