Securities and Exchange Commission July 2, 2013 – Federal Register Recent Federal Regulation Documents

First Trust Exchange-Traded Fund, et al.; Notice of Application
Document Number: 2013-15846
Type: Notice
Date: 2013-07-02
Agency: Securities and Exchange Commission, Agencies and Commissions
Invesco Advisers, Inc., et al.; Notice of Application
Document Number: 2013-15842
Type: Notice
Date: 2013-07-02
Agency: Securities and Exchange Commission, Agencies and Commissions
The Dreyfus Corporation, et al.; Notice of Application
Document Number: 2013-15841
Type: Notice
Date: 2013-07-02
Agency: Securities and Exchange Commission, Agencies and Commissions
Summary of Application: Applicants request an order that would amend and supersede a prior order (the ``Non-Affiliated Sub- Adviser Order'') \1\ that permits them to enter into and materially amend subadvisory agreements for certain multi-managed funds with non- affiliated sub-advisers without shareholder approval and grants relief from certain disclosure requirements. The requested order would permit applicants to enter into, and amend, such agreements with Wholly-Owned Sub-Advisers (as defined below) and non-affiliated sub-advisers without shareholder approval.
ETF Issuer Solutions Inc., et al.; Notice of Application
Document Number: 2013-15781
Type: Notice
Date: 2013-07-02
Agency: Securities and Exchange Commission, Agencies and Commissions