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

Results 51 - 100 of 188
Grosvenor Alternative Funds Master Trust, et al.; Notice of Application
Document Number: 2013-17316
Type: Notice
Date: 2013-07-19
Agency: Securities and Exchange Commission, Agencies and Commissions
Summary of Application: Applicants request an order that would permit them to enter into and materially amend subadvisory agreements without shareholder approval and would grant relief from certain disclosure requirements. Applicants: Grosvenor Alternative Funds Master Trust (``Master Trust''), Grosvenor Alternative Funds (``GAF Trust''), and Grosvenor Capital Management, L.P. (the ``Initial Adviser'') (collectively, ``Applicants'').
Proposed Collection; Comment Request
Document Number: 2013-17315
Type: Notice
Date: 2013-07-19
Agency: Securities and Exchange Commission, Agencies and Commissions
Proposed Collection; Comment Request
Document Number: 2013-17314
Type: Notice
Date: 2013-07-19
Agency: Securities and Exchange Commission, Agencies and Commissions
Proposed Collection; Comment Request
Document Number: 2013-17313
Type: Notice
Date: 2013-07-19
Agency: Securities and Exchange Commission, Agencies and Commissions
Dodd-Frank Investor Advisory Committee
Document Number: 2013-17303
Type: Notice
Date: 2013-07-19
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 Thursday, July 25, 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 approval of minutes, Investor as Owner Subcommittee recommendation regarding data tagging, Investor as Owner Subcommittee recommendation regarding the use of universal proxy ballots, and subcommittee reports.
Rescission of Supervised Investment Bank Holding Company Rules
Document Number: 2013-17194
Type: Rule
Date: 2013-07-18
Agency: Securities and Exchange Commission, Agencies and Commissions
The Securities and Exchange Commission (the ``Commission'') is rescinding rules under the Securities Exchange Act of 1934 (the ``Exchange Act'') that established the Commission's program for supervising investment bank holding companies. The Commission is taking this action pursuant to the Dodd-Frank Wall Street Reform and Consumer Protection Act (the ``Dodd-Frank Act''), which eliminated the applicable section effective July 21, 2011. The Commission also is rescinding certain exemptive provisions in its broker-dealer risk assessment rules and delegation of authority rules that pertain to the supervised investment bank holding company program rules that are being rescinded.
Submission for OMB Review; Comment Request
Document Number: 2013-17180
Type: Notice
Date: 2013-07-18
Agency: Securities and Exchange Commission, Agencies and Commissions
Submission for OMB Review; Comment Request
Document Number: 2013-17179
Type: Notice
Date: 2013-07-18
Agency: Securities and Exchange Commission, Agencies and Commissions
ACS Wireless, Inc.; Notice of Application
Document Number: C1-2013-15658
Type: Notice
Date: 2013-07-16
Agency: Securities and Exchange Commission, Agencies and Commissions
Sunshine Act Meeting
Document Number: 2013-17100
Type: Notice
Date: 2013-07-16
Agency: Securities and Exchange Commission, Agencies and Commissions
Retail Foreign Exchange Transactions
Document Number: 2013-17015
Type: Rule
Date: 2013-07-16
Agency: Securities and Exchange Commission, Agencies and Commissions
The Commission is adopting a rule to permit a registered broker-dealer to engage in a retail forex business, provided that the broker-dealer complies with the Securities Exchange Act of 1934, the rules and regulations thereunder, and the rules of the self-regulatory organization(s) of which the broker-dealer is a member insofar as they are applicable to retail forex transactions. The Commission is adopting Rule 15b12-1 substantially in the form previously adopted as an interim final temporary rule and is providing that the rule will expire on July 31, 2016.
Sunshine Act Meeting.
Document Number: 2013-16937
Type: Notice
Date: 2013-07-15
Agency: Securities and Exchange Commission, Agencies and Commissions
Submission for OMB Review; Comment Request
Document Number: 2013-16859
Type: Notice
Date: 2013-07-15
Agency: Securities and Exchange Commission, Agencies and Commissions
FlexShares Trust, et al.; Notice of Application
Document Number: 2013-16858
Type: Notice
Date: 2013-07-15
Agency: Securities and Exchange Commission, Agencies and Commissions
NGAM Advisors, LP, et al.; Notice of Application
Document Number: 2013-16856
Type: Notice
Date: 2013-07-15
Agency: Securities and Exchange Commission, Agencies and Commissions
Bridge Builder Trust and Olive Street Investment Advisers, LLC; Notice of Application
Document Number: 2013-16855
Type: Notice
Date: 2013-07-15
Agency: Securities and Exchange Commission, Agencies and Commissions
Privacy Act of 1974: Systems of Records
Document Number: 2013-16681
Type: Notice
Date: 2013-07-12
Agency: Securities and Exchange Commission, Agencies and Commissions
In accordance with the requirements of the Privacy Act of 1974, as amended, 5 U.S.C. 552a, the Securities and Exchange Commission (``Commission'' or ``SEC'') proposes to revise two existing systems of records: ``Freedom of Information and Privacy Act Requests (SEC-24)'' and ``Backup Care Employee and Family Records (SEC-66)'', both of which were last published in the Federal Register Volume 77, Number 211 on Wednesday, October 31, 2012.
Citadel LLC (Formerly Citadel Investment Group, L.L.C.) and CEIF LLC; Notice of Application
Document Number: 2013-16537
Type: Notice
Date: 2013-07-10
Agency: Securities and Exchange Commission, Agencies and Commissions
BofA Funds Series Trust, et al., Notice of Application
Document Number: 2013-16536
Type: Notice
Date: 2013-07-10
Agency: Securities and Exchange Commission, Agencies and Commissions