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

Results 151 - 164 of 164
Exchange Traded Concepts, LLC, et al.; Notice of Application
Document Number: 2013-18595
Type: Notice
Date: 2013-08-02
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 rather than at net asset value (``NAV''); (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. The requested order would supersede a prior order (``Prior Order'').\1\
Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 1940
Document Number: 2013-18593
Type: Notice
Date: 2013-08-02
Agency: Securities and Exchange Commission, Agencies and Commissions
Each applicant seeks an order declaring that it has ceased to be an investment company. Applicants have never made a public offering of their securities and do not propose to make a public offering or engage in business of any kind. Filing Dates: The applications were filed on June 19, 2012, and amended on June 25, 2013. Applicants' Address: 75 Rockefeller Plaza, 14th Floor, New York, NY 10019.
Delegation of Authority to Director of the Division of Enforcement
Document Number: 2013-18468
Type: Rule
Date: 2013-08-01
Agency: Securities and Exchange Commission, Agencies and Commissions
The Securities and Exchange Commission (``Commission'') is amending its rules to delegate to the Director of the Division of Enforcement the authority to appoint distribution fund administrators in enforcement administrative proceedings from a Commission-approved pool of administrators, and to set the amount of, or waive for good cause shown, the administrator's bond required by Rule 1105(c) of the Commission's rules on Fair Fund and Disgorgement Plans.