Securities and Exchange Commission September 2013 – Federal Register Recent Federal Regulation Documents
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Advisory Committee on Small and Emerging Companies
The Securities and Exchange Commission is publishing this notice to announce the renewal of the Securities and Exchange Commission Advisory Committee on Small and Emerging Companies.
Variable Insurance Trust, et al.;
Summary of Application: Applicants request an order pursuant to Section 6(c) of the Act granting exemptions from the provisions of Sections 9(a), 13(a), 15(a), and 15(b) of the Act and Rules 6e-2(b)(15) and 6e-3(T)(b)(15) thereunder in cases where a life insurance company separate account supporting variable life insurance contracts (``VLI Accounts'') holds shares of an existing portfolio of the Fund or any other ``Insurance Fund,'' as defined below (collectively, the ``Insurance Funds''), and one or more of the following other types of investors also hold shares of the Insurance Funds: (i) Separate accounts registered as investment companies or separate accounts that are not registered as investment companies under the Act pursuant to exemptions from registration under Section 3(c) of the Act that fund variable annuity contracts (``VA Accounts'') and VLI Accounts (VA Accounts and VLI Accounts together ``Separate Accounts'') issued by both affiliated life insurance companies and unaffiliated life insurance companies (``Participating Insurance Companies''); (ii) trustees of qualified group pension or group retirement plans (``Qualified Plans'') outside the Separate Account context; (iii) investment adviser(s) or affiliated person(s) of the investment adviser(s) to a series of an Insurance Fund (the ``Adviser''), for the purpose of providing seed capital to a series of an Insurance Fund; and (iv) any general account of an insurance company depositor of VA Accounts and/or VLI Accounts (``General Accounts''). An Insurance Fund is any investment company (or investment portfolio or series thereof), including an existing portfolio of the Fund, designed to be sold to VA Accounts and/or VLI Accounts and to which an Applicant or its affiliates serve or may serve in the future as investment advisers, investment subadvisers, investment managers, administrators, principal underwriters or sponsors.
Extension of Temporary Registration of Municipal Advisors
The Securities and Exchange Commission (``Commission'') is amending interim final temporary Rule 15Ba2-6T, which provides for the temporary registration of municipal advisors under the Securities Exchange Act of 1934 (``Exchange Act''), as amended by the Dodd-Frank Wall Street Reform and Consumer Protection Act (``Dodd-Frank Act''), to extend the date on which Rule 15Ba2-6T (and consequently Form MA-T) will sunset from September 30, 2013, to December 31, 2014. Under the amendment, all temporary registrations submitted pursuant to Rule 15Ba2-6T also will expire no later than December 31, 2014.
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