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

In the Matter of China Ruitai International Holdings Co., Ltd.; Order of Suspension of Trading
Document Number: 2013-24202
Type: Notice
Date: 2013-10-02
Agency: Securities and Exchange Commission, Agencies and Commissions
Guinness Atkinson Asset Management, Inc., et al.; Notice of Application
Document Number: 2013-24024
Type: Notice
Date: 2013-10-02
Agency: Securities and Exchange Commission, Agencies and Commissions
Summary of Application: Applicants request an order that permits: (a) Certain open-end management investment companies or series thereof 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; (e) certain series to issue Shares in less than Creation Unit size to investors participating in a distribution reinvestment program (``Distribution Reinvestment Program''); and (f) certain registered management investment companies and unit investment trusts outside of the same group of investment companies as the series to acquire Shares.
Adoption of Updated EDGAR Filer Manual
Document Number: 2013-23914
Type: Rule
Date: 2013-10-02
Agency: Securities and Exchange Commission, Agencies and Commissions
The Securities and Exchange Commission (the Commission) is adopting revisions to the Electronic Data Gathering, Analysis, and Retrieval System (EDGAR) Filer Manual and related rules to reflect updates to the EDGAR system. The revisions are being made primarily to support updates to Form D and to submission form types 13F-HR and 13F- HR/A. The EDGAR system is scheduled to be upgraded to support this functionality on September 23, 2013.