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

Results 101 - 150 of 186
China Ritar Power Corp., Order of Suspension of Trading
Document Number: 2013-24605
Type: Notice
Date: 2013-10-22
Agency: Securities and Exchange Commission, Agencies and Commissions
Pacific Life Insurance Company, et al; Notice of Application
Document Number: 2013-24604
Type: Notice
Date: 2013-10-22
Agency: Securities and Exchange Commission, Agencies and Commissions
Sunshine Act Meeting
Document Number: 2013-24584
Type: Notice
Date: 2013-10-21
Agency: Securities and Exchange Commission, Agencies and Commissions
Sunshine Act Meeting
Document Number: 2013-24583
Type: Notice
Date: 2013-10-21
Agency: Securities and Exchange Commission, Agencies and Commissions
Sunshine Act Meeting
Document Number: 2013-24582
Type: Notice
Date: 2013-10-21
Agency: Securities and Exchange Commission, Agencies and Commissions
Sunshine Act Meeting
Document Number: 2013-24581
Type: Notice
Date: 2013-10-21
Agency: Securities and Exchange Commission, Agencies and Commissions
Stellus Capital Investment Corporation, et al.; Notice of Application
Document Number: 2013-24239
Type: Notice
Date: 2013-10-03
Agency: Securities and Exchange Commission, Agencies and Commissions
Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 1940
Document Number: 2013-24222
Type: Notice
Date: 2013-10-03
Agency: Securities and Exchange Commission, Agencies and Commissions
Applicant, a closed-end investment company, seeks an order declaring that it has ceased to be an investment company. Applicant has never made a public offering of its securities and does not propose to engage in any business activity other than those necessary for winding up it affairs. Filing Date: The application was filed on September 17, 2013. Applicant's Address: 2455 Corporate West Drive, Lisle, IL 60532.
Amendments to Regulation D, Form D and Rule 156; Re-Opening of Comment Period
Document Number: 2013-24048
Type: Proposed Rule
Date: 2013-10-03
Agency: Securities and Exchange Commission, Agencies and Commissions
On July 10, 2013, the Securities and Exchange Commission issued for comment a number of proposed amendments to Regulation D, Form D and Rule 156 under the Securities Act in Release No. 33-9416 (July 10, 2013). In light of the public interest in the proposed amendments, the Commission is re-opening the comment period to permit interested persons additional time to analyze and comment on the proposed amendments.
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.