Securities and Exchange Commission November 21, 2013 – Federal Register Recent Federal Regulation Documents

ETFis Series Trust I, et al.; Notice of Application
Document Number: 2013-27908
Type: Notice
Date: 2013-11-21
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.
AIM Growth Series (Invesco Growth Series), et al.; Notice of Application
Document Number: 2013-27907
Type: Notice
Date: 2013-11-21
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 with Wholly-Owned Sub-Advisors (as defined below) and non- affiliated sub-advisers without shareholder approval and would grant relief from certain disclosure requirements.