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

Proposed Collection; Comment Request
Document Number: 2013-28576
Type: Notice
Date: 2013-11-29
Agency: Securities and Exchange Commission, Agencies and Commissions
Proposed Collection; Comment Request
Document Number: 2013-28575
Type: Notice
Date: 2013-11-29
Agency: Securities and Exchange Commission, Agencies and Commissions
Self-Regulatory Organizations; Topaz Exchange, LLC; Notice of Filing of Proposed Minor Rule Violation Plan
Document Number: 2013-28570
Type: Notice
Date: 2013-11-29
Agency: Securities and Exchange Commission, Agencies and Commissions
Life Stem Genetics Inc.; Order of Suspension of Trading
Document Number: 2013-28607
Type: Notice
Date: 2013-11-27
Agency: Securities and Exchange Commission, Agencies and Commissions
Proxy Advisory Firm Roundtable
Document Number: 2013-28501
Type: Notice
Date: 2013-11-27
Agency: Securities and Exchange Commission, Agencies and Commissions
The Securities and Exchange Commission will host a roundtable about proxy advisory firms. The panel will be asked to discuss topics including the current state of proxy advisory firm use by investment advisers and institutional investors and potential changes that have been suggested by market participants. Panelists will also be invited to discuss any new ideas. The roundtable discussion will be held in the multi-purpose room of the Securities and Exchange Commission headquarters at 100 F Street NE., Washington, DC, on December 5, 2013 from 9:30 a.m. to approximately 1:30 p.m. The public is invited to observe the roundtable discussion. Seating will be available on a first-come, first-serve basis. The roundtable discussion will also be available via webcast on the Commission's Web site at www.sec.gov.
Proposed Collection; Comment Request
Document Number: 2013-28429
Type: Notice
Date: 2013-11-27
Agency: Securities and Exchange Commission, Agencies and Commissions
Proposed Collection; Comment Request
Document Number: 2013-28428
Type: Notice
Date: 2013-11-27
Agency: Securities and Exchange Commission, Agencies and Commissions
Proposed Collection; Comment Request
Document Number: 2013-28427
Type: Notice
Date: 2013-11-27
Agency: Securities and Exchange Commission, Agencies and Commissions
Proposed Collection; Comment Request
Document Number: 2013-28426
Type: Notice
Date: 2013-11-27
Agency: Securities and Exchange Commission, Agencies and Commissions
Proposed Collection; Comment Request
Document Number: 2013-28425
Type: Notice
Date: 2013-11-27
Agency: Securities and Exchange Commission, Agencies and Commissions
Horizons ETFs Management (USA) LLC and Horizons ETF Trust; Notice of Application
Document Number: 2013-28424
Type: Notice
Date: 2013-11-27
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. Applicants: Horizons ETFs Management (USA) LLC (``Horizons'') and Horizons ETF Trust (``Trust'').
In the Matter of Pure H20 Bio-Technologies, Inc.; Order of Suspension of Trading
Document Number: 2013-28447
Type: Notice
Date: 2013-11-26
Agency: Securities and Exchange Commission, Agencies and Commissions
Sunshine Act Meeting
Document Number: 2013-28310
Type: Notice
Date: 2013-11-25
Agency: Securities and Exchange Commission, Agencies and Commissions
Sunshine Act Meeting
Document Number: 2013-28275
Type: Notice
Date: 2013-11-25
Agency: Securities and Exchange Commission, Agencies and Commissions
WisdomTree Trust, et al.; Notice of Application
Document Number: 2013-28219
Type: Notice
Date: 2013-11-25
Agency: Securities and Exchange Commission, Agencies and Commissions
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.