Securities and Exchange Commission December 30, 2013 – Federal Register Recent Federal Regulation Documents

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Securities Exempted; Distribution of Shares by Registered Open-End Management Investment Company; Applications Regarding Joint Enterprises or Arrangements and Certain Profit-Sharing Plans
Document Number: 2013-31172
Type: Rule
Date: 2013-12-30
Agency: Securities and Exchange Commission, Agencies and Commissions
The Securities and Exchange Commission (``Commission'') is correcting outdated cross-references in rule 602 under the Securities Act of 1933 (``Securities Act'') and rule 12b-1 under the Investment Company Act of 1940 (``Investment Company Act'') and correcting an inadvertent error in rule 17d-1 under the Investment Company Act as published in the Federal Register on January 22, 2003.
https://regulations.justia.com/regulations/fedreg/2013/12/30/2013-31172.html
Proposed Collection; Comment Request Upon Written Request Copies Available From: Securities and Exchange Commission, Office of Investor Education and Advocacy, Washington, DC 20549-0213.
Document Number: 2013-31138
Type: Notice
Date: 2013-12-30
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2013/12/30/2013-31138.html
IndexIQ ETF Trust, et al.; Notice of Application
Document Number: 2013-31137
Type: Notice
Date: 2013-12-30
Agency: Securities and Exchange Commission, Agencies and Commissions
Summary of the Application: Applicants request an order that would (a) permit certain registered open-end management investment companies that operate as ``funds of funds'' to acquire shares of certain registered open-end management investment companies, registered closed-end management investment companies, business development companies as defined by section 2(a)(48) of the 1940 Act (``business development companies''), and registered unit investment trusts that are within or outside the same group of investment companies as the acquiring investment companies and (b) permit certain registered open- end management investment companies relying on rule 12d1-2 under the 1940 Act to invest in certain financial instruments. Applicants: IndexIQ ETF Trust, IndexIQ Active ETF Trust (each, a ``Trust,'' and collectively, the ``Trusts''), IndexIQ Advisors LLC (``IndexIQ Advisors'') and ALPS Distributors Inc. (the ``Distributor'').
https://regulations.justia.com/regulations/fedreg/2013/12/30/2013-31137.html
IndexIQ ETF Trust, et al.; Notice of Application
Document Number: 2013-31136
Type: Notice
Date: 2013-12-30
Agency: Securities and Exchange Commission, Agencies and Commissions
Summary of Application: Applicants request an order that would permit (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 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. The order would supersede the applicants' prior order.\1\
https://regulations.justia.com/regulations/fedreg/2013/12/30/2013-31136.html
Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 1940
Document Number: 2013-31135
Type: Notice
Date: 2013-12-30
Agency: Securities and Exchange Commission, Agencies and Commissions
Each applicant, a closed-end investment company, seeks an order declaring that it has ceased to be an investment company. Between November 26, 2013, and December 10, 2013, each applicant made a liquidating distribution to its shareholders, based on net asset value. Expenses of $15,000, $15,000, $25,000 and $25,000, respectively, incurred in connection with the liquidations were paid by applicants. Applicants have retained $49,042, $59,671, $76,452 and $77,063, respectively, in cash to pay certain outstanding liabilities. Filing Date: The applications were filed on December 12, 2013. Applicants' Address: 100 Bellevue Pkwy., Wilmington, DE 19809.
https://regulations.justia.com/regulations/fedreg/2013/12/30/2013-31135.html
Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Granting Approval of a Proposed Rule Change To Adopt Rules Regarding Supervision in the Consolidated FINRA Rulebook, as Modified by Amendment No. 1
Document Number: 2013-31134
Type: Notice
Date: 2013-12-30
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2013/12/30/2013-31134.html
Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change To Amend Its Rules Regarding Option Orders That Include a Stock Component
Document Number: 2013-31133
Type: Notice
Date: 2013-12-30
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2013/12/30/2013-31133.html
Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change To Amend Rules 1064 and 1080 to More Specifically Address the Number and Size of Counterparties to a Qualified Contingent Cross Order
Document Number: 2013-31132
Type: Notice
Date: 2013-12-30
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2013/12/30/2013-31132.html
Self-Regulatory Organizations; NYSE Arca, Inc.; Order Granting Approval to Proposed Rule Change To Establish a Retail Liquidity Program on a Pilot Basis for a Period of One Year From the Date of Implementation and Granting Request for a Limited Exemption From Rule 612 of Regulation NMS
Document Number: 2013-31131
Type: Notice
Date: 2013-12-30
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2013/12/30/2013-31131.html
Self-Regulatory Organizations; New York Stock Exchange LLC; NYSE MKT LLC; Order Approving Proposed Rule Changes Amending NYSE Rule 104 and NYSE MKT Rule 104-Equities, Each as Modified by an Amendment No. 1, To Codify Certain Traditional Trading Floor Functions That May Be Performed by Designated Market Makers, To Make Exchange Systems Available to DMMs That Would Provide DMMs With Certain Market Information, To Amend the Exchanges' Rules Governing the Ability of DMMs To Provide Market Information to Floor Brokers, and To Make Conforming Amendments to Other Rules
Document Number: 2013-31130
Type: Notice
Date: 2013-12-30
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2013/12/30/2013-31130.html
Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt a New Options Execution Algorithm With Priority Overlays
Document Number: 2013-31129
Type: Notice
Date: 2013-12-30
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2013/12/30/2013-31129.html
Self-Regulatory Organizations; Miami International Securities Exchange LLC; Notice of Filing of a Proposed Rule Change To Amend the Exchange's By-Laws
Document Number: 2013-31128
Type: Notice
Date: 2013-12-30
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2013/12/30/2013-31128.html
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