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

Results 201 - 214 of 214
Arrow Investment Advisors, LLC, et al.; Notice of Application
Document Number: 2013-28849
Type: Notice
Date: 2013-12-03
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 that track the performance of an index provided by an affiliated person 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.
Nevada Gold Corp.; Order of Suspension of Trading
Document Number: 2013-28871
Type: Notice
Date: 2013-12-02
Agency: Securities and Exchange Commission, Agencies and Commissions
Sunshine Act Meeting.
Document Number: 2013-28837
Type: Notice
Date: 2013-12-02
Agency: Securities and Exchange Commission, Agencies and Commissions
RBS Securities Inc. and Citizens Investment Advisors; Notice of Application and Temporary Order
Document Number: 2013-28759
Type: Notice
Date: 2013-12-02
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: 2013-28726
Type: Notice
Date: 2013-12-02
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 make a public offering or engage in business of any kind. Filing Dates: The application was filed on October 7, 2013, and amended on October 31, 2013. Applicant's Address: 445 East Lake St., Suite 120, Wayzata, MN 55391.