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

Results 151 - 200 of 2,207
Proposed Collection; Comment Request
Document Number: 2013-29501
Type: Notice
Date: 2013-12-11
Agency: Securities and Exchange Commission, Agencies and Commissions
Proposed Collection; Comment Request
Document Number: 2013-29500
Type: Notice
Date: 2013-12-11
Agency: Securities and Exchange Commission, Agencies and Commissions
American Beacon Funds, et al.; Notice of Application
Document Number: 2013-29499
Type: Notice
Date: 2013-12-11
Agency: Securities and Exchange Commission, Agencies and Commissions
Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of No Objection To Advance Notice Filing, as Modified by Amendment Nos. 1, 2, and 3, To Institute Supplemental Liquidity Deposits to Its Clearing Fund Designed To Increase Liquidity Resources To Meet Its Liquidity Needs
Document Number: 2013-29498
Type: Notice
Date: 2013-12-11
Agency: Securities and Exchange Commission, Agencies and Commissions
(1) Special Periods were expanded to include monthly options expirations periods along with quarterly options expiration periods; (2) Clearing Members could designate a commercial lender to commit to the Credit Facility on the Clearing Member's behalf, enabling the Clearing Member to receive the dollar-for-dollar reduction of its Regular SLD; (3) any commitments to the Credit Facility made in excess of a Clearing Member's Regular SLD would be allocated ratably among all 30 Clearing Members that would be required to make a Regular SLD funding obligation; and (4) ``liquidity exposure reports'' would be provided to all NSCC members, so that members, particularly Clearing Members, could better assess their liquidity exposure to NSCC.\16\
Self-Regulatory Organizations; National Securities Clearing Corporation; Order Approving Proposed Rule Change, as Modified by Amendment Nos. 1, 2, and 3, To Institute Supplemental Liquidity Deposits to Its Clearing Fund Designed To Increase Liquidity Resources To Meet Its Liquidity Needs
Document Number: 2013-29497
Type: Notice
Date: 2013-12-11
Agency: Securities and Exchange Commission, Agencies and Commissions
(1) Special Periods were expanded to include monthly options expirations periods along with quarterly options expiration periods; (2) Clearing Members could designate a commercial lender to commit to the Credit Facility on the Clearing Member's behalf, enabling the Clearing Member to receive the dollar-for-dollar reduction of its Regular SLD; (3) any commitments to the Credit Facility made in excess of a Clearing Member's Regular SLD would be allocated ratably among all 30 Clearing Members that would be required to make a Regular SLD funding obligation; and (4) ``liquidity exposure reports'' would be provided to all NSCC members, so that members, particularly Clearing Members, could better assess their liquidity exposure to NSCC.\17\
Guar Global Ltd.; Order of Suspension of Trading
Document Number: 2013-29529
Type: Notice
Date: 2013-12-10
Agency: Securities and Exchange Commission, Agencies and Commissions
Aden Solutions, Inc.; Order of Suspension of Trading
Document Number: 2013-29528
Type: Notice
Date: 2013-12-10
Agency: Securities and Exchange Commission, Agencies and Commissions
Sunshine Act Meeting
Document Number: 2013-29474
Type: Notice
Date: 2013-12-10
Agency: Securities and Exchange Commission, Agencies and Commissions
Compass Efficient Model Portfolios, LLC, et al.; Notice of Application
Document Number: 2013-29387
Type: Notice
Date: 2013-12-10
Agency: Securities and Exchange Commission, Agencies and Commissions
VTL Associates, LLC, et al.; Notice of Application
Document Number: 2013-29117
Type: Notice
Date: 2013-12-06
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. The order would supersede a prior order.\1\
Proposed Collection; Comment Request
Document Number: 2013-28977
Type: Notice
Date: 2013-12-04
Agency: Securities and Exchange Commission, Agencies and Commissions