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

Results 251 - 300 of 2,207
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.
Submission for OMB Review; Comment Request
Document Number: 2013-27763
Type: Notice
Date: 2013-11-20
Agency: Securities and Exchange Commission, Agencies and Commissions
Submission for OMB Review; Comment Request
Document Number: 2013-27762
Type: Notice
Date: 2013-11-20
Agency: Securities and Exchange Commission, Agencies and Commissions
In The Matter of: Sovereign Lithium, Inc.; Order of Suspension of Trading
Document Number: 2013-27807
Type: Notice
Date: 2013-11-19
Agency: Securities and Exchange Commission, Agencies and Commissions
Notice of Sunshine Act Meeting
Document Number: 2013-27764
Type: Notice
Date: 2013-11-19
Agency: Securities and Exchange Commission, Agencies and Commissions