Securities and Exchange Commission 2014 – Federal Register Recent Federal Regulation Documents

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Submission for OMB Review; Comment Request
Document Number: 2014-30590
Type: Notice
Date: 2014-12-31
Agency: Securities and Exchange Commission, Agencies and Commissions
Pacer Funds Trust, et al.; Notice of Application
Document Number: 2014-30436
Type: Notice
Date: 2014-12-30
Agency: Securities and Exchange Commission, Agencies and Commissions
William E. Simon & Sons, LLC; New Vernon Advisors, Inc.; Notice of Application
Document Number: 2014-30435
Type: Notice
Date: 2014-12-30
Agency: Securities and Exchange Commission, Agencies and Commissions
Summary of Application: The Applicant requests that the Commission issue an order declaring it to be a person not within the intent of Section 202(a)(11) of the Advisers Act, which defines the term ``investment adviser.''
Royal Bank of Canada, et al.; Notice of Application and Temporary Order
Document Number: 2014-30225
Type: Notice
Date: 2014-12-30
Agency: Securities and Exchange Commission, Agencies and Commissions
Changes to Exchange Act Registration Requirements To Implement Title V and Title VI of the Jobs Act
Document Number: 2014-30136
Type: Proposed Rule
Date: 2014-12-30
Agency: Securities and Exchange Commission, Agencies and Commissions
We are proposing amendments to our rules to implement Title V and Title VI of the Jumpstart Our Business Startups Act (the ``JOBS Act''). The proposed amendments would revise rules adopted under Section 12(g) of the Securities Exchange Act of 1934 (the ``Exchange Act'') to reflect the new, higher thresholds for registration, termination of registration and suspension of reporting that were set forth in the JOBS Act. The proposed rules also would apply the thresholds specified for banks and bank holding companies to savings and loan holding companies. In addition, the proposed amendments would revise the definition of ``held of record'' in Exchange Act Rule 12g5-1, in accordance with the JOBS Act, to exclude certain securities held by persons who received them pursuant to employee compensation plans and establish a non-exclusive safe harbor for determining whether securities are ``held of record'' for purposes of registration under Exchange Act Section 12(g).
In the Matter of American Heritage International Inc.; Order of Suspension of Trading
Document Number: 2014-30348
Type: Notice
Date: 2014-12-29
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: 2014-30278
Type: Notice
Date: 2014-12-29
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. On June 30, 2012, applicant made a liquidating distribution to its shareholders, based on net asset value. Applicant incurred no expenses in connection with the liquidation. Filing Date: The application was filed on December 10, 2014. Applicant's Address: 301 West Barbee Chapel Rd., Suite 200, Chapel Hill, NC 27517.
Crestview Advisors, L.L.C.; Notice of Application
Document Number: 2014-30277
Type: Notice
Date: 2014-12-29
Agency: Securities and Exchange Commission, Agencies and Commissions
List of Rules To Be Reviewed Pursuant to the Regulatory Flexibility Act
Document Number: 2014-30265
Type: Proposed Rule
Date: 2014-12-29
Agency: Securities and Exchange Commission, Agencies and Commissions
The Securities and Exchange Commission is publishing a list of rules to be reviewed pursuant to Section 610 of the Regulatory Flexibility Act. The list is published to provide the public with notice that these rules are scheduled for review by the agency and to invite public comment on whether the rules should be continued without change, or should be amended or rescinded to minimize any significant economic impact of the rules upon a substantial number of such small entities.
In the Matter of Treaty Energy Corporation; Order of Suspension of Trading
Document Number: 2014-30296
Type: Notice
Date: 2014-12-24
Agency: Securities and Exchange Commission, Agencies and Commissions
Forum Funds II and CVR Portfolio Funds LLC; Notice of Application
Document Number: 2014-30130
Type: Notice
Date: 2014-12-24
Agency: Securities and Exchange Commission, Agencies and Commissions
Forum Funds II and Acuitas Investments, LLC; Notice of Application
Document Number: 2014-30129
Type: Notice
Date: 2014-12-24
Agency: Securities and Exchange Commission, Agencies and Commissions
SSgA Funds Management, Inc., et al.; Notice of Application
Document Number: 2014-30128
Type: Notice
Date: 2014-12-24
Agency: Securities and Exchange Commission, Agencies and Commissions
Credit Risk Retention
Document Number: 2014-29256
Type: Rule
Date: 2014-12-24
Agency: Federal Deposit Insurance Corporation, Agencies and Commissions, Federal Reserve System, Department of Housing and Urban Development, Securities and Exchange Commission, Office of the Comptroller of the Currency, Department of Treasury, Department of the Treasury, Federal Housing Finance Agency
The OCC, Board, FDIC, Commission, FHFA, and HUD (the agencies) are adopting a joint final rule (the rule, or the final rule) to implement the credit risk retention requirements of section 15G of the Securities Exchange Act of 1934, as added by section 941 of the Dodd- Frank Wall Street Reform and Consumer Protection Act (the Act or Dodd- Frank Act). Section 15G generally requires the securitizer of asset- backed securities to retain not less than 5 percent of the credit risk of the assets collateralizing the asset-backed securities. Section 15G includes a variety of exemptions from these requirements, including an exemption for asset-backed securities that are collateralized exclusively by residential mortgages that qualify as ``qualified residential mortgages,'' as such term is defined by the agencies by rule.
Garrison Capital, Inc., et al.; Notice of Application
Document Number: 2014-29697
Type: Notice
Date: 2014-12-19
Agency: Securities and Exchange Commission, Agencies and Commissions
Summary of Application: Applicants request an order to permit Garrison Capital Inc. to co-invest in portfolio companies with certain affiliated investment funds.
Geo Finance Corporation; Order of Suspension of Trading
Document Number: 2014-29729
Type: Notice
Date: 2014-12-18
Agency: Securities and Exchange Commission, Agencies and Commissions