Securities and Exchange Commission January 22, 2014 – Federal Register Recent Federal Regulation Documents

Results 1 - 9 of 9
Sunshine Act Meeting
Document Number: 2014-01257
Type: Notice
Date: 2014-01-22
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2014/01/22/2014-01257.html
Multi-Strategy Growth & Income Fund and RJL Capital Management, LLC; Notice of Application
Document Number: 2014-01138
Type: Notice
Date: 2014-01-22
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2014/01/22/2014-01138.html
Total Income+ Real Estate Fund and Bluerock Fund Advisor LLC; Notice of Application
Document Number: 2014-01137
Type: Notice
Date: 2014-01-22
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2014/01/22/2014-01137.html
ALPS Series Trust, et al.; Notice of Application
Document Number: 2014-01135
Type: Notice
Date: 2014-01-22
Agency: Securities and Exchange Commission, Agencies and Commissions
Summary of the Application: The requested order 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 and unit investment trusts (``UITs'') that are within and outside the same group of investment companies as the acquiring investment companies, and (b) permit funds of funds relying on rule 12d1-2 under the Act to invest in certain financial instruments. Applicants: ALPS Series Trust (``Trust''), Brinker Capital, Inc. (``Fund of Funds Adviser''), and ALPS Distributors, Inc. (the ``Distributor'').
https://regulations.justia.com/regulations/fedreg/2014/01/22/2014-01135.html
Self-Regulatory Organizations; BOX Options Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fee Schedule To Establish Fees for Complex Order Price Improvement Period (“COPIP”) Transactions
Document Number: 2014-01108
Type: Notice
Date: 2014-01-22
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2014/01/22/2014-01108.html
Self-Regulatory Organizations; the Options Clearing Corporation; Notice of Filing of Proposed Rule Change Concerning Amendments to the Charters for the Membership/Risk Committee, Audit Committee and Performance Committee of OCC's Board of Directors
Document Number: 2014-01107
Type: Notice
Date: 2014-01-22
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2014/01/22/2014-01107.html
Self-Regulatory Organizations; Miami International Securities Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Modify the Quarterly Options Series Program To Eliminate the Cap on the Number of Additional Series That May Be Listed per Expiration Month for Each Quarterly Options Series in ETF Options
Document Number: 2014-01106
Type: Notice
Date: 2014-01-22
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2014/01/22/2014-01106.html
Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change, as Modified by Amendment No. 1 Thereto, To List and Trade Shares of Nine Series of the IndexIQ Active ETF Trust Under NYSE Arca Equities Rule 8.600
Document Number: 2014-01105
Type: Notice
Date: 2014-01-22
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2014/01/22/2014-01105.html
Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use of BATS Exchange, Inc.
Document Number: 2014-01104
Type: Notice
Date: 2014-01-22
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2014/01/22/2014-01104.html
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