Securities and Exchange Commission February 6, 2014 – Federal Register Recent Federal Regulation Documents
Results 1 - 15 of 15
Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 1940
Each applicant seeks an order declaring that it has ceased to be an investment company. Applicants transferred their assets to series of Managers Trust I, and on October 1, 2013, made distributions to their shareholders based on net asset value. Expenses of approximately $790,000 incurred in connection with each reorganization were paid by Friess Associates, LLC, applicants' investment adviser, and Managers Investment Group LLC, investment adviser to the surviving fund. Filing Date: The applications were filed on December 30, 2013. Applicant's Address: P.O. Box 4166, Greenville, DE 19807.
Self-Regulatory Organizations; Topaz Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To More Specifically Address the Number and Size of Contra-Parties to a Qualified Contingent Cross Order; Correction
The Securities and Exchange Commission published a document in the Federal Register of December 31, 2013 concerning a Notice of Filing and Immediate Effectiveness of Proposed Rule Change to More Specifically Address the Number and Size of Contra-parties to a Qualified Contingent Cross Order. The document was dated incorrectly.
Draft 2014-2018 Strategic Plan for Securities and Exchange Commission
The Securities and Exchange Commission (SEC) is providing notice that it is seeking comments on its draft 2014-2018 Strategic Plan. The draft Strategic Plan includes a draft of the SEC's mission, vision, values, strategic goals, planned initiatives, and performance goals.
T. Rowe Price Global Allocation Fund, Inc. et al.; Notice of Application
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-advisors without shareholder approval and would grant relief from certain disclosure requirements.
NF Investment Corp., et al.; Notice of Application
Summary of Application: Applicants request an order to permit business development companies (``BDCs'') and certain closed-end management investment companies to co-invest in portfolio companies with each other and with affiliated investment funds.
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