Securities and Exchange Commission February 2014 – Federal Register Recent Federal Regulation Documents
Results 101 - 150 of 155
Elkhorn Securities, LLC and Elkhorn Unit Trust; Notice of Application
Summary of Application: Applicants request an order to permit certain unit investment trusts to: (a) Impose sales charges on a deferred basis and waive the deferred sales charge in certain cases; (b) offer unitholders certain exchange and rollover options; (c) publicly offer units without requiring the Depositor to take for its own account $100,000 worth of units; and (d) distribute capital gains resulting from the sale of portfolio securities within a reasonable time after receipt.
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.
The Ohio National Life Insurance Company, et al.; Notice of Application
Notice of an application for an order under section 12(d)(1)(J) of the Investment Company Act of 1940 (the ``Act''), for an exemption from sections 12(d)(1)(A) and (B) of the Act, under sections 6(c) and 17(b) of the Act for an exemption from section 17(a) of the Act, and under section 6(c) of the Act for an exemption from rule 12d1- 2(a) under the Act. Summary of the Application: Applicants request an order that would (a) permit certain series of registered open-end management investment companies to acquire shares of other registered open-end management investment companies and unit investment trusts (``UITs'') that are within or outside the same ``group of investment companies,'' as defined in section 12(d)(1)(G)(ii) of the Act, as the acquiring company and (b) permit certain series of registered open-end management investment companies relying on rule 12d1-2 under the Act to invest in certain financial instruments. Applicants: The Ohio National Life Insurance Company (``ONLIC''), Ohio National Life Assurance Corporation (``ONLAC''), National Security Life and Annuity Company (``National Security,'' and collectively with ONLIC and ONLAC, the ``Insurance Companies'') (including any insurance company controlling, controlled by or under common control with the Insurance Companies), Ohio National Investments, Inc. (the ``Adviser''), and Ohio National Fund, Inc. (the ``Fund'') (collectively, ``Applicants'').
This site is protected by reCAPTCHA and the Google
Privacy Policy and
Terms of Service apply.
