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

Re-Opening of Comment Period for Asset-Backed Securities Release
Document Number: 2014-04433
Type: Proposed Rule
Date: 2014-02-28
Agency: Securities and Exchange Commission, Agencies and Commissions
The Securities and Exchange Commission is re-opening the comment period on two releases, Asset-Backed Securities, Securities Act Release No. 33-9117 (Apr. 7, 2010), 75 FR 23328 (the ``2010 ABS Proposing Release'') and Re-Proposal of Shelf Eligibility Conditions for Asset-Backed Securities, Securities Act Release No. 33-9244 (July 26, 2011), 76 FR 47948 (the ``2011 ABS Re-Proposing Release''). The Commission is re-opening the comment period to permit interested persons to comment on an approach for the dissemination of potentially sensitive asset-level data. This approach is discussed in a staff memorandum included in the public comment file.
Cohen & Steers Capital Management, Inc., et al.; Notice of Application
Document Number: 2014-04391
Type: Notice
Date: 2014-02-28
Agency: Securities and Exchange Commission, Agencies and Commissions
Summary of Application: Applicants request an order that permits: (a) Actively-managed 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; (c) certain series to pay redemption proceeds, under certain circumstances, more than seven days from 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.
Sunshine Act Meeting
Document Number: 2014-04396
Type: Notice
Date: 2014-02-27
Agency: Securities and Exchange Commission, Agencies and Commissions
Proposed Collection; Comment Request
Document Number: 2014-04131
Type: Notice
Date: 2014-02-26
Agency: Securities and Exchange Commission, Agencies and Commissions
Sunshine Act Meeting
Document Number: 2014-04132
Type: Notice
Date: 2014-02-25
Agency: Securities and Exchange Commission, Agencies and Commissions
RiverNorth Funds, et al.; Notice of Application
Document Number: 2014-03796
Type: Notice
Date: 2014-02-24
Agency: Securities and Exchange Commission, Agencies and Commissions
Summary of the Application: Applicants request an order that would 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, registered closed-end management investment companies, ``business development companies,'' as defined by section 2(a)(48) of the 1940 Act, and registered unit investment trusts that are within or outside the same group of investment companies as the acquiring investment companies. Applicants: RiverNorth Funds (the ``Trust''), RiverNorth Capital Management, LLC (the ``Adviser''), and ALPS Distributors, Inc. (the ``Distributor'').
Submission for OMB Review; Comment Request
Document Number: 2014-03787
Type: Notice
Date: 2014-02-24
Agency: Securities and Exchange Commission, Agencies and Commissions
Submission for OMB Review; Comment Request
Document Number: 2014-03785
Type: Notice
Date: 2014-02-24
Agency: Securities and Exchange Commission, Agencies and Commissions
Submission for OMB Review; Comment Request
Document Number: 2014-03784
Type: Notice
Date: 2014-02-24
Agency: Securities and Exchange Commission, Agencies and Commissions
Imogo Mobile Technologies Corp.; Order of Suspension of Trading
Document Number: 2014-03822
Type: Notice
Date: 2014-02-21
Agency: Securities and Exchange Commission, Agencies and Commissions
Proposed Collection; Comment Request
Document Number: 2014-03578
Type: Notice
Date: 2014-02-19
Agency: Securities and Exchange Commission, Agencies and Commissions
Submission for OMB Review; Comment Request
Document Number: 2014-03577
Type: Notice
Date: 2014-02-19
Agency: Securities and Exchange Commission, Agencies and Commissions
Submission for OMB Review; Comment Request
Document Number: 2014-03576
Type: Notice
Date: 2014-02-19
Agency: Securities and Exchange Commission, Agencies and Commissions
Order Making Fiscal Year 2014 Annual Adjustments to Transaction Fee Rates
Document Number: 2014-03575
Type: Notice
Date: 2014-02-19
Agency: Securities and Exchange Commission, Agencies and Commissions