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

Results 151 - 182 of 182
Sunshine Act Meeting
Document Number: 2014-07686
Type: Notice
Date: 2014-04-04
Agency: Securities and Exchange Commission, Agencies and Commissions
MetLife Insurance Company of Connecticut, et al.; Notice of Application
Document Number: 2014-07512
Type: Notice
Date: 2014-04-04
Agency: Securities and Exchange Commission, Agencies and Commissions
Summary of Application: The Substitution Applicants seek an order pursuant to Section 26(c) of the 1940 Act, approving the substitution of certain shares of the Trust for shares of other registered investment companies unaffiliated with the Substitution Applicants (the ``Substitutions'') each of which is currently used as an underlying investment option for certain variable annuity contracts (collectively, the ``Contracts''). The Section 17 Applicants seek an order pursuant to Section 17(b) of the 1940 Act exempting them from Section 17(a) of the Act to the extent necessary to permit them to engage in certain in-kind transactions (``In-Kind Transfers'') in connection with the Substitutions.
Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 1940
Document Number: 2014-07471
Type: Notice
Date: 2014-04-03
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. Applicant transferred its assets to Lazard Alternative Strategies 1099 Fund, and on December 31, 2013, made a distribution to its shareholders based on net asset value. Expenses of $200,000 incurred in connection with the reorganization were paid by Lazard Asset Management LLC, applicant's investment adviser. Filing Dates: The application was filed on January 30, 2014, and amended on March 26, 2014. Applicant's Address: 30 Rockefeller Plaza, New York, NY 10112-6300.
Minnesota Life Insurance Company, et al.; Notice of Application
Document Number: 2014-07424
Type: Notice
Date: 2014-04-03
Agency: Securities and Exchange Commission, Agencies and Commissions
Extension of Comment Period for Asset-Backed Securities Release
Document Number: 2014-07356
Type: Proposed Rule
Date: 2014-04-02
Agency: Securities and Exchange Commission, Agencies and Commissions
On February 25, 2014, the Securities and Exchange Commission re-opened the comment period on two releases related to asset-backed securities. The Commission re-opened the comment period to permit interested persons to comment on an approach for the dissemination of potentially sensitive asset-level data. The comment period is scheduled to end on March 28, 2014. In light of public interest in providing comment on the approach, the Commission is extending the comment period until April 28, 2014 to permit interested persons additional time to analyze and comment on the approach.
Investor Advisory Committee Meeting
Document Number: 2014-07346
Type: Notice
Date: 2014-04-02
Agency: Securities and Exchange Commission, Agencies and Commissions
The Securities and Exchange Commission Investor Advisory Committee, established pursuant to Section 911 of the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010, is providing notice that it will hold a public meeting. The public is invited to submit written statements to the Committee.
Sunshine Act Meeting
Document Number: 2014-07281
Type: Notice
Date: 2014-04-01
Agency: Securities and Exchange Commission, Agencies and Commissions