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

Sunshine Act Meetings
Document Number: 2014-15394
Type: Notice
Date: 2014-06-30
Agency: Securities and Exchange Commission, Agencies and Commissions
Order Directing the Exchanges and the Financial Industry Regulatory Authority To Submit a Tick Size Pilot Plan
Document Number: 2014-15205
Type: Notice
Date: 2014-06-30
Agency: Securities and Exchange Commission, Agencies and Commissions
Sunshine Act Meeting
Document Number: 2014-15277
Type: Notice
Date: 2014-06-27
Agency: Securities and Exchange Commission, Agencies and Commissions
Sunshine Act Meeting
Document Number: 2014-15253
Type: Notice
Date: 2014-06-27
Agency: Securities and Exchange Commission, Agencies and Commissions
Medient Studios, Inc., TISO; Order of Suspension of Trading
Document Number: 2014-15228
Type: Notice
Date: 2014-06-27
Agency: Securities and Exchange Commission, Agencies and Commissions
College Retirement Equities Fund, et al.; Notice of Application
Document Number: 2014-15029
Type: Notice
Date: 2014-06-27
Agency: Securities and Exchange Commission, Agencies and Commissions
Resource Real Estate Diversified Income Fund and Resource Real Estate, Inc.; Notice of Application
Document Number: 2014-15028
Type: Notice
Date: 2014-06-27
Agency: Securities and Exchange Commission, Agencies and Commissions
Freedom of Information Act Regulations: Fee Schedule, Addition of Appeal Time Frame, and Miscellaneous Administrative Changes
Document Number: 2014-14979
Type: Proposed Rule
Date: 2014-06-27
Agency: Securities and Exchange Commission, Agencies and Commissions
The Securities and Exchange Commission (``Commission'' or ``SEC'') is publishing for comment proposed amendments to the Commission's regulations under the Freedom of Information Act (``FOIA'') to allow the Commission to collect fees that reflect its actual costs, add an appeals time frame that will create a more practical and systematic administrative process and clarify other issues in the regulations. The proposed amendments provide a formula for fees charged to FOIA requesters; incorporate a time frame in which a FOIA requester must file an appeal in the event a request or a portion thereof is denied; allow for submission of FOIA appeals by email or facsimile; and allow the Office of FOIA Services to issue responses to FOIA requests indicating that no records were located.
Investor Advisory Committee Meeting
Document Number: 2014-15013
Type: Notice
Date: 2014-06-26
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.
Cohen & Steers ETF Trust, et al., Notice of Application
Document Number: 2014-14944
Type: Notice
Date: 2014-06-26
Agency: Securities and Exchange Commission, Agencies and Commissions
Elkhorn Investments, LLC and Elkhorn ETF Trust; Notice of Application
Document Number: 2014-14798
Type: Notice
Date: 2014-06-25
Agency: Securities and Exchange Commission, Agencies and Commissions
Summary of Application: Applicants request an order that permits: (a) 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; and (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.
Sunshine Act Meeting; Notice
Document Number: 2014-14772
Type: Notice
Date: 2014-06-24
Agency: Securities and Exchange Commission, Agencies and Commissions
Submission for OMB Review; Comment Request
Document Number: 2014-14662
Type: Notice
Date: 2014-06-24
Agency: Securities and Exchange Commission, Agencies and Commissions
Submission for OMB Review; Comment Request
Document Number: 2014-14661
Type: Notice
Date: 2014-06-24
Agency: Securities and Exchange Commission, Agencies and Commissions
Submission for OMB Review; Comment Request
Document Number: 2014-14660
Type: Notice
Date: 2014-06-24
Agency: Securities and Exchange Commission, Agencies and Commissions
Northern Lights Fund Trust, et al.; Notice of Application
Document Number: 2014-14659
Type: Notice
Date: 2014-06-24
Agency: Securities and Exchange Commission, Agencies and Commissions
Summary of Application: Applicants request an order to permit open-end management investment companies relying on rule 12d1-2 under the Act to invest in certain financial instruments.
Sunshine Act Meeting
Document Number: 2014-14695
Type: Notice
Date: 2014-06-23
Agency: Securities and Exchange Commission, Agencies and Commissions
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