Securities and Exchange Commission June 2014 – Federal Register Recent Federal Regulation Documents
Results 51 - 100 of 185
Elkhorn Investments, LLC and Elkhorn ETF Trust; Notice of Application
Summary of Application: Applicants request an order that would permit (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 rather than at net asset value (``NAV''); (c) certain series to pay redemption proceeds, under certain circumstances, more than seven days after 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 Underlying Funds (defined below) to acquire shares of the Underlying Funds. Applicants: Elkhorn ETF Trust (the ``Trust'') and Elkhorn Investments, LLC (the ``Initial Adviser'').
Global X Funds, Global X Management Company LLC, and SEI Investments Distribution Company; Notice of Application
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.
Adoption of Updated EDGAR Filer Manual
The Securities and Exchange Commission (the Commission) is adopting revisions to the Electronic Data Gathering, Analysis, and Retrieval System (EDGAR) Filer Manual and related rules to reflect updates to the EDGAR system. The revisions are being made primarily to support the US GAAP 2014 Taxonomy, validate the filings containing EX- 101 XBRL documents, update the Public Validation Criteria validation in EX-101.INS documents, change the ABS Asset Class value ``Corporate Debt'' for ABS-15G and ABS-15G/A to ``Debt Securities,'' disseminate unofficial PDF copies of COVER and CORRESP attachments to EDGARLink Online submissions at the discretion of the SEC, update the Frequently Asked Questions (FAQ) screens, and revise the N-SAR system requirements. The EDGAR system is scheduled to be upgraded to support this functionality on June 16, 2014.
WhiteHorse Finance, Inc., et al.; Notice of Application
Summary of Application: Applicants request an order to permit a business development company (``BDC'') to co-invest with certain affiliated investment funds in portfolio companies. Applicants: WhiteHorse Finance, Inc. (the ``Company''), WhiteHorse Finance Warehouse, LLC (``WhiteHorse Warehouse''), H.I.G. Bayside Debt & LBO Fund II, L.P., H.I.G. Bayside Loan Opportunity Fund II, L.P., H.I.G. Bayside Loan Opportunity Fund III (Europe-Euro), L.P., H.I.G. Bayside Loan Opportunity Fund III (Europe-US$), L.P., WhiteHorse VI, Ltd., WhiteHorse VII, Ltd. and WhiteHorse VIII, Ltd. (collectively with H.I.G. Bayside Debt & LBO Fund II, L.P., H.I.G. Bayside Loan Opportunity Fund II, L.P., H.I.G. Bayside Loan Opportunity Fund III (Europe-Euro), L.P. and H.I.G. Bayside Loan Opportunity Fund III (Europe-US$), L.P., the ``Existing Private Funds''), H.I.G. WhiteHorse Advisers, LLC (the ``Company Adviser''), Bayside Capital, Inc. and H.I.G. WhiteHorse Capital, LLC (each, a ``Current Adviser to Private Funds'' and, collectively, the ``Current Advisers to Private Funds'' and, together with the Company Adviser, each, an ``Adviser'' and, together, the ``Advisers'') and H.I.G. Capital, L.L.C. (collectively, the ``Applicants'').
Absolute Shares Trust, et al.; Notice of Application
Summary of the Application: Applicants request an order that would (a) 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 (``business development companies''), and registered unit investment trusts that are within or outside the same group of investment companies as the acquiring investment companies and (b) permit certain registered open- end management investment companies relying on rule 12d1-2 under the 1940 Act to invest in certain financial instruments.
Public Availability of the Securities and Exchange Commission's FY 2013 Service Contract Inventory
In accordance with Section 743 of Division C of the Consolidated Appropriations Act of 2010 (Pub. L. 111-117), SEC is publishing this notice to advise the public of the availability of the FY2013 Service Contract Inventory (SCI) and the FY2012 SCI Analysis. The SCI provides information on FY2013 actions over $25,000 for service contracts. The inventory organizes the information by function to show how SEC distributes contracted resources throughout the agency. SEC developed the inventory per the guidance issued on November 5, 2011 by the Office of Management and Budget's Office of Federal Procurement Policy (OFPP). OFPP's guidance is available at https://www.whitehouse.gov/sites/ default/files/omb/procurement/memo/service-contract-inventori es- guidance-11052010.pdf. The Service Contract Inventory Analysis for FY2012 provides information based on the FY 2012 Inventory. The SEC has posted its inventory, a summary of the inventory and the FY2012 analysis on the SEC's homepage at https://www.sec.gov/about/ secreports.shtml and https://www.sec.gov/open
LifeHealthCare, Inc., Smartlinx, Inc., and Total Apparel Group, Inc.; Order of Suspension of Trading
Regulatory Flexibility Agenda
The Securities and Exchange Commission is publishing an agenda of its rulemaking actions pursuant to the Regulatory Flexibility Act (RFA) (Pub. L. No. 96-354, 94 Stat. 1164) (Sep. 19, 1980). Information in the agenda was accurate on March 21, 2014, the date on which the Commission's staff completed compilation of the data. To the extent possible, rulemaking actions by the Commission since that date have been reflected in the agenda. The Commission invites questions and public comment on the agenda and on the individual agenda entries. The Commission is now printing in the Federal Register, along with our preamble, only those agenda entries for which we have indicated that preparation of an RFA analysis is required. The Commission's complete RFA agenda will be available online at www.reginfo.gov.
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