Securities and Exchange Commission June 2014 – Federal Register Recent Federal Regulation Documents
Results 151 - 185 of 185
Fidus Investment Corporation, et al.; Notice of Application
Summary of Application: Applicants request an order (``Amended Order'') that would amend, and in part supersede, a prior order permitting a parent business development company (``BDC'') and its wholly-owned small business investment company (``SBIC'') subsidiary to engage in certain transactions that otherwise would be permitted if such parent BDC and such SBIC subsidiary were one company and to file certain reports on a consolidated basis, and permitting such parent BDC to adhere to a modified asset coverage requirement (``Prior Order'').\1\ Applicants seek to amend the Prior Order in order to permit such SBIC subsidiary, which is also a BDC, and a newly formed SBIC subsidiary or any future subsidiary to engage in certain transactions that otherwise would be permitted if such parent BDC and the subsidiaries were one company and to permit such parent BDC to adhere to a modified asset coverage requirement.
Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 1940
Applicant, a closed-end investment company, seeks an order declaring that it has ceased to be an investment company. Applicant transferred its asset to AllianzGI Equity & Convertible Income Fund, and on January 27, 2014, made a distribution to its shareholders based on net asset value. Expenses of $312,000 incurred in connection with the reorganization were paid by applicant, the surviving fund and Allianz Global Investors Fund Management LLC, applicant's investment adviser. Filing Date: The application was filed on April 30, 2014. Applicant's Address: 1633 Broadway, New York, NY 10019.
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