Securities and Exchange Commission July 2014 – Federal Register Recent Federal Regulation Documents
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Notice of Proposed Exemptive Order Granting Permanent Exemptions Under the Securities Exchange Act of 1934 From the Confirmation Requirements of Exchange Act Rule 10b-10 for Certain Money Market Funds
Pursuant to Section 36 of the Securities Exchange Act of 1934 (``Exchange Act'') and Exchange Act Rule 10b-10(f), the Securities and Exchange Commission (``SEC'' or ``Commission'') is proposing to grant exemptive relief, subject to certain conditions, from the immediate confirmation delivery requirements of Exchange Act Rule 10b-10 for transactions effected in shares of any open-end management investment company registered under the Investment Company Act of 1940 (``Investment Company Act'') that holds itself out as a money market fund operating in accordance with Rule 2a-7(c)(1)(ii) of the Investment Company Act.
Wells Fargo Funds Management, LLC and Wells Fargo Exchange-Traded Funds Trust; 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.
FundVantage Trust, et al.
Summary of the Application: The order would permit certain open-end management investment companies registered under the Act to acquire shares of certain open-end management investment companies registered under the Act that are outside of the same group of investment companies as the acquiring investment companies. Applicants: FundVantage Trust (the ``Trust''), Gotham Asset Management, LLC (the ``Adviser''), and Foreside Funds Distributor, LLC (the ``Distributor'').
Stellus Capital Investment Corporation, et al.;
Summary of the Application: The Company requests an order to permit it to adhere to a modified asset coverage requirement.
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