Securities and Exchange Commission July 23, 2014 – Federal Register Recent Federal Regulation Documents

Results 1 - 9 of 9
Proposed Collection; Comment Request
Document Number: 2014-17282
Type: Notice
Date: 2014-07-23
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2014/07/23/2014-17282.html
Proposed Collection; Comment Request
Document Number: 2014-17281
Type: Notice
Date: 2014-07-23
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2014/07/23/2014-17281.html
Proposed Collection; Comment Request
Document Number: 2014-17280
Type: Notice
Date: 2014-07-23
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2014/07/23/2014-17280.html
Proposed Collection; Comment Request
Document Number: 2014-17279
Type: Notice
Date: 2014-07-23
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2014/07/23/2014-17279.html
Proposed Collection; Comment Request
Document Number: 2014-17278
Type: Notice
Date: 2014-07-23
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2014/07/23/2014-17278.html
FundVantage Trust, et al.
Document Number: 2014-17270
Type: Notice
Date: 2014-07-23
Agency: Securities and Exchange Commission, Agencies and Commissions
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'').
https://regulations.justia.com/regulations/fedreg/2014/07/23/2014-17270.html
Stellus Capital Investment Corporation, et al.;
Document Number: 2014-17267
Type: Notice
Date: 2014-07-23
Agency: Securities and Exchange Commission, Agencies and Commissions
Summary of the Application: The Company requests an order to permit it to adhere to a modified asset coverage requirement.
https://regulations.justia.com/regulations/fedreg/2014/07/23/2014-17267.html
Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Serving Electronically Written Decisions on Members Seeking Exemptive Relief Under NASD Rule 1070
Document Number: 2014-17266
Type: Notice
Date: 2014-07-23
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2014/07/23/2014-17266.html
Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing of Proposed Rule Change To List and Trade Shares of Certain Funds of the Alpha Architect ETF Trust
Document Number: 2014-17265
Type: Notice
Date: 2014-07-23
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2014/07/23/2014-17265.html
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