Securities and Exchange Commission October 15, 2014 – Federal Register Recent Federal Regulation Documents

Eaton Vance Distributors, Inc. and Eaton Vance Unit Trust; Notice of Application
Document Number: 2014-24423
Type: Notice
Date: 2014-10-15
Agency: Securities and Exchange Commission, Agencies and Commissions
Summary of Application: Applicants request an order to permit certain unit investment trusts to: (a) Impose sales charges on a deferred basis and waive the deferred sales charge in certain cases; (b) offer unitholders certain exchange and rollover options; (c) publicly offer units without requiring the Depositor to take for its own account $100,000 worth of units; and (d) distribute capital gains resulting from the sale of portfolio securities within a reasonable time after receipt.
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