Securities and Exchange Commission November 26, 2014 – Federal Register Recent Federal Regulation Documents

Lattice Strategies, LLC, et al.; Notice of Application
Document Number: 2014-27982
Type: Notice
Date: 2014-11-26
Agency: Securities and Exchange Commission, Agencies and Commissions
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 series to acquire Shares.
Advanced Series Trust, et al.; Notice of Application
Document Number: 2014-27981
Type: Notice
Date: 2014-11-26
Agency: Securities and Exchange Commission, Agencies and Commissions
Applicants request an order that would permit them to enter into and materially amend subadvisory agreements with Non-Affiliated Sub-Advisors (as defined below) and Wholly-Owned Sub-Advisors (as defined below) without shareholder approval and would grant relief from certain disclosure requirements. The requested order would supersede a prior order that granted exemptive relief from section 15(a) of the Act and rule 18f-2 under the Act solely with respect to Non-Affiliated Sub- Advisors (``Prior Order'').\1\
BlackRock, Inc., et al.; Notice of Application
Document Number: 2014-27980
Type: Notice
Date: 2014-11-26
Agency: Securities and Exchange Commission, Agencies and Commissions
Applicants request an order to exempt certain investment vehicles formed for the benefit of eligible employees of BlackRock, Inc. and its affiliates (``Partnerships'') from certain provisions of the Act. Each Partnership will be an ``employees' securities company'' within the meaning of section 2(a)(13) of the Act. Applicants: BlackRock, Inc. (``BlackRock''), BlackRock Energy Opportunity (Employees) Fund, L.P. (the ``Energy Fund''), Vesey Street Employee Fund IV, L.P. (the ``Vesey Street Fund''), BlackRock Energy Opportunity Fund GP, LLC (the ``Energy Fund GP''), BlackRock DivPEP IV, LLC (the ``Vesey Street Fund GP''), BlackRock Capital Management, Inc. (``BCM''), and BlackRock Investment Management, LLC (``BIM'').