Securities and Exchange Commission 2014 – Federal Register Recent Federal Regulation Documents
Results 601 - 650 of 2,134
SSgA MasterTrust and SSgA Funds Management, Inc.; Notice of Application
Summary of Application: Applicants request an order to permit open-end management investment companies relying on rule 12d1-2 under the Act to invest in certain financial instruments. Applicants: SSgA Master Trust (``SSMT'') and SSgA Funds Management, Inc. (``SSFMI'').
BNY Mellon Funds Trust, et al.;
Summary of the Application: Applicants request an order that would permit certain registered open-end management investment companies that operate as ``funds of funds'' to acquire shares of certain registered open-end management investment companies, registered closed-end management investment companies, ``business development companies,'' as defined by section 2(a)(48) of the 1940 Act (``business development companies''), and registered unit investment trusts that are within or outside the same group of investment companies as the acquiring investment companies. Applicants: BNY Mellon Funds Trust (``BNY Mellon Funds''); Dreyfus BNY Mellon Funds, Inc. (``Dreyfus BNY Mellon Funds''); Dreyfus Premier Investment Funds, Inc. (``Premier Investment Funds''); Strategic Funds, Inc. (``Strategic Funds'') (each an ``Investment Company,'' and collectively, the ``Investment Companies''); The Dreyfus Corporation (``Adviser''); and MBSC Securities Corporation (the ``Distributor'').
Nationally Recognized Statistical Rating Organizations
In accordance with the Dodd-Frank Wall Street Reform and Consumer Protection Act (``Dodd-Frank Act'') and to enhance oversight, the Securities and Exchange Commission (``Commission'') is: adopting amendments to existing rules and new rules that apply to credit rating agencies registered with the Commission as nationally recognized statistical rating organizations (``NRSROs''); adopting a new rule and form that apply to providers of third-party due diligence services for asset-backed securities; and adopting amendments to existing rules and a new rule that implement a requirement added by the Dodd-Frank Act that issuers and underwriters of asset-backed securities make publicly available the findings and conclusions of any third-party due diligence report obtained by the issuer or underwriter. The Commission also is adopting certain technical amendments to existing rules.
Treatment of Certain Communications Involving Security-Based Swaps That May Be Purchased Only by Eligible Contract Participants
We are proposing a rule under the Securities Act of 1933 to provide that certain communications involving security-based swaps that may be purchased only by eligible contract participants will not be deemed for purposes of Section 5 of the Securities Act to constitute offers of such security-based swaps or any guarantees of such security- based swaps that are securities. Under the proposed rule, the publication or distribution of price quotes relating to security-based swaps that may be purchased only by persons who are eligible contract participants and are traded or processed on or through a facility that either is registered as a national securities exchange or as a security-based swap execution facility, or is exempt from registration as a security-based swap execution facility pursuant to a rule, regulation, or order of the Commission, would not be deemed to constitute an offer, an offer to sell, or a solicitation of an offer to buy or purchase such security-based swaps or any guarantees of such security-based swaps that are securities for purposes of Section 5 of the Securities Act.
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