Securities and Exchange Commission 2014 – Federal Register Recent Federal Regulation Documents
Results 1,551 - 1,600 of 2,134
FundVantage Trust, et al.; Notice of Application
Summary of the Application: The requested order would (a) 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 and unit investment trusts (``UITs'') that are within and outside the same group of investment companies as the acquiring investment companies, and (b) permit funds of funds relying on rule 12d1-2 under the Act to invest in certain financial instruments.
Investment Company Advertising: Target Date Retirement Fund Names and Marketing
The Securities and Exchange Commission (``Commission'') is reopening the period for public comment on rule amendments it proposed in 2010, Investment Company Advertising: Target Date Retirement Fund Names and Marketing, Securities Act Release No. 9126 (June 16, 2010). Among other things, the proposed amendments would, if adopted, require marketing materials for target date retirement funds (``target date funds'') to include a table, chart, or graph depicting the fund's asset allocation over time, i.e., an illustration of the fund's so-called ``asset allocation glide path.'' In 2013, the Commission's Investor Advisory Committee (``Committee'') recommended that the Commission develop a glide path illustration for target date funds that is based on a standardized measure of fund risk as a replacement for, or supplement to, the proposed asset allocation glide path illustration. The Commission is reopening the comment period to seek public comment on this recommendation.
MetLife Insurance Company of Connecticut, et al.; Notice of Application
Summary of Application: The Substitution Applicants seek an order pursuant to Section 26(c) of the 1940 Act, approving the substitution of certain shares of the Trust for shares of other registered investment companies unaffiliated with the Substitution Applicants (the ``Substitutions'') each of which is currently used as an underlying investment option for certain variable annuity contracts (collectively, the ``Contracts''). The Section 17 Applicants seek an order pursuant to Section 17(b) of the 1940 Act exempting them from Section 17(a) of the Act to the extent necessary to permit them to engage in certain in-kind transactions (``In-Kind Transfers'') in connection with the Substitutions.
Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 1940
Applicant, a closed-end investment company, seeks an order declaring that it has ceased to be an investment company. Applicant transferred its assets to Lazard Alternative Strategies 1099 Fund, and on December 31, 2013, made a distribution to its shareholders based on net asset value. Expenses of $200,000 incurred in connection with the reorganization were paid by Lazard Asset Management LLC, applicant's investment adviser. Filing Dates: The application was filed on January 30, 2014, and amended on March 26, 2014. Applicant's Address: 30 Rockefeller Plaza, New York, NY 10112-6300.
Extension of Comment Period for Asset-Backed Securities Release
On February 25, 2014, the Securities and Exchange Commission re-opened the comment period on two releases related to asset-backed securities. The Commission re-opened the comment period to permit interested persons to comment on an approach for the dissemination of potentially sensitive asset-level data. The comment period is scheduled to end on March 28, 2014. In light of public interest in providing comment on the approach, the Commission is extending the comment period until April 28, 2014 to permit interested persons additional time to analyze and comment on the approach.
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