Securities and Exchange Commission 2014 – Federal Register Recent Federal Regulation Documents
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Adoption of Updated EDGAR Filer Manual
The Securities and Exchange Commission (the Commission) is adopting revisions to the Electronic Data Gathering, Analysis, and Retrieval System (EDGAR) Filer Manual and related rules to reflect updates to the EDGAR system. The revisions are being made primarily to introduce new submission form types MA, MA-A, MA/A, MA-I, MA-I/A, and MA-W to support Registration of Municipal Advisors; updates to submission form types 8-K, 8-K/A, 10-K, 10-K/A, 10-KT, 10-KT/A, 10-D, 10-D/A, POS AM, 424B1, 424B2, 424B3, 424B4, 424B5, 424B7, and 424B8; and minor updates to Form 13F validations. The EDGAR system is scheduled to be upgraded to support this functionality on March 3, 2014.
Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 1940
Applicant seeks an order declaring that it has ceased to be an investment company. Applicant transferred its assets to a series of Perritt Funds, Inc., and on February 28, 2013, made a distribution to its shareholders based on net asset value. Expenses of $15,000 incurred in connection with the reorganization were paid by Perritt Capital Management, Inc., investment adviser to the acquired and the acquiring funds. Filing Date: The application was filed on February 13, 2014. Applicant's Address: 300 South Wacker Dr., Suite 2880, Chicago, IL 60606. AllianzGI International & Premium Strategy Fund [File No. 811-21724]
Legg Mason Partners Equity Trust, et al.; Notice of Application
Summary of Application: Applicants request an order that would permit them to enter into, and amend, subadvisory agreements with Wholly-Owned Sub-Advisors (as defined below) and Non-Affiliated Sub- Advisors (as defined below) without shareholder approval. The order would also grant relief from certain disclosure requirements. Applicants: Legg Mason Partners Equity Trust (``Equity Trust''), Legg Mason Partners Variable Equity Trust (``Variable Equity Trust,'' and, together with Equity Trust, the ``Trusts''), and Permal Asset Management LLC (``Permal''). DATES: Filing Dates: The application was filed on March 1, 2013, and amended on September 24, 2013, and February 6, 2014. Hearing or Notification of Hearing: An order granting the application will be issued unless the Commission orders a hearing. Interested persons may request a hearing by writing to the Commission's Secretary and serving applicants with a copy of the request, personally or by mail. Hearing requests should be received by the Commission by 5:30 p.m. on March 21, 2014, and should be accompanied by proof of service on applicants, in the form of an affidavit or, for lawyers, a certificate of service. Hearing requests should state the nature of the writer's interest, the reason for the request, and the issues contested. Persons who wish to be notified of a hearing may request notification by writing to the Commission's Secretary.
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