Securities and Exchange Commission February 3, 2015 – Federal Register Recent Federal Regulation Documents
Results 1 - 12 of 12
Investment Company Act Release No. 31435; 812-14349 Trust for Professional Managers and William Blair & Company L.L.C.; Notice of Application
Summary of Application: Applicants request an order that would permit them to enter into and materially amend subadvisory agreements without shareholder approval and that would grant relief from certain disclosure requirements.
Diamond Hill Capital Management, Inc., et al.; Notice of Application
Summary of Application: 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.
Crow Point Partners, LLC and Northern Lights Fund Trust; Notice of Application
Summary of Application: Applicants request an order that would permit them to enter into and materially amend subadvisory agreements without shareholder approval.
AlphaMark Advisors, LLC, et al.; Notice of Application
Applicants request an order that permits: (a) Actively- managed series of the Trust to issue shares (``Shares'') redeemable in large aggregations only (``Creation Units''); (b) secondary market transactions in Shares to occur at negotiated market prices; (c) certain series to pay redemption proceeds, under certain circumstances, more than seven days after the tender of Creation Units 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.
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