Securities and Exchange Commission 2015 – Federal Register Recent Federal Regulation Documents
Results 1,601 - 1,650 of 1,842
Rescission of Outdated Rules and Forms, and Amendments To Correct References
The Securities and Exchange Commission (``SEC'' or ``Commission'') is making technical amendments to update control numbers assigned to information collection requirements of the Commission by the Office of Management and Budget pursuant to the Paperwork Reduction Act of 1980.
Asset-Backed Securities Disclosure and Registration
This release makes technical corrections to rules that were published in the Federal Register on September 24, 2014. The Commission adopted revisions to Regulation AB and other rules governing the offering process, disclosure, and reporting for asset-backed securities. These technical amendments are being published to reinstate language that was inadvertently removed and make other technical corrections.
Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 1940
Each applicant seeks an order declaring that it has ceased to be an investment company. Applicants transferred their assets to BlackRock Resources & Commodities Strategy Trust, and on December 8, 2014, made distributions to their shareholders based on net asset value. Expenses of approximately $514,070 and $302,964, respectively, incurred in connection with the reorganizations were paid by applicants. Filing Date: The applications were filed on December 29, 2014. Applicants' Address: 100 Bellevue Parkway, Wilmington, DE 19809.
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.
Advisory Committee on Small and Emerging Companies
The Securities and Exchange Commission Advisory Committee on Small and Emerging Companies is providing notice that it will hold an open, public telephone meeting on Tuesday, February 17, 2015, beginning at 2:00 p.m. EST. Members of the public may attend the meeting by listening to the webcast accessible on the Commission's Web site at www.sec.gov. Persons needing special accommodations to access the meeting because of a disability should notify the contact person listed below. The agenda for the meeting includes consideration of recommendations to the Commission regarding the definition of ``accredited investor.'' The public is invited to submit written statements for the meeting, including any comments.
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