Securities and Exchange Commission March 2016 – Federal Register Recent Federal Regulation Documents
Results 151 - 200 of 204
Crescent Capital BDC Inc., et al.; Notice of Application
Summary of Application: Applicants request an order to permit a business development company (``BDC'') and certain closed-end management investment companies to co-invest in portfolio companies with each other and with affiliated investment funds. Applicants: Crescent Capital BDC, Inc. (``Crescent''); CBDC Advisors, LLC (``CBDC Advisors''); Crescent Mezzanine Partners VI, LP, Crescent Mezzanine Partners VIB, LP, Crescent Mezzanine Partners VIC, LP, Crescent Long/Short Credit Opportunity Fund, LP, Crescent Capital High Income Fund, LP, Crescent Capital High Income Fund B, L.P., Crescent Capital High Yield Fund, LP, Crescent Senior Secured Floating Rate Loan Fund, LLC, Crescent Senior Secured Floating Rate Loan Fund (Cayman), LP, Crescent/Kamehameha Schools Partnership, LP, NPS/Crescent Strategic Partnership, LP, Crescent (TX) Direct Lending Fund, L.P., Crescent Direct Lending Fund, L.P., CDL Unit Trust (Ireland), Crescent Direct Lending SBIC Fund, L.P., Crescent Special Situations Fund (Investor Group), L.P., Crescent European Specialty Lending Fund, L.P., Crescent European Specialty Loan Fund SCS, SICAV-FIS, Crescent European Specialty Lending Fund (Levered) LP, Crescent European Specialty Lending Fund (Cayman-Levered) LP, Crescent European Specialty Lending Fund (Cayman) LP, Crescent European Specialty Lending Fund for ERISA Plans LP, Crescent Mezzanine Partners VII (Ltl), L.P., Crescent Mezzanine Partners VII, L.P., Crescent Mezzanine Partners VIIB, L.P., Crescent Mezzanine Partners VIIC (LTL), L.P., Crescent Mezzanine Partners VIIC, L.P., and Crescent/AEGIS Partnership, L.P. (collectively, the ``Existing Affiliated Funds''); Crescent Capital Group LP (``Crescent Capital''); and Crescent Direct Lending Management, LLC, Crescent SBIC Management, LLC, and Crescent Credit Europe LLP (collectively with Crescent Capital, the ``Existing Crescent Advisers'').
Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change, as Modified by Amendment No. 1, Relating to Listing and Trading of Shares of the Cumberland Municipal Bond ETF Under NYSE Arca Equities Rule 8.600; Correction
The Securities and Exchange Commission published a document in the Federal Register on January 27, 2016 (81 FR 4724), concerning a Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change, as Modified by Amendment No. 1, Relating to Listing and Trading of Shares of the Cumberland Municipal Bond ETF under NYSE Arca Equities Rule 8.600. The document contained a typographical error.
Ares Management LLC; Notice of Application
Summary of Application: Applicants request an order to exempt certain limited partnerships and other entities (``Partnerships'') formed for the benefit of eligible employees of Ares Management LLC (the ``Company'') and its affiliates from certain provisions of the Act. Each Partnership will be an ``employees' securities company'' within the meaning of section 2(a)(13) of the Act. Applicant: The Company.
Advisors Asset Management, Inc. and AAM ETF Trust; Notice of Application
Summary of Application: Applicants request an order that permits: (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; (c) certain series to pay redemption proceeds, under certain circumstances, more than seven days from the tender of Shares for redemption; and (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.
Charles Schwab Investment 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 that track the performance of an index provided by an affiliated person 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; (e) certain registered management investment companies and unit investment trusts outside of the same group of investment companies as the series to acquire Shares; and (f) certain series to perform creations and redemptions of Creation Units in-kind in a master-feeder structure. Applicants: Charles Schwab Investment Management, Inc. (``CSIM'' or ``Current Adviser''), Schwab Strategic Trust (``Trust''), and SEI Investments Distribution Co. (``SEI'' or ``Distributor'').
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 Aberdeen Global Equity Fund, a series of Aberdeen Funds, and, on February 25, 2015, made a final distribution to its shareholders based on net asset value. Expenses of $248,555 incurred in connection with the reorganization were paid by applicant's investment adviser. Filing Date: The application was filed on December 31, 2015. Applicant's Address: 1735 Market Street, 32nd Floor, Philadelphia, PA 19103.
Covered Broker-Dealer Provisions Under Title II of the Dodd-Frank Wall Street Reform and Consumer Protection Act
The Agencies, in accordance with section 205(h) of the Dodd- Frank Wall Street Reform and Consumer Protection Act (``Dodd-Frank Act''), are jointly proposing a rule to implement provisions applicable to the orderly liquidation of covered brokers and dealers under Title II of the Dodd-Frank Act (``Title II'').
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