10 ENGLISH BOOKS RELATING TO «EXEMPTIVE»
Discover the use of
exemptive in the following bibliographical selection. Books relating to
exemptive and brief extracts from same to provide context of its use in English literature.
1
Investment Company Determination Under the 1940 Act: ...
A similar analysis is applicable to issuers relying upon Section 3(c)(7), 15 U.S.C.
§ 80a-3(c)(7). Section 3(c)(7) is discussed in Chapter 17. The Commission,
however, has granted exemptive orders permitting a finance subsidiary of a
company ...
Robert H. Rosenblum, 2003
2
The Rise of Mutual Funds: An Insider's View
29 He and others who were “present at the creation” realized that the future of the
industry would depend on SEC-industry cooperation in identifying needed
exemptions and on the SEC's wise use of its exemptive authority to permit
change ...
3
Regulation of Money Managers: Mutual Funds and Advisers
16, 2001) (amends exemptive Rule to add additional requirements for funds
relying on Rule); 17 C.F.R. §270.12b-1 Distribution of shares by registered open-
end management investment company (amended) (Jan. 16, 2001) (amends ...
Tamar Frankel, Ann Taylor Schwing, 2000
4
Annotated Ontario Securities Legislation
Upon receipt by staff of an Application for exemptive relief from one or more
requirements of Rule 61-501, one copy of the Application will be placed
immediately on the public file, unless confidentiality is specifically requested. If
confidentiality ...
5
List of C.F.R. Sections Affected
The certification shall set forth each applicable exemptive provision for such
closing. Such certification shall be retained by the agency and made publicly
available as soon as practicable. § 2413.6 Notice of meetings; public
announcement ...
6
Sec Operations: Increased Workload Creates Challenges
SEC Also Takes Longer to Review Exemptive Applications SEC's processing of
exemptive applications has also experienced delays. SEC is responsible for
processing applications for exemptive relief from various statutory provisions and
...
7
Annotated Alberta Securities Legislation
Upon completion of the review process and after considering the
recommendation of its staff, the principal regulator will determine whether to grant
or deny the exemptive relief sought. 7.2. Decision to Grant Exemptive Relief. — (1
) If the ...
Joanne Dolfato, Kathleen Jones-Lepidas, Alberta, 2002
8
40 CFR Protection of Environment: CFR Parts 63.1200-63.1439
Failure to comply shall subject the board of trade to Commission action under,
among other provisions, sections 5e and 6(b) of the Act. §41.33 Applications for
exemptive orders. (a) Any board of trade designated as a contract market in
security ...
Office of The Federal Register, 2013
9
Corporations: Including Unincorporated Form of Doing Business
The integration doctrine is not limited to successive exempt transactions and can
also apply to integrating public and nonpublic offerings.79 [3] General Exemptive
Rulemaking Authority In 1996 Congress gave the SEC general exemptive ...
James D. Cox, Thomas Lee Hazen, 2003
10
Annotated British Columbia Securities Legislation 2001
In this policy "application" means a request for exemptive relief other than a
waiver application or pre- filing as defined in the prospectus policy or a request
for exemptive relief if a certificate of registration can evidence the granting of
exemptive ...
Joanne Dolfato, British Columbia, Kathleen Jones-Lepidas, 2001
10 NEWS ITEMS WHICH INCLUDE THE TERM «EXEMPTIVE»
Find out what the national and international press are talking about and how the term
exemptive is used in the context of the following news items.
WisdomTree Downgraded At Susquehanna On Valuation, 'Slower …
Also, WisdomTree has "broad exemptive relief" to formulate its own indices. Moreover, the company offers the three main indices that investors ... «Benzinga, Jul 15»
SEC Issues Notice on Macquarie Capital (USA)
... the Injunction, the disqualification under section 9(a) of the Act, and the process for obtaining exemptive relief under section 9(c) of the Act, ... «Targeted News Service, Jul 15»
Canadian Securities Administrators propose new disclosure …
... existing disclosure regime currently potentially available to ETF managers as a result of exemptive relief. Managers who have obtained such ... «Lexology, Jul 15»
SEC Seeks Public Input On Exchange-Traded Product Trading Issues
Specifically, the SEC has requested comment on (i) arbitrage mechanisms and market pricing for ETPs; (ii) exemptive and no-action relief ... «Mondaq News Alerts, Jul 15»
Top Honors Go to Vanguard and Its Strong Culture
Plus, Vanguard operates its funds at cost, under an SEC exemptive order. Vanguard doesn't have outside owners to pay dividends to or share ... «Morningstar.com, Jul 15»
Canadian Securities Administrators take steps to facilitate foreign …
The Amendments reflect exemptive relief previously granted by the Ontario Securities Commission to certain market participants in recent years ... «Lexology, Jul 15»
Implementation Of New Oil And Gas Disclosure Rules Effective July …
... (Supplementary Disclosure) without a reporting issuer having to apply for specific exemptive relief. This Supplementary Disclosure, however, ... «Mondaq News Alerts, Jul 15»
CSA Proposes New Disclosure Requirement For Exchange Traded …
Prior to the Amendments, ETF dealers had to rely on exemptive relief from the requirement to deliver a prospectus to the investor. «Mondaq News Alerts, Jul 15»
John Hancock Hedged Equity & Income Fund Required Notice To …
This press release is issued as required by an exemptive order granted to the Fund by the U.S. Securities and Exchange Commission. «MarketWatch, Jun 15»
Eaton Vance Closed-End Funds Release Estimated Sources of …
This press release is issued as required by the Funds' managed distribution plan (Plan) and an exemptive order received from the U.S. ... «PR Newswire, Jun 15»
