SUMMARY OF APPLICATION. The requested order would permit non-money market funds of Xxxxx Xxxxxxx Investment Company and Xxxxxxx Insurance Funds (“Investing Funds”) to purchase shares of one or more affiliated investment companies that are money market funds (the “Money Market Funds”) for cash management purposes. The requested order would supersede a prior order.
SUMMARY OF APPLICATION. An order is sought exempting Applicants and principal underwriters of certain flexible payment deferred variable annuity contracts (the ‘‘Policies’’) to the extent necessary to permit the payment to Companion Life of a mortality and expense risk charge from the assets of the Separate Account under the Policies.
SUMMARY OF APPLICATION. Applicants request an order to permit a fund of funds relying on section 12(d)(1)(F) of the Act to charge a sales load in excess of 11⁄2 percent. APPLICANTS: Lifetime Achievement Fund, Inc. (the ‘‘Fund’’), Manarin Investment Counsel, Ltd. (the and registration on the NYSE. By reason of section 12(b) of the Act 4 and the rules ‘‘Adviser’’) and Manarin Securities Corporation (the ‘‘Distributor’’).
SUMMARY OF APPLICATION. Applicants have received a temporary order (‘‘Temporary Order’’) exempting them from section 9(a) of the Act, with respect to an injunction entered against Xxxxxxx Xxxxxx & Co. Inc. (‘‘CS&Co.’’) on July 9, 2018 by the U.S. District Court for the Northern District of California (‘‘District Court’’), in connection with a consent order between CS&Co. and the Commission, until the Commission takes final action on an application for a permanent order (the ‘‘Permanent Order,’’ and with the Temporary Order, the ‘‘Orders’’). Applicants also have applied for a Permanent Order. APPLICANTS: CS&Co. and Xxxxxxx Xxxxxx Investment Management, Inc. (‘‘CSIM’’) (each an ‘‘Applicant’’ and together, the ‘‘Applicants’’).
SUMMARY OF APPLICATION. Applicant Tele-Communications International, Inc. requests an order under section 6(c) of the Act that would permit applicant and its controlled companies to participate in certain foreign tele-media ventures without being subject to the provisions of the Act.
SUMMARY OF APPLICATION. Applicants seek an order to permit shares of The Xxxxxx Managed Blue Chip Series Trust and any similar investment companies for which Xxxxxx Investors’ Service, Inc., or any of its affiliates may in the future serve as investment adviser, administrator, principal underwriter or sponsor to be sold to and held by: (1) Separate accounts funding variable annuity and variable life insurance contracts issued by both affiliated and unaffiliated participating life insurance companies; and (2) qualified pension and retirement plans outside of the separate account context (‘‘Qualified Plans’’ or ‘‘Plans’’).
SUMMARY OF APPLICATION. The order would exempt the applicants from section 15(f)(1)(A) of the Investment Company Act of 1940 (the ‘‘Act’’) in connection with the proposed change in control of PIMCO Advisors L.P. (‘‘PIMCO Advisors’’). Without the requested exemption, certain investment companies advised by PIMCO Advisors or one of its subsidiary investment advisers. Xxxxxxxxxxx Capital, OpCap Advisors, Parametric Portfolio Associates, and NFJ Investment Group (collectively, the ‘‘PIMCO Investment Advisers’’ and together with PIMCO Advisors, the ‘‘Advisers’’), would have to reconstitute their respective boards of directors 20232 Federal Register / Vol. 65, No. 73 / Friday, April 14, 2000 / Notices (‘‘Boards’’) to meet the 75 percent non- interested director requirement of section 15(f)(1)(A) of the Act in order for the Advisers to rely upon the safe harbor provisions of section 15(f). APPLICANTS: Pacific Asset Management LLC (‘‘Pacific Asset Management’’), PIMCO Advisors, PIMCO Advisors Holdings L.P. (‘‘PAH’’), PIMCO Holding LLC (‘‘Holding LLC’’), PIMCO Partners G.P. (‘‘Partners G.P.’’), and PIMCO Partners LLC (‘‘Partners LLC’’) (collectively, the ‘‘PIMCO Group’’); The Emerging Markets Income Fund Inc. (‘‘Emerging Markets’’), The Emerging Markets Income fund II Inc. ‘‘Emerging Markets II’’), The Emerging Markets Floating Rate Fund Inc. (‘‘Emerging Floating Rate’’), Global Partners Income Fund Inc. (‘‘Global Partners’’), Municipal Partners Fund Inc. (‘‘Municipal Partners’’), Municipal Partners Fund II Inc. (‘‘Municipal Partners II’’), the Enterprise Group of Fund, Inc. (‘‘Enterprise Fund’’), Enterprise Accumulation Trust (‘‘Enterprise Trust’’), Penn Series Funds, Inc. (‘‘Penn Fund’’). The Preferred Group of Mutual Funds (‘‘Preferred Group’’), and Consulting Group Capital Markets Funds (‘‘CGCM’’) (each an ‘‘Applicant Company’’ and, collectively the ‘‘Applicant Companies’’).
SUMMARY OF APPLICATION. Applicants request an order to permit a unit investment trust to substitute (a) Shares of North American—Founders Large Cap Growth Fund for shares of Dreyfus Founders Growth Fund; (b) Shares of North American—American Century Income & Growth Fund for shares of Xxxxxxxxx Xxxxxx Guardian Trust and for shares of Xxxxxxx Growth and Income Fund; (c) Shares of North American—Founders/X. Xxxx Xxxxx issued unless the Commission orders a hearing. Interested persons may request a hearing by writing to the Secretary of the Commission and serving Applicants with a copy of the request, personally or by mail. Hearing requests should be received by the Commission by 5:30
SUMMARY OF APPLICATION. Applicant is a privately-held investment company substantially owned and controlled by one family and certain persons and entities affiliated with, or otherwise related to, members of that family. Applicant seeks an exemption from all provisions of the Act.
SUMMARY OF APPLICATION. Applicants request an order to permit certain portfolios of the Trust to purchase Tennessee tax-exempt securities from the Bond Division of the Bank (the ‘‘Bond Division’’) when such securities are underwritten solely by the Bond Division or when the Bond Division is a member of an underwriting syndicate, and from a syndicate manager when such securities are designated as group sales. The order also would permit the portfolios to purchase Tennessee tax- exempt securities from an underwriting syndicate of which the Bond Division is a member in amounts up to the greater of 10 % or $1,000,000, but in no event more than 15 %, of a class of an issue, and without limiting the consideration paid by a portfolio in any one offering. FILING DATES: The application was filed on September 19, 1994 and amended on April 5, 1995, July 19, 1995, March 8, 1996, and May 17, 1996.
