80 FR 54353 - In the Matter of Advanced Lighting Solutions, Inc.; Order of Suspension of Trading
SECURITIES AND EXCHANGE COMMISSION Federal Register Volume 80, Issue 174 (September 9, 2015)
Federal Register Volume 80, Issue 174 (September 9, 2015)
| Page Range | 54353-54353 | |
| FR Document | 2015-22780 |
[Federal Register Volume 80, Number 174 (Wednesday, September 9, 2015)] [Notices] [Page 54353] From the Federal Register Online [www.thefederalregister.org] [FR Doc No: 2015-22780] [[Page 54353]] ----------------------------------------------------------------------- SECURITIES AND EXCHANGE COMMISSION [File No. 500-1] In the Matter of Advanced Lighting Solutions, Inc.; Order of Suspension of Trading September 4, 2015. It appears to the Securities and Exchange Commission that there is a lack of current and accurate information concerning the securities of Advanced Lighting Solutions, Inc. because of questions regarding the accuracy and completeness of assertions by the company in materials posted on the Web site operated by OTC Markets Group, Inc. and in press releases. This includes questions about the accuracy of a May 14, 2015 Form ATS and a May 26, 2015 press release with respect to the company's business plans and activities. Advanced Lighting Solutions, Inc. is a Wyoming corporation with its principal place of business located in Conroe, Texas. Its stock is quoted on OTC Link, operated by OTC Markets Group Inc., under the ticker: AVLS. The Commission is of the opinion that the public interest and the protection of investors require a suspension of trading in the securities of the above-listed company. Therefore, it is ordered, pursuant to Section 12(k) of the Securities Exchange Act of 1934, that trading in the securities of the above-listed company is suspended for the period from 9:30 a.m. EDT on September 4, 2015, through 11:59 p.m. EDT on September 18, 2015. By the Commission. Brent J. Fields, Secretary. [FR Doc. 2015-22780 Filed 9-4-15; 4:15 pm] BILLING CODE 8011-01-P
![Federal Register / Vol. 80, No. 174 / Wednesday, September 9, 2015 / Notices 54353
SECURITIES AND EXCHANGE (‘‘INF’’), Brookfield High Income Fund companies.1 INF’s investment objective
COMMISSION Inc. (‘‘HHY’’), Brookfield Mortgage is to provide a high total return, with an
Opportunity Income Fund Inc. (‘‘BOI’’), emphasis on income, which it seeks to
[File No. 500–1]
Brookfield Total Return Fund Inc. achieve by investing in publicly traded
In the Matter of Advanced Lighting (‘‘HTR,’’ together with INF, HHY, and equity securities of infrastructure
Solutions, Inc.; Order of Suspension of BOI, the ‘‘Funds’’), and Brookfield companies listed on a domestic or
Trading Investment Management Inc. (‘‘BIM’’). foreign exchange. HHY’s primary
SUMMARY: Applicants request an order to investment objective is to seek high
September 4, 2015. permit certain registered closed-end current income by investing in high
It appears to the Securities and investment companies to make periodic yield bonds, debentures, notes,
Exchange Commission that there is a distributions of long-term capital gains corporate loans, convertible debentures
lack of current and accurate information with respect to their outstanding and other debt instruments. BOI’s
concerning the securities of Advanced common shares as frequently as primary investment objective is to seek
Lighting Solutions, Inc. because of monthly in any one taxable year, and as high total investment return by
questions regarding the accuracy and frequently as distributions are specified investing primarily in mortgage-related
completeness of assertions by the by or in accordance with the terms of debt securities and other mortgage-
company in materials posted on the any outstanding preferred shares that related instruments. HTR’s primary
Web site operated by OTC Markets such investment companies may issue. investment objective is to provide a high
Group, Inc. and in press releases. This DATES: Filing Dates: The application was total return, including short and long-
includes questions about the accuracy of filed on June 6, 2015 and amended on term capital gains and a high level of
a May 14, 2015 Form ATS and a May August 13, 2015. current income by investing primarily
26, 2015 press release with respect to Hearing or Notification of Hearing: An in U.S. Treasury, mortgage-backed,
the company’s business plans and order granting the application will be asset-backed and high-yield corporate
activities. Advanced Lighting Solutions, issued unless the Commission orders a securities. The common shares of each
Inc. is a Wyoming corporation with its hearing. Interested persons may request of the Funds are listed and traded on the
principal place of business located in a hearing by writing to the New York Stock Exchange. Although
Conroe, Texas. Its stock is quoted on Commission’s Secretary and serving none of the Funds currently intend to
OTC Link, operated by OTC Markets applicants with a copy of the request, issue preferred shares, the board of
Group Inc., under the ticker: AVLS. personally or by mail. Hearing requests directors (‘‘Board’’) of each Fund may
The Commission is of the opinion that should be received by the Commission authorize the issuance of preferred
the public interest and the protection of by 5:30 p.m. on September 28, 2015 and shares in the future.
investors require a suspension of trading should be accompanied by proof of 2. BIM, a Delaware corporation, is
in the securities of the above-listed service on applicants, in the form of an registered under the Investment
company. affidavit or, for lawyers, a certificate of Advisers Act of 1940 (the ‘‘Advisers
Therefore, it is ordered, pursuant to service. Pursuant to rule 0–5 under the Act’’) as an investment adviser. BIM
Section 12(k) of the Securities Exchange Act, hearing requests should state the serves as investment adviser to INF,
Act of 1934, that trading in the nature of the writer’s interest, any facts HHY, BOI and HTR. Each Adviser to a
securities of the above-listed company is bearing upon the desirability of a Fund will be registered under the
suspended for the period from 9:30 a.m. hearing on the matter, the reason for the Advisers Act.
EDT on September 4, 2015, through request, and the issues contested. 3. Applicants believe that investors in
11:59 p.m. EDT on September 18, 2015. Persons who wish to be notified of a closed-end funds may prefer an
By the Commission. hearing may request notification by investment vehicle that provides regular
writing to the Commission’s Secretary. current income through fixed
Brent J. Fields,
ADDRESSES: Secretary, U.S. Securities distribution policies that would be
Secretary. available through a distribution policy
[FR Doc. 2015–22780 Filed 9–4–15; 4:15 pm]
and Exchange Commission, 100 F Street
NE., Washington, DC 20549–1090; (‘‘Distribution Policy’’). Applicants state
BILLING CODE 8011–01–P
Applicants, Brookfield Place, 250 Vesey that prior to a Fund’s implementing a
Street, New York, NY 10281–1023. Distribution Policy in reliance on the
FOR FURTHER INFORMATION CONTACT: Jaea
order, the Board of each Fund,
SECURITIES AND EXCHANGE including a majority of the directors
COMMISSION F. Hahn, Senior Counsel, at (202) 551–
6870, or Mary Kay Frech, Branch Chief, who are not ‘‘interested persons’’ of the
[Investment Company Act Release No. at (202) 551–6821 (Division of Fund, as defined in section 2(a)(19) of
31802; File No. 812–14456]
Investment Management, Chief 1 All existing registered closed-end investment
Brookfield Global Listed Infrastructure Counsel’s Office). companies that currently intend to rely on the order
Income Fund Inc., et al.; Notice of SUPPLEMENTARY INFORMATION: The have been named as applicants. Applicants request
following is a summary of the that the order also apply to each other registered
Application closed-end investment company advised or to be
application. The complete application advised in the future by BIM or by an entity
September 1, 2015. may be obtained via the Commission’s controlling, controlled by, or under common
AGENCY: Securities and Exchange Web site by searching for the file control (within the meaning of section 2(a)(9) of the
Commission (‘‘Commission’’). number, or for an applicant using the Act) with BIM (including any successor in interest)
(each such entity, including BIM, the ‘‘Adviser’’)
ACTION: Notice of an application under Company name box, at http://
Lhorne on DSK5TPTVN1PROD with NOTICES
that in the future seeks to rely on the order (such
section 6(c) of the Investment Company www.sec.gov/search/search.htm, or by investment companies, together with INF, HHY,
Act of 1940 (‘‘Act’’) for an exemption calling (202) 551–8090. BOI and HTR, are collectively, the ‘‘Funds’’ and
from section 19(b) of the Act and rule individually, a ‘‘Fund’’). Any Fund that may rely
Applicants’ Representations on the order in the future will comply with the
19b–1 under the Act. terms and conditions of the application. A
1. INF, HHY, BOI and HRT are successor in interest is limited to entities that result
Applicants: Brookfield Global Listed Maryland corporations registered as from a reorganization into another jurisdiction or a
Infrastructure Income Fund Inc. closed-end management investment change in the type of business organization.
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Document Created: 2015-12-15 09:53:00
Document Modified: 2015-12-15 09:53:00
| Category | Regulatory Information | |
| Collection | Federal Register | |
| sudoc Class | AE 2.7: GS 4.107: AE 2.106: | |
| Publisher | Office of the Federal Register, National Archives and Records Administration | |
| Section | Notices | |
| FR Citation | 80 FR 54353 |
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