80 FR 76335 - Sunshine Act Meeting
SECURITIES AND EXCHANGE COMMISSION Federal Register Volume 80, Issue 235 (December 8, 2015)
Federal Register Volume 80, Issue 235 (December 8, 2015)
| Page Range | 76335-76335 | |
| FR Document | 2015-31071 |
[Federal Register Volume 80, Number 235 (Tuesday, December 8, 2015)] [Notices] [Page 76335] From the Federal Register Online [www.thefederalregister.org] [FR Doc No: 2015-31071] ----------------------------------------------------------------------- SECURITIES AND EXCHANGE COMMISSION Sunshine Act Meeting Notice is hereby given, pursuant to the provisions of the Government in the Sunshine Act, Public Law 94-409, that the Securities and Exchange Commission will hold an Open Meeting on Friday, December 11, 2015 at 10:00 a.m., in the Auditorium, Room L-002. The subject matter of the Open Meeting will be:The Commission will consider whether to propose a new rule and amendments to certain proposed forms related to the use of derivatives by registered investment companies and business development companies. The Commission will consider whether to propose rules to require disclosure of certain payments made to governments by resource extraction issuers, as mandated by Section 1504 of the Dodd-Frank Wall Street Reform and Consumer Protection Act. At times, changes in Commission priorities require alterations in the scheduling of meeting items. For further information and to ascertain what, if any, matters have been added, deleted, or postponed, please contact: The Office of the Secretary at (202) 551-5400. Dated: December 4, 2015. Brent J. Fields, Secretary. [FR Doc. 2015-31071 Filed 12-4-15; 4:15 pm] BILLING CODE 8011-01-P
![Federal Register / Vol. 80, No. 235 / Tuesday, December 8, 2015 / Notices 76335
Washington, DC 20549, on official SECURITIES AND EXCHANGE ‘‘Exchange’’) filed with the Securities
business days between the hours of COMMISSION and Exchange Commission
10:00 a.m. and 3:00 p.m. Copies of the (‘‘Commission’’), pursuant to Section
filing will also be available for Sunshine Act Meeting 19(b)(1) of the Securities Exchange Act
inspection and copying at the NYSE’s of 1934 (‘‘Exchange Act’’) 1 and Rule
Notice is hereby given, pursuant to
principal office and on its Internet Web 19b–4 thereunder,2 a proposed rule
the provisions of the Government in the
site at www.nyse.com. All comments change to list and trade shares
Sunshine Act, Public Law 94–409, that
received will be posted without change; (‘‘Shares’’) of the Active Alts Contrarian
the Securities and Exchange
the Commission does not edit personal ETF (‘‘Fund’’) of ETFis Series Trust I
Commission will hold a Closed Meeting
identifying information from (‘‘Trust’’) under Nasdaq Rule 5735. The
submissions. You should submit only on Thursday, December 10, 2015 at 2:00
proposed rule change was published for
information that you wish to make p.m.
Commissioners, Counsel to the comment in the Federal Register on
available publicly. All submissions October 29, 2015.3 The Commission
Commissioners, the Secretary to the
should refer to File Number SR– received no comments on the proposal.
NYSEMKT–2015–97 and should be Commission, and recording secretaries
will attend the Closed Meeting. Certain This order approves the proposed rule
submitted on or before December 29, change.
2015. staff members who have an interest in
the matters also may be present. II. The Exchange’s Description of the
For the Commission, by the Division of The General Counsel of the Proposal 4
Trading and Markets, pursuant to delegated Commission, or her designee, has
authority.11 Nasdaq proposes to list and trade the
certified that, in her opinion, one or
Robert W. Errett, Shares under Nasdaq Rule 5735, which
more of the exemptions set forth in 5
Deputy Secretary. governs the listing and trading of
U.S.C. 552b(c)(3), (5), (7), 9(B) and (10)
[FR Doc. 2015–30837 Filed 12–7–15; 8:45 am] Managed Fund Shares.5 The Fund will
and 17 CFR 200.402(a)(3), (5), (7), 9(ii)
be an actively-managed exchange-traded
BILLING CODE 8011–01–P and (10), permit consideration of the
fund (‘‘ETF’’). The Shares will be
scheduled matter at the Closed Meeting.
Commissioner Stein, as duty officer, offered by the Trust, which was
SECURITIES AND EXCHANGE voted to consider the items listed for the established as a Delaware series trust on
COMMISSION Closed Meeting in closed session. September 20, 2012.6 The Fund will be
The subject matter of the Closed a series of the Trust. Etfis Capital LLC
Sunshine Act Meeting will be the investment adviser
Meeting will be:
Notice is hereby given, pursuant to Settlement of injunctive actions; (‘‘Adviser’’) to the Fund. Active Alts
the provisions of the Government in the Institution and settlement of Inc. will be the investment sub-adviser
Sunshine Act, Public Law 94–409, that administrative proceedings; to the Fund (‘‘Sub-Adviser’’).7 ETF
the Securities and Exchange Resolution of litigation claims; and 1 15
Other matters relating to enforcement U.S.C. 78s(b)(1).
Commission will hold an Open Meeting 2 17 CFR 240.19b–4.
on Friday, December 11, 2015 at 10:00 proceedings. 3 See Securities Exchange Act Release No. 76245
a.m., in the Auditorium, Room L–002. At times, changes in Commission (Oct. 23, 2015), 80 FR 66594 (‘‘Notice’’).
The subject matter of the Open priorities require alterations in the 4 Additional information regarding, among other
Meeting will be: scheduling of meeting items. things, the Shares, the Fund, its investment
• The Commission will consider For further information and to objective, its investments, its investment strategies,
its investment methodology, its fees, its creation
whether to propose a new rule and ascertain what, if any, matters have been and redemption procedures, availability of
amendments to certain proposed forms added, deleted or postponed, please information, trading rules and halts, and
related to the use of derivatives by contact the Office of the Secretary at surveillance procedures can be found in the Notice
registered investment companies and (202) 551–5400. and in the Registration Statement. See Notice, supra
business development companies. note 3, and Registration Statement, infra note 6,
Dated: December 3, 2015. respectively.
• The Commission will consider
Brent J. Fields, 5 A Managed Fund Share is a security that
whether to propose rules to require represents an interest in an investment company
disclosure of certain payments made to Secretary.
registered under the Investment Company Act of
governments by resource extraction [FR Doc. 2015–30946 Filed 12–4–15; 11:15 am] 1940, as amended (15 U.S.C. 80a–1) (the ‘‘1940
issuers, as mandated by Section 1504 of BILLING CODE 8011–01–P Act’’) organized as an open-end investment
company or similar entity that invests in a portfolio
the Dodd-Frank Wall Street Reform and of securities selected by its investment adviser
Consumer Protection Act. consistent with its investment objectives and
At times, changes in Commission SECURITIES AND EXCHANGE policies.
priorities require alterations in the COMMISSION 6 The Trust is registered with the Commission as
scheduling of meeting items. an investment company and has filed a registration
[Release No. 34–76538; File No. SR– statement on Form N–1A (‘‘Registration Statement’’)
For further information and to NASDAQ–2015–124] with the Commission. See Post-Effective
ascertain what, if any, matters have been Amendment No. 70 to Registration Statement on
added, deleted, or postponed, please Self-Regulatory Organizations; The Form N–1A for the Trust, dated Oct. 16, 2015 (File
contact: NASDAQ Stock Market LLC; Order Nos. 333–187668 and 811–22819). The description
The Office of the Secretary at (202) of the Fund and the Shares contained herein is
Approving a Proposed Rule Change To based, in part, on information in the Registration
551–5400. List and Trade Shares of the Active Statement. The Commission has issued an order,
Dated: December 4, 2015. Alts Contrarian ETF of ETFis Series upon which the Trust may rely (‘‘Exemptive
Lhorne on DSK9F6TC42PROD with NOTICES
Trust I Order’’), granting certain exemptive relief to the
Brent J. Fields, investment adviser to the Fund under the 1940 Act.
Secretary. December 2, 2015. See Investment Company Act Release No. 30607
[FR Doc. 2015–31071 Filed 12–4–15; 4:15 pm] (Jul. 23, 2013) (File No. 812–14080).
BILLING CODE 8011–01–P
I. Introduction 7 An investment adviser to an open-end fund is
required to be registered under the Investment
On October 19, 2015, The NASDAQ Advisers Act of 1940 (‘‘Advisers Act’’). As a result,
11 17 CFR 200.30–3(a)(12). Stock Market LLC (‘‘Nasdaq’’ or Continued
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Document Created: 2015-12-14 13:27:26
Document Modified: 2015-12-14 13:27:26
| 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 76335 |
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