81_FR_68269 81 FR 68078 - Proposed Collection; Comment Request

81 FR 68078 - Proposed Collection; Comment Request

SECURITIES AND EXCHANGE COMMISSION

Federal Register Volume 81, Issue 191 (October 3, 2016)

Page Range68078-68079
FR Document2016-23761

Federal Register, Volume 81 Issue 191 (Monday, October 3, 2016) 
[Federal Register Volume 81, Number 191 (Monday, October 3, 2016)]
[Notices]
[Pages 68078-68079]
From the Federal Register Online  [www.thefederalregister.org]
[FR Doc No: 2016-23761]


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SECURITIES AND EXCHANGE COMMISSION

[SEC File No. 270-68, OMB Control No. 3235-0074]


Proposed Collection; Comment Request

Upon Written Request Copies Available From: Securities and Exchange 
Commission, Office of FOIA Services, 100 F Street NE., Washington, DC 
20549-2736

Extension:
    Regulation C

    Notice is hereby given that, pursuant to the Paperwork Reduction 
Act of 1995 (44 U.S.C. 3501 et seq.), the Securities and Exchange 
Commission (``Commission'') is soliciting comments on the collection of 
information summarized below. The Commission plans to submit this 
existing collection of information to the Office of Management and 
Budget for extension and approval.
    Regulation C (17 CFR 230.400 through 230.498) under the Securities 
Act of 1933 (15 U.S.C. 77a et seq.) provides standard instructions for 
persons filing registration statements under the

[[Page 68079]]

Securities Act. The information collected is intended to ensure the 
adequacy of information available to investors. Regulation C is 
assigned one burden hour for administrative convenience because the 
regulation simply prescribes the disclosure that must appear in other 
filings under the federal securities laws.
    Written comments are invited on: (a) Whether this proposed 
collection of information is necessary for the proper performance of 
the functions of the agency, including whether the information will 
have practical utility; (b) the accuracy of the agency's estimate of 
the burden imposed by the collection of information; (c) ways to 
enhance the quality, utility, and clarity of the information collected; 
and (d) ways to minimize the burden of the collection of information on 
respondents, including through the use of automated collection 
techniques or other forms of information technology. Consideration will 
be given to comments and suggestions submitted in writing within 60 
days of this publication.
    An agency may not conduct or sponsor, and a person is not required 
to respond to, a collection of information unless it displays a 
currently valid control number.
    Please direct your written comment to Pamela Dyson, Director/Chief 
Information Officer, Securities and Exchange Commission, c/o Remi 
Pavlik-Simon, 100 F Street NE., Washington, DC 20549 or send an email 
to: [email protected].

    Dated: September 27, 2016.
Robert W. Errett,
Deputy Secretary.
[FR Doc. 2016-23761 Filed 9-30-16; 8:45 am]
 BILLING CODE 8011-01-P

68078 Federal Register / Vol. 81, No. 191 / Monday, October 3, 2016 / Notices regarding whether granting the Request By the Commission. proposed rule change, disapprove the for Exemptive Relief is appropriate, Robert W. Errett, proposed rule change, or institute whether the conditions required for Deputy Secretary. proceedings to determine whether the granting such relief, as set forth in the [FR Doc. 2016–23747 Filed 9–30–16; 8:45 am] proposed rule change should be Request for Exemptive Relief, are BILLING CODE 8011–01–P disapproved. The 45th day after appropriate, and whether any other publication of the notice for this conditions should be required. In proposed rule change is September 29, particular, the Commission requests SECURITIES AND EXCHANGE 2016. The Commission is extending this comment concerning the COMMISSION 45-day time period. The Commission appropriateness of granting exemptive finds that it is appropriate to designate [Release No. 34–78949; File No. SR– relief under Section 19(b) and Rule 19b– a longer period within which to take NYSEArca-2016–107] 4 thereunder as described above, in action on the proposed rule change so connection with LCH SA’s non-U.S. Self-Regulatory Organizations; NYSE that it has sufficient time to consider the business. Comments may be submitted Arca, Inc.; Notice of Designation of a proposed rule change, as modified by by any of the following methods: Longer Period for Commission Action Amendment No. 1 thereto. on Proposed Rule Change, as Modified Accordingly, the Commission, Electronic Comments pursuant to Section 19(b)(2) of the Act,6 by Amendment No. 1, Relating to • Use the Commission’s Internet Listing and Trading of Shares of designates November 13, 2016, as the comment form (http://www.sec.gov/ Cumberland Municipal Bond ETF date by which the Commission shall rules/sro.shtml) or Under NYSE Arca Equities Rule 8.600 either approve or disapprove or institute • Send an email to rule-comments@ proceedings to determine whether to sec.gov. Please include File Number September 27, 2016. disapprove the proposed rule change 600–36 on the subject line. On July 26, 2016, NYSE Arca, Inc. (File Number SR–NYSEArca–2016– filed with the Securities and Exchange 107), as modified by Amendment No. 1 Paper Comments Commission (‘‘Commission’’), pursuant thereto. • Send paper comments in triplicate to Section 19(b)(1) of the Securities For the Commission, by the Division of to Secretary, Securities and Exchange Exchange Act of 1934 (‘‘Act’’) 1 and Rule Trading and Markets, pursuant to delegated Commission, 100 F Street NE., 19b–4 thereunder,2 a proposed rule authority.7 Washington, DC 20549–1090. change to list and trade shares of the Robert W. Errett, All submissions should refer to File Cumberland Municipal Bond ETF Deputy Secretary. Number 600–36. This file number (‘‘Fund’’) under NYSE Arca Equities [FR Doc. 2016–23750 Filed 9–30–16; 8:45 am] should be included on the subject line Rule 8.600. The proposed rule change BILLING CODE 8011–01–P if email is used. To help the was published for comment in the Commission process and review your Federal Register on August 15, 2016.3 comments more efficiently, please use On September 15, 2016, the Exchange SECURITIES AND EXCHANGE only one method of submission. The filed Amendment No. 1 to the proposed COMMISSION Commission will post all comments on rule change.4 The Commission has received no comment letters on the [SEC File No. 270–68, OMB Control No. the Commission’s internet Web site 3235–0074] (http://www.sec.gov/rules/sro.shtml). proposed rule change, as modified by Copies of the Form CA–1 and the Amendment No. 1 thereto. Proposed Collection; Comment Request for Exemptive Relief, all Section 19(b)(2) of the Act 5 provides Request subsequent amendments, all written that, within 45 days of the publication statements with respect to LCH SA’s of notice of the filing of a proposed rule Upon Written Request Copies Available Form CA–1 and the Request for change, or within such longer period up From: Securities and Exchange Exemptive Relief that are filed with the to 90 days as the Commission may Commission, Office of FOIA Services, Commission, and all written designate if it finds such longer period 100 F Street NE., Washington, DC communications relating to the Form to be appropriate and publishes its 20549–2736 CA–1and the Request for Exemptive reasons for so finding or as to which the Extension: Relief between the Commission and any self-regulatory organization consents, Regulation C person, other than those that may be the Commission shall either approve the Notice is hereby given that, pursuant withheld from the public in accordance to the Paperwork Reduction Act of 1995 1 15 U.S.C. 78s(b)(1). with the provisions of 5 U.S.C. 552, will 2 17 CFR 240.19b–4. (44 U.S.C. 3501 et seq.), the Securities be available for Web site viewing and 3 See Securities Exchange Act Release No. 78523 and Exchange Commission printing in the Commission’s Public (Aug. 9, 2016), 81 FR 54155. (‘‘Commission’’) is soliciting comments Reference Room, 100 F Street NE., 4 In Amendment No. 1, which amended and on the collection of information Washington, DC 20549, on official replaced the proposed rule change in its entirety, summarized below. The Commission business days between the hours of the Exchange: (1) Described additional diversification requirements that would apply to plans to submit this existing collection 10:00 a.m. and 3:00 p.m. the Fund’s holdings in municipal bonds; (2) of information to the Office of All comments received will be posted clarified the Fund’s holdings in non-exchange- Management and Budget for extension without change; the Commission does traded investment company securities; and (3) and approval. not edit personal identifying corrected certain references to the regular trading sradovich on DSK3GMQ082PROD with NOTICES session of the Exchange. Amendment No. 1 to the Regulation C (17 CFR 230.400 through information from submissions. You proposed rule change is available at: https:// 230.498) under the Securities Act of should submit only information that www.sec.gov/comments/sr-nysearca-2016–107/ 1933 (15 U.S.C. 77a et seq.) provides you wish to make available publicly. All nysearca2016107–1.pdf. Because Amendment No. 1 standard instructions for persons filing submissions should refer to File to the proposed rule change does not materially alter the substance of the proposed rule change or registration statements under the Number 600–36 and should be raise unique or novel regulatory issues, Amendment submitted on or before November 2, No. 1 is not subject to notice and comment. 6 Id. 2016. 5 15 U.S.C. 78s(b)(2). 7 17 CFR 200.30–3(a)(31). VerDate Sep<11>2014 17:56 Sep 30, 2016 Jkt 241001 PO 00000 Frm 00123 Fmt 4703 Sfmt 4703 E:\FR\FM\03OCN1.SGM 03OCN1

Federal Register / Vol. 81, No. 191 / Monday, October 3, 2016 / Notices 68079 Securities Act. The information sections 12(d)(1)(A) and 12(d)(1)(B) of hearing on the matter, the reason for the collected is intended to ensure the the Act. The requested order would request, and the issues contested. adequacy of information available to permit (a) index-based series of certain Persons who wish to be notified of a investors. Regulation C is assigned one open-end management investment hearing may request notification by burden hour for administrative companies (‘‘Funds’’) to issue shares writing to the Commission’s Secretary. convenience because the regulation redeemable in large aggregations only ADDRESSES: Secretary, Securities and simply prescribes the disclosure that (‘‘Creation Units’’); (b) secondary market Exchange Commission, 100 F Street NE., must appear in other filings under the transactions in Fund shares to occur at Washington, DC 20549–1090; federal securities laws. negotiated market prices rather than at Applicants: Three Canal Plaza, Suite Written comments are invited on: (a) net asset value (‘‘NAV’’); (c) certain 100, Portland, ME 04101. Whether this proposed collection of Funds to pay redemption proceeds, FOR FURTHER INFORMATION CONTACT: information is necessary for the proper under certain circumstances, more than Courtney S. Thornton, Senior Counsel at performance of the functions of the seven days after the tender of shares for (202) 551–6812, or David J. Marcinkus, agency, including whether the redemption; (d) certain affiliated Branch Chief, at (202) 551–6821 information will have practical utility; persons of a Fund to deposit securities (Division of Investment Management, (b) the accuracy of the agency’s estimate into, and receive securities from, the Chief Counsel’s Office). of the burden imposed by the collection Fund in connection with the purchase SUPPLEMENTARY INFORMATION: The of information; (c) ways to enhance the and redemption of Creation Units; (e) following is a summary of the quality, utility, and clarity of the certain registered management application. The complete application information collected; and (d) ways to investment companies and unit may be obtained via the Commission’s minimize the burden of the collection of investment trusts outside of the same Web site by searching for the file information on respondents, including group of investment companies as the number, or for an applicant using the through the use of automated collection Funds (‘‘Funds of Funds’’) to acquire Company name box, at http:// techniques or other forms of information shares of the Funds; and (f) certain www.sec.gov/search/search.htm or by technology. Consideration will be given Funds (‘‘Feeder Funds’’) to create and calling (202) 551–8090. to comments and suggestions submitted redeem Creation Units in-kind in a in writing within 60 days of this master-feeder structure.1 Summary of the Application publication. 1. Applicants request an order that An agency may not conduct or APPLICANTS: Foreside Advisor Services, would allow Funds to operate as index sponsor, and a person is not required to LLC (the ‘‘Initial Adviser’’), a limited exchange traded funds (‘‘ETFs’’).2 Fund respond to, a collection of information liability company organized under the shares will be purchased and redeemed unless it displays a currently valid laws of the state of Delaware and at their NAV in Creation Units only. All control number. registered as an investment adviser orders to purchase Creation Units and Please direct your written comment to under the Act, Foreside ETF Trust (the all redemption requests will be placed Pamela Dyson, Director/Chief ‘‘Trust’’), a Delaware statutory trust by or through an ‘‘Authorized Information Officer, Securities and registered under the Act as an open-end Participant,’’ which will have signed a Exchange Commission, c/o Remi Pavlik- management investment company with participant agreement with the Simon, 100 F Street NE., Washington, multiple series, and Foreside Fund Distributor. Shares will be listed and DC 20549 or send an email to: PRA_ Services, LLC (the ‘‘Distributor’’), a traded individually on a national Mailbox@sec.gov. Delaware limited liability company and securities exchange, where share prices Dated: September 27, 2016. broker-dealer registered under the will be based on the current bid/offer Robert W. Errett, Securities Exchange Act of 1934 market. Any order granting the (‘‘Exchange Act’’). requested relief would be subject to the Deputy Secretary. FILING DATES: The application was filed terms and conditions stated in the [FR Doc. 2016–23761 Filed 9–30–16; 8:45 am] on June 6, 2016, and amended on application. BILLING CODE 8011–01–P August 5, 2016 and September 22, 2016. 2. Each Fund will hold investment HEARING OR NOTIFICATION OF HEARING: An positions selected to correspond SECURITIES AND EXCHANGE order granting the requested relief will generally to the performance of an COMMISSION be issued unless the Commission orders Underlying Index. In the case of self- a hearing. Interested persons may indexing Funds (‘‘Self-Indexing [Investment Company Act Release No. request a hearing by writing to the Funds’’), an affiliated person, as defined 32284; 812–14660] Commission’s Secretary and serving Foreside ETF Trust, et al.; Notice of applicants with a copy of the request, 2 Applicants request that the order apply to the personally or by mail. Hearing requests initial series of the Trust, currently expected to be Application Foreside Diversified Miners Index ETF, and any should be received by the Commission additional series of the Trust, and any other open- September 26, 2016. by 5:30 p.m. on October 21, 2016, and end management investment company or series AGENCY: Securities and Exchange should be accompanied by proof of thereof, that may be created in the future (each, Commission (‘‘Commission’’). service on applicants, in the form of an included in the term ‘‘Fund’’), each of which will operate as an ETF and will track a specified index ACTION: Notice of an application for an affidavit, or for lawyers, a certificate of comprised of domestic or foreign equity and/or order under section 6(c) of the service. Pursuant to rule 0–5 under the fixed income securities (each, an ‘‘Underlying Investment Company Act of 1940 (the Act, hearing requests should state the Index’’). Any Fund will (a) be advised by the Initial sradovich on DSK3GMQ082PROD with NOTICES nature of the writer’s interest, any facts Adviser or an entity controlling, controlled by, or ‘‘Act’’) for an exemption from sections under common control with the Initial Adviser 2(a)(32), 5(a)(1), 22(d), and 22(e) of the bearing upon the desirability of a (each such entity or any successor thereto, an Act and rule 22c–1 under the Act, under ‘‘Adviser’’) and (b) comply with the terms and 1 The requested order would supersede a prior conditions of the application. The term sections 6(c) and 17(b) of the Act for an order permitting the offering of ETFs. Foreside ‘‘successor,’’ as applied to each Adviser, means an exemption from sections 17(a)(1) and Advisor Services, LLC, et al., Investment Company entity that results from a reorganization into 17(a)(2) of the Act, and under section Act Release Nos. 30284 (Nov. 29, 2012) (notice) and another jurisdiction or change in the type of 12(d)(1)(J) for an exemption from 30318 (Dec. 27, 2012) (order). business organization. VerDate Sep<11>2014 17:56 Sep 30, 2016 Jkt 241001 PO 00000 Frm 00124 Fmt 4703 Sfmt 4703 E:\FR\FM\03OCN1.SGM 03OCN1


Document Created: 2018-02-13 14:10:58
Document Modified: 2018-02-13 14:10:58
CategoryRegulatory Information
CollectionFederal Register
sudoc ClassAE 2.7:
GS 4.107:
AE 2.106:
PublisherOffice of the Federal Register, National Archives and Records Administration
SectionNotices
FR Citation81 FR 68078 
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