81 FR 75874 - Sunshine Act Meeting
SECURITIES AND EXCHANGE COMMISSION Federal Register Volume 81, Issue 211 (November 1, 2016)
Federal Register Volume 81, Issue 211 (November 1, 2016)
| Page Range | 75874-75874 | |
| FR Document | 2016-26506 |
[Federal Register Volume 81, Number 211 (Tuesday, November 1, 2016)] [Notices] [Page 75874] From the Federal Register Online [www.thefederalregister.org] [FR Doc No: 2016-26506] ----------------------------------------------------------------------- SECURITIES AND EXCHANGE COMMISSION Sunshine Act Meeting Notice is hereby given, pursuant to the provisions of the Government in the Sunshine Act, Pub. L. 94-409, that the Securities and Exchange Commission will hold a closed meeting on Thursday, November 3, 2016 at 2 p.m. Commissioners, Counsel to the Commissioners, the Secretary to the Commission, and recording secretaries will attend the closed meeting. Certain staff members who have an interest in the matters also may be present. The General Counsel of the Commission, or her designee, has certified that, in her opinion, one or more of the exemptions set forth in 5 U.S.C. 552b(c)(3), (5), (7), 9(B) and (10) and 17 CFR 200.402(a)(3), (a)(5), (a)(7), (a)(9)(ii) and (a)(10), permit consideration of the scheduled matter at the closed meeting. Commissioner Stein, as duty officer, voted to consider the items listed for the closed meeting in closed session. The subject matter of the closed meeting will be: Institution and settlement of injunctive actions; Institution and settlement of administrative proceedings; Adjudicatory matters; and Other matters relating to enforcement proceedings. 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 Brent J. Fields from the Office of the Secretary at (202) 551-5400. Dated: October 27, 2016. Brent J. Fields, Secretary. [FR Doc. 2016-26506 Filed 10-28-16; 4:15 pm] BILLING CODE 8011-01-P
![75874 Federal Register / Vol. 81, No. 211 / Tuesday, November 1, 2016 / Notices
those that may be withheld from the Institution and settlement of be issued unless the Commission orders
public in accordance with the administrative proceedings; a hearing. Interested persons may
provisions of 5 U.S.C. 552, will be Adjudicatory matters; and request a hearing by writing to the
available for Web site viewing and Other matters relating to enforcement Commission’s Secretary and serving
printing in the Commission’s Public proceedings. applicants with a copy of the request,
Reference Room, 100 F Street NE., At times, changes in Commission personally or by mail.
Washington, DC 20549, on official priorities require alterations in the
scheduling of meeting items. Hearing requests should be received
business days between the hours of by the Commission by 5:30 p.m. on
10:00 a.m. and 3:00 p.m. Copies of such For further information and to
ascertain what, if any, matters have been November 21, 2016 and should be
filings also will be available for accompanied by proof of service on the
inspection and copying at the principal added, deleted or postponed; please
contact Brent J. Fields from the Office of applicants, in the form of an affidavit,
office of OCC and on OCC’s Web site at or, for lawyers, a certificate of service.
http://www.theocc.com/components/ the Secretary at (202) 551–5400.
Pursuant to Rule 0–5 under the Act,
docs/legal/rules_and_bylaws/sr_occ_16_ Dated: October 27, 2016.
hearing requests should state the nature
014.pdf. Brent J. Fields,
of the writer’s interest, any facts bearing
All comments received will be posted Secretary.
upon the desirability of a hearing on the
without change; the Commission does [FR Doc. 2016–26506 Filed 10–28–16; 4:15 pm] matter, the reason for the request, and
not edit personal identifying BILLING CODE 8011–01–P
information from submissions. You the issues contested. Persons who wish
should submit only information that to be notified of a hearing may request
you wish to make available publicly. notification by writing to the
SECURITIES AND EXCHANGE
All submissions should refer to File Commission’s Secretary.
COMMISSION
Number SR–OCC–2016–014 and should ADDRESSES: Secretary, U.S. Securities
be submitted on or before November 22, [Investment Company Act Release No.
32338; File No. 812–14652] and Exchange Commission, 100 F Street
2016. NE., Washington, DC 20549–1090;
For the Commission, by the Division Hartford Mutual Funds Inc., et al.; Applicants: 5 Radnor Corporate Center,
of Trading and Markets, pursuant to Notice of Application 100 Matsonford Road, Suite 300,
delegated authority.35 Radnor, PA 19087.
October 26, 2016.
Brent J. Fields, FOR FURTHER INFORMATION CONTACT:
AGENCY: Securities and Exchange
Secretary. Commission (‘‘Commission’’). Jessica Shin, Attorney-Adviser, at (202)
[FR Doc. 2016–26382 Filed 10–31–16; 8:45 am]
ACTION: Notice of an application for an 551–5921 or David J. Marcinkus, Branch
BILLING CODE 8011–01–P order pursuant to: (a) Section 6(c) of the Chief, at (202) 551–6821 (Division of
Investment Company Act of 1940 Investment Management, Chief
(‘‘Act’’) granting an exemption from Counsel’s Office).
SECURITIES AND EXCHANGE sections 18(f) and 21(b) of the Act; (b)
COMMISSION SUPPLEMENTARY INFORMATION: The
section 12(d)(1)(J) of the Act granting an following is a summary of the
Sunshine Act Meeting exemption from section 12(d)(1) of the application. The complete application
Act; (c) sections 6(c) and 17(b) of the may be obtained via the Commission’s
Notice is hereby given, pursuant to Act granting an exemption from sections Web site by searching for the file
the provisions of the Government in the 17(a)(1), 17(a)(2) and 17(a)(3) of the Act; number, or an applicant using the
Sunshine Act, Pub. L. 94–409, that the and (d) section 17(d) of the Act and rule Company name box, at http://
Securities and Exchange Commission 17d–1 under the Act to permit certain www.sec.gov/search/search.htm or by
will hold a closed meeting on Thursday, joint arrangements and transactions. calling (202) 551–8090.
November 3, 2016 at 2 p.m. Applicants request an order that would
Commissioners, Counsel to the permit certain registered open-end Summary of the Application:
Commissioners, the Secretary to the management investment companies to 1. Applicants request an order that
Commission, and recording secretaries participate in a joint lending and would permit the applicants to
will attend the closed meeting. Certain borrowing facility. participate in an interfund lending
staff members who have an interest in facility where each Fund could lend
the matters also may be present. Applicants: The Hartford Mutual money directly to and borrow money
The General Counsel of the Funds, Inc., The Hartford Mutual Funds directly from other Funds to cover
Commission, or her designee, has II, Inc., Hartford Series Fund, Inc. and unanticipated cash shortfalls, such as
certified that, in her opinion, one or Hartford HLS Series Fund II, Inc. (each unanticipated redemptions or trade
more of the exemptions set forth in 5 a ‘‘Corporation’’ and collectively, the fails.1 The Funds will not borrow under
U.S.C. 552b(c)(3), (5), (7), 9(B) and (10) ‘‘Corporations’’), each a Maryland the facility for leverage purposes and
and 17 CFR 200.402(a)(3), (a)(5), (a)(7), corporation registered under the Act as
(a)(9)(ii) and (a)(10), permit an open-end management investment 1 Applicants request that the order apply to the
consideration of the scheduled matter at company with multiple series and applicants and to any existing or future registered
the closed meeting. Hartford Funds Management Company, open-end management investment company or
asabaliauskas on DSK3SPTVN1PROD with NOTICES
Commissioner Stein, as duty officer, LLC (the ‘‘Initial Adviser’’), a Delaware series thereof for which the Initial Adviser or any
successor thereto or an investment adviser
voted to consider the items listed for the limited liability company registered as controlling, controlled by, or under common
closed meeting in closed session. an investment adviser under the control with the Initial Adviser or any successor
The subject matter of the closed Investment Advisers Act of 1940. thereto serves as investment adviser (each a ‘‘Fund’’
meeting will be: Filing Dates: The application was and collectively the ‘‘Funds’’ and each such
Institution and settlement of filed on May 20, 2016, and amended on investment adviser an ‘‘Adviser’’). For purposes of
the requested order, ‘‘successor’’ is limited to any
injunctive actions; August 26, 2016. entity that results from a reorganization into
Hearing or Notification of Hearing: An another jurisdiction or a change in the type of a
35 17 CFR 200.30–3(a)(12). order granting the requested relief will business organization.
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Document Created: 2016-11-01 02:36:31
Document Modified: 2016-11-01 02:36:31
| 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 | 81 FR 75874 |
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