81 FR 90026 - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Withdrawal of a Proposed Rule Change Relating to Listing and Trading of Shares of the BlackRock Government Collateral Pledge Unit Under NYSE Arca Equities Rule 8.600
SECURITIES AND EXCHANGE COMMISSION Federal Register Volume 81, Issue 239 (December 13, 2016)
Federal Register Volume 81, Issue 239 (December 13, 2016)
| Page Range | 90026-90026 | |
| FR Document | 2016-29803 |
[Federal Register Volume 81, Number 239 (Tuesday, December 13, 2016)] [Notices] [Page 90026] From the Federal Register Online [www.thefederalregister.org] [FR Doc No: 2016-29803] [[Page 90026]] ----------------------------------------------------------------------- SECURITIES AND EXCHANGE COMMISSION [Release No. 34-79498; File No. SR-NYSEArca-2016-63] Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Withdrawal of a Proposed Rule Change Relating to Listing and Trading of Shares of the BlackRock Government Collateral Pledge Unit Under NYSE Arca Equities Rule 8.600 December 7, 2016. On May 19, 2016, NYSE Arca, Inc. (``Exchange'') filed with the Securities and Exchange Commission (``Commission''), pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (``Act'') \1\ and Rule 19b-4 thereunder,\2\ a proposed rule change to list and trade shares of the BlackRock Government Collateral Pledge Unit. The proposed rule change was published for comment in the Federal Register on June 2, 2016.\3\ On July 14, 2016, the Commission designated a longer period within which to approve the proposed rule change, disapprove the proposed rule change, or institute proceedings to determine whether to disapprove the proposed rule change.\4\ On August 30, 2016, the Commission instituted proceedings to determine whether to approve or disapprove the proposed rule change.\5\ On November 25, 2016, the Commission issued a notice of designation of a longer period for Commission action on proceedings to determine whether to approve or disapprove the proposed rule change.\6\ The Commission received no comments on the proposed rule change. --------------------------------------------------------------------------- \1\ 15 U.S.C. 78s(b)(1). \2\ 17 CFR 240.19b-4. \3\ See Securities Exchange Act Release No. 77941 (May 27, 2016), 81 FR 35425. \4\ See Securities Exchange Act Release No. 78328, 81 FR 47222 (July 20, 2016). \5\ See Securities Exchange Act Release No. 78728, 81 FR 61260 (September 6, 2016). \6\ See Securities Exchange Act Release No. 79398, 81 FR 86749 (December 1, 2016). --------------------------------------------------------------------------- On December 2, 2016, the Exchange withdrew the proposed rule change (SR-NYSEArca-2016-63). For the Commission, by the Division of Trading and Markets, pursuant to delegated authority.\7\ --------------------------------------------------------------------------- \7\ 17 CFR 200.30-3(a)(12). --------------------------------------------------------------------------- Eduardo A. Aleman, Assistant Secretary. [FR Doc. 2016-29803 Filed 12-12-16; 8:45 am] BILLING CODE 8011-01-P
![90026 Federal Register / Vol. 81, No. 239 / Tuesday, December 13, 2016 / Notices
SECURITIES AND EXCHANGE SECURITIES AND EXCHANGE NE., Washington, DC 20549–1090.
COMMISSION COMMISSION Applicants: 1603 Orrington Avenue,
Suite 1005, Evanston, IL 60201.
[Release No. IC–32381; File No. 812–14605]
[Release No. 34–79498; File No. SR– FOR FURTHER INFORMATION CONTACT:
NYSEArca–2016–63] Fidus Investment Corporation, et al.; Courtney S. Thornton, Senior Counsel,
Notice of Application at (202) 551–6812 or David J.
Self-Regulatory Organizations; NYSE Marcinkus, Branch Chief, at (202) 551–
Arca, Inc.; Notice of Withdrawal of a December 7, 2016. 6821 (Chief Counsel’s Office, Division of
Proposed Rule Change Relating to AGENCY: Securities and Exchange Investment Management).
Listing and Trading of Shares of the Commission (‘‘Commission’’). SUPPLEMENTARY INFORMATION: The
BlackRock Government Collateral ACTION: Notice of application for an following is a summary of the
Pledge Unit Under NYSE Arca Equities order under sections 17(d) and 57(i) of application. The complete application
Rule 8.600 the Investment Company Act of 1940 may be obtained via the Commission’s
(the ‘‘Act’’) and rule 17d–1 under the Web site by searching for the file
December 7, 2016. Act permitting certain joint transactions number, or for an applicant using the
On May 19, 2016, NYSE Arca, Inc. otherwise prohibited by sections 17(d) Company name box, at http://
(‘‘Exchange’’) filed with the Securities and 57(a)(4) of the Act and under rule www.sec.gov/search/search.htm or by
and Exchange Commission 17d–1 under the Act. calling (202) 551–8090.
(‘‘Commission’’), pursuant to Section Applicants’ Representations
SUMMARY OF APPLICATION: Applicants
19(b)(1) of the Securities Exchange Act
request an order to permit business 1. The Company, a Maryland
of 1934 (‘‘Act’’) 1 and Rule 19b–4 corporation, is organized as a non-
development companies (‘‘BDCs’’) and
thereunder,2 a proposed rule change to closed end investment companies to co- diversified, closed-end management
list and trade shares of the BlackRock invest in portfolio companies with each investment company that has elected to
Government Collateral Pledge Unit. The other and with affiliated investment be regulated as a BDC.2 The Company is
proposed rule change was published for funds. managed by a board of directors
comment in the Federal Register on (‘‘Board’’), currently comprised of five
APPLICANTS: Fidus Investment
June 2, 2016.3 On July 14, 2016, the Corporation (the ‘‘Company’’), Fidus directors; three of these directors are
Commission designated a longer period Credit Opportunities, L.P. (the ‘‘Private not, and a majority of the directors at all
within which to approve the proposed Fund’’), Fidus Mezzanine Capital, L.P. times will not be, ‘‘interested persons’’
rule change, disapprove the proposed (‘‘Fidus SBIC’’), Fidus Mezzanine within the meaning of section 2(a)(19) of
rule change, or institute proceedings to Capital II, L.P. (‘‘Fidus SBIC II’’), and the Act (the ‘‘Non-Interested Directors’’).
determine whether to disapprove the Fidus Investment Advisors, LLC, on 2. The Private Fund, a limited
proposed rule change.4 On August 30, behalf of itself and its successors partnership under Delaware law, is
2016, the Commission instituted (‘‘Fidus Advisors’’).1 managed by Fidus Advisors. Applicants
proceedings to determine whether to state that the Private Fund would be an
FILING DATES: The application was filed
approve or disapprove the proposed investment company but for the
on January 27, 2016, and amended on
rule change.5 On November 25, 2016, exclusion from the definition of
July 8, 2016 and October 27, 2016.
the Commission issued a notice of investment company provided by
HEARING OR NOTIFICATION OF HEARING: section 3(c)(7) of the Act. Applicants
designation of a longer period for An order granting the requested relief
Commission action on proceedings to state that the Private Fund’s investment
will be issued unless the Commission objectives and policies are substantially
determine whether to approve or orders a hearing. Interested persons may
disapprove the proposed rule change.6 similar to the Objectives and Strategies
request a hearing by writing to the of the Company.3 To the extent there is
The Commission received no comments Commission’s Secretary and serving an investment that falls within the
on the proposed rule change. applicants with a copy of the request, Objectives and Strategies of one or more
On December 2, 2016, the Exchange personally or by mail. Hearing requests Regulated Funds (as defined below) and
withdrew the proposed rule change should be received by the Commission the investment strategies of one or more
(SR–NYSEArca–2016–63). by 5:30 p.m. on January 3, 2017, and other Affiliated Funds (as defined
should be accompanied by proof of below), the Advisers would expect such
For the Commission, by the Division of service on applicants, in the form of an
Trading and Markets, pursuant to delegated Regulated Funds and Affiliated Funds
affidavit or, for lawyers, a certificate of to co-invest with each other.
authority.7
service. Pursuant to rule 0–5 under the 3. Fidus SBIC and Fidus SBIC II,
Eduardo A. Aleman, Act, hearing requests should state the Delaware limited partnerships, are SBIC
Assistant Secretary. nature of the writer’s interest, any facts
[FR Doc. 2016–29803 Filed 12–12–16; 8:45 am] bearing upon the desirability of a 2 Section 2(a)(48) defines a BDC to be any closed-
BILLING CODE 8011–01–P hearing on the matter, the reason for the end investment company that operates for the
request, and the issues contested. purpose of making investments in securities
described in sections 55(a)(1) through 55(a)(3) of the
1 15 U.S.C. 78s(b)(1). Persons who wish to be notified of a Act and makes available significant managerial
2 17 CFR 240.19b–4. hearing may request notification by assistance with respect to the issuers of such
writing to the Commission’s Secretary. securities.
pmangrum on DSK3GDR082PROD with NOTICES
3 See Securities Exchange Act Release No. 77941
3 ‘‘Objectives and Strategies’’ means a Regulated
(May 27, 2016), 81 FR 35425. ADDRESSES: Secretary, U.S. Securities
4 See Securities Exchange Act Release No. 78328, Fund’s investment objectives and strategies, as
and Exchange Commission, 100 F St. described in the Regulated Fund’s registration
81 FR 47222 (July 20, 2016).
5 See Securities Exchange Act Release No. 78728,
statement on Form 10 (or if applicable, Form N–2),
1 The term ‘‘successor,’’ as applied to each other filings the Regulated Fund has made with the
81 FR 61260 (September 6, 2016). Adviser (as defined below), means an entity that Commission under the Securities Act of 1933 (the
6 See Securities Exchange Act Release No. 79398,
results from a reorganization into another ‘‘Securities Act’’), or under the Securities Exchange
81 FR 86749 (December 1, 2016). jurisdiction or change in the type of business Act of 1934, and the Regulated Fund’s reports to
7 17 CFR 200.30–3(a)(12). organization. shareholders.
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Document Created: 2016-12-13 02:44:37
Document Modified: 2016-12-13 02:44:37
| 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 90026 |
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