82_FR_1399 82 FR 1396 - Sunshine Act Meeting; Additional Item

82 FR 1396 - Sunshine Act Meeting; Additional Item

SECURITIES AND EXCHANGE COMMISSION

Federal Register Volume 82, Issue 3 (January 5, 2017)

Page Range1396-1397
FR Document2016-32048

Federal Register, Volume 82 Issue 3 (Thursday, January 5, 2017) 
[Federal Register Volume 82, Number 3 (Thursday, January 5, 2017)]
[Notices]
[Pages 1396-1397]
From the Federal Register Online  [www.thefederalregister.org]
[FR Doc No: 2016-32048]


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SECURITIES AND EXCHANGE COMMISSION


Sunshine Act Meeting; Additional Item

FEDERAL REGISTER Citation of Previous Announcement:  To Be Published.

Previously Announced Time and Date of the Meeting:  Friday, January 6, 
2017.

Changes in the Meeting:  The following matters will also be considered 
during the 2:30 p.m. Closed Meeting scheduled

[[Page 1397]]

for Friday, January 6, 2017: Settlement of injunctive actions.

Contact Person for More Information:  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 30, 2016.
Brent J. Fields,
Secretary.
[FR Doc. 2016-32048 Filed 1-3-17; 11:15 am]
 BILLING CODE 8011-01-P

1396 Federal Register / Vol. 82, No. 3 / Thursday, January 5, 2017 / Notices SEC Chair White’s statement during the order routing practices, the Exchange Paper Comments SEC’s 2013 Roundtable on Fixed Income believes that the degree to which fee • Send paper comments in triplicate Markets, the Report makes changes in this market may impose any to Brent J. Fields, Secretary, Securities recommendations that include (1) burden on competition is extremely and Exchange Commission, 100 F Street improving pre- and post-trade limited. As a result of all of these NE., Washington, DC 20549–1090. transparency; (2) promoting the use of considerations, the Exchange does not All submissions should refer to File transparent and open trading venues, believe that the proposed change will Number SR–NYSE–2016–89. This file and (3) requiring dealers to seek ‘‘best impair the ability of member number should be included on the execution’’ for customers and to provide organizations or competing order subject line if email is used. To help the customers with relevant pricing execution venues to maintain their Commission process and review your information in connection with their competitive standing in the financial comments more efficiently, please use transactions.7 Achieving these markets. only one method. The Commission will recommendations and applying them to C. Self-Regulatory Organization’s post all comments on the Commission’s both the municipal and corporate bond Statement on Comments on the Internet Web site (http://www.sec.gov/ markets would, in the Exchange’s view, Proposed Rule Change Received From rules/sro.shtml). Copies of the assist in lowering the systemic risk that is anticipated to increase as interest Members, Participants, or Others submission, all subsequent rates rise and the closed network of amendments, all written statements No written comments were solicited with respect to the proposed rule bond trading comes under pressure as or received with respect to the proposed retirement and pension managers seek change that are filed with the rule change. Commission, and all written to adjust their positions. III. Date of Effectiveness of the communications relating to the B. Self-Regulatory Organization’s Proposed Rule Change and Timing for proposed rule change between the Statement on Burden on Competition Commission Action Commission and any person, other than In accordance with Section 6(b)(8) of those that may be withheld from the the Act,8 the Exchange believes that the The foregoing rule change is effective public in accordance with the proposed rule change would not impose upon filing pursuant to Section provisions of 5 U.S.C. 552, will be any burden on competition that is not 19(b)(3)(A) 9 of the Act and available for Web site viewing and necessary or appropriate in furtherance subparagraph (f)(2) of Rule 19b–4 10 printing in the Commission’s Public of the purposes of the Act. Debt thereunder, because it establishes a due, Reference Room, 100 F Street NE., securities typically trade in a fee, or other charge imposed by the Washington, DC 20549, on official decentralized over-the-counter (‘‘OTC’’) Exchange. business days between the hours of dealer market that is less liquid and At any time within 60 days of the 10:00 a.m. and 3:00 p.m. Copies of the transparent than the equities markets. filing of such proposed rule change, the filing also will be available for The Exchange believes that the Commission summarily may inspection and copying at the principal proposed change would increase temporarily suspend such rule change if office of the Exchange. All comments competition with these OTC venues by it appears to the Commission that such received will be posted without change; reducing the cost of being approved as action is necessary or appropriate in the the Commission does not edit personal and operating as an Exchange member public interest, for the protection of identifying information from organization that solely trades bonds at investors, or otherwise in furtherance of submissions. You should submit only the Exchange, which the Exchange the purposes of the Act. If the information that you wish to make believes will enhance market quality Commission takes such action, the available publicly. through the additional display of Commission shall institute proceedings All submissions should refer to File liquidity and increased execution under Section 19(b)(2)(B) 11 of the Act to Number SR–NYSE–2016–89, and opportunities in Exchange-traded bonds determine whether the proposed rule should be submitted on or before at the Exchange. change should be approved or January 26, 2017. The Exchange notes that it operates in disapproved. For the Commission, by the Division of a highly competitive market in which Trading and Markets, pursuant to delegated market participants can readily favor IV. Solicitation of Comments authority.12 competing venues that are not Eduardo A. Aleman, transparent. In such an environment, Interested persons are invited to submit written data, views, and Assistant Secretary. the Exchange must continually review, [FR Doc. 2016–31945 Filed 1–4–17; 8:45 am] and consider adjusting its fees and arguments concerning the foregoing, rebates to remain competitive with other including whether the proposed rule BILLING CODE 8011–01–P exchanges as well as with alternative change is consistent with the Act. trading systems and other venues that Comments may be submitted by any of the following methods: SECURITIES AND EXCHANGE are not required to comply with the COMMISSION statutory standards applicable to Electronic Comments exchanges. Because competitors are free Sunshine Act Meeting; Additional Item to modify their own fees and credits in • Use the Commission’s Internet response, and because market comment form (http://www.sec.gov/ FEDERAL REGISTER CITATION OF PREVIOUS participants may readily adjust their rules/sro.shtml); or ANNOUNCEMENT: To Be Published. mstockstill on DSK3G9T082PROD with NOTICES • Send an email to rule-comments@ PREVIOUSLY ANNOUNCED TIME AND DATE OF 2012-09-19/sec-s-gallagher-says-retail-bond- sec.gov. Please include File Number SR– THE MEETING: Friday, January 6, 2017. investors-fighting-headwinds-.html. NYSE–2016–89 on the subject line. CHANGES IN THE MEETING: The following 7 See Opening remarks of Chairman Mary Jo White at SEC Roundtable on Fixed Income Markets. matters will also be considered during http://www.sec.gov/News/Speech/Detail/Speech/ 9 15 U.S.C. 78s(b)(3)(A). the 2:30 p.m. Closed Meeting scheduled 1365171515300. 10 17 CFR 240.19b–4(f)(2). 8 15 U.S.C. 78f(b)(8). 11 15 U.S.C. 78s(b)(2)(B). 12 17 CFR 200.30–3(a)(12). VerDate Sep<11>2014 21:06 Jan 04, 2017 Jkt 241001 PO 00000 Frm 00087 Fmt 4703 Sfmt 4703 E:\FR\FM\05JAN1.SGM 05JAN1

Federal Register / Vol. 82, No. 3 / Thursday, January 5, 2017 / Notices 1397 for Friday, January 6, 2017: Settlement HEARING OR NOTIFICATION OF HEARING: Subadvised Series subject to the of injunctive actions. An order granting the application will supervision of each Trust’s board of CONTACT PERSON FOR MORE INFORMATION: be issued unless the Commission orders trustees (‘‘Board’’). The Investment For further information and to ascertain a hearing. Interested persons may Management Agreements permit the what, if any, matters have been added, request a hearing by writing to the Adviser, subject to the approval of the deleted or postponed, please contact the Commission’s Secretary and serving Board, to delegate to one or more Office of the Secretary at (202) 551– applicants with a copy of the request, wholly-owned sub-advisers (each, a 5400. personally or by mail. Hearing requests ‘‘Wholly-Owned Sub-Adviser’’ and Dated: December 30, 2016. should be received by the Commission collectively, the ‘‘Wholly-Owned Sub- by 5:30 p.m. on January 23, 2017, and Advisers’’) the responsibility to provide Brent J. Fields, should be accompanied by proof of the day-to-day portfolio investment Secretary. service on the applicants, in the form of management of each Subadvised Series, [FR Doc. 2016–32048 Filed 1–3–17; 11:15 am] an affidavit or, for lawyers, a certificate subject to the supervision and direction BILLING CODE 8011–01–P of service. Pursuant to rule 0–5 under of the Adviser. The primary the Act, hearing requests should state responsibility for managing the the nature of the writer’s interest, any Subadvised Series will remain vested in SECURITIES AND EXCHANGE facts bearing upon the desirability of a the Adviser. The Adviser will hire, COMMISSION hearing on the matter, the reason for the evaluate, allocate assets to and oversee [Investment Company Act Release No IC– request, and the issues contested. the Wholly-Owned Sub-Advisers, 32406; 812–14622] Persons who wish to be notified of a including determining whether a hearing may request notification by Wholly-Owned Sub-Adviser should be DFA Investment Dimensions Group writing to the Commission’s Secretary. terminated, at all times subject to the Inc., et al.; Notice of Application ADDRESSES: Secretary, U.S. Securities authority of the Board. and Exchange Commission, 100 F Street 2. Applicants request an exemption to December 29, 2016. NE., Washington, DC 20549–1090. permit the Adviser, subject to Board AGENCY: Securities and Exchange Applicants: 6300 Bee Cave Road, approval, to hire certain Wholly-Owned Commission (‘‘Commission’’). Building One, Austin, TX 78746. Sub-Advisers pursuant to Sub-Advisory ACTION: Notice of an application under Agreements and materially amend section 6(c) of the Investment Company FOR FURTHER INFORMATION CONTACT: existing Sub-Advisory Agreements Act of 1940 (‘‘Act’’) for an exemption Rachel Loko, Senior Counsel, at (202) without obtaining the shareholder from section 15(a) of the Act and rule 551–6883, or Holly Hunter-Ceci, Branch approval required under section 15(a) of 18f–2 under the Act, as well as from Chief, at (202) 551–6825 (Division of the Act and rule 18f–2 under the Act.2 certain disclosure requirements in rule Investment Management, Chief Applicants also seek an exemption from 20a–1 under the Act, Items 22(c)(1)(ii), Counsel’s Office). the Disclosure Requirements to permit a 22(c)(1)(iii), 22(c)(8) and 22(c)(9) of SUPPLEMENTARY INFORMATION: The Subadvised Series to disclose (as both a Schedule 14A under the Securities following is a summary of the dollar amount and a percentage of the Exchange Act of 1934, and Sections 6– application. The complete application Subadvised Series’ net assets) the 07(2)(a), (b), and (c) of Regulation S–X may be obtained via the Commission’s aggregate fees paid to the Adviser and (‘‘Disclosure Requirements’’). The Web site by searching for the file any Wholly-Owned Sub-Adviser requested exemption would permit an number, or an applicant using the (collectively, ‘‘Aggregate Fee investment adviser to hire and replace Company name box, at http:// Disclosure’’). certain wholly-owned sub-advisers www.sec.gov/search/search.htm or by 3. Applicants agree that any order without shareholder approval and grant calling (202) 551–8090. granting the requested relief will be relief from the Disclosure Requirements subject to the terms and conditions Summary of the Application as they relate to fees paid to the wholly- stated in the Application. Such terms owned sub-advisers. 1. The Adviser will serve as the and conditions provide for, among other investment adviser to the Subadvised safeguards, appropriate disclosure to APPLICANTS: DFA Investment Series pursuant to an investment Subadvised Series shareholders and Dimensions Group Inc. (‘‘DFAIDG’’), management agreement with the notification about sub-advisory changes Dimensional Investment Group Inc. relevant Trust (each an ‘‘Investment and enhanced Board oversight to protect (‘‘DIG’’) (each of DFAIDG and DIG is Management Agreement’’ and the interests of the Subadvised Series’ organized as a Maryland corporation collectively, the ‘‘Investment shareholders. and registered under the Act as an open- Management Agreements’’).1 The 4. Section 6(c) of the Act provides that end management investment company), Adviser will provide the Subadvised the Commission may exempt any Dimensional Emerging Markets Value Series with continuous investment person, security, or transaction or any Fund (‘‘DEM’’), The DFA Investment management of the assets of each class or classes of persons, securities, or Trust Company (‘‘DFAITC’’) (each of transactions from any provisions of the DEM and DFAITC is organized as a 1 Applicants request relief with respect to any Act, or any rule thereunder, if such Delaware statutory trust and registered existing and any future series of the Trusts and any other future registered open-end management relief is necessary or appropriate in the under the Act as an open-end company or series thereof that: (a) Is advised by the public interest and consistent with the management investment company) Initial Adviser or its successor or by a person protection of investors and purposes (DFAITC, DFAIDG, DEM, and DIG, each controlling, controlled by, or under common fairly intended by the policy and mstockstill on DSK3G9T082PROD with NOTICES a ‘‘Trust, ’’ and together, the ‘‘Trusts’’) control with the Initial Adviser or its successor (each, also an ‘‘Adviser’’); (b) uses the multi- provisions of the Act. Applicants and Dimensional Fund Advisors LP (the managers structure described in the application; ‘‘Initial Adviser’’ collectively with the and (c) complies with the terms and conditions of 2 The requested relief will not extend to any Sub- Trusts, the ‘‘Applicants’’). the application (each a ‘‘Subadvised Series’’). For Adviser that is an affiliated person, as defined in purposes of the requested order, ‘‘successor’’ is section 2(a)(3) of the Act, of a Fund or the Adviser, FILING DATES: The application was filed limited to an entity that results from a other than by reason of serving as a sub-adviser to March 4, 2016, and amended on August reorganization into another jurisdiction or a change one or more of the Funds (‘‘Affiliated Sub- 11, 2016. in the type of business organization. Adviser’’). VerDate Sep<11>2014 21:06 Jan 04, 2017 Jkt 241001 PO 00000 Frm 00088 Fmt 4703 Sfmt 4703 E:\FR\FM\05JAN1.SGM 05JAN1


Document Created: 2018-02-01 14:51:16
Document Modified: 2018-02-01 14:51:16
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 Citation82 FR 1396 
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