82 FR 57015 - Sunshine Act Meetings
SECURITIES AND EXCHANGE COMMISSION Federal Register Volume 82, Issue 230 (December 1, 2017)
Federal Register Volume 82, Issue 230 (December 1, 2017)
| Page Range | 57015-57015 | |
| FR Document | 2017-26103 |
[Federal Register Volume 82, Number 230 (Friday, December 1, 2017)] [Notices] [Page 57015] From the Federal Register Online [www.thefederalregister.org] [FR Doc No: 2017-26103] ----------------------------------------------------------------------- SECURITIES AND EXCHANGE COMMISSION Sunshine Act Meetings FEDERAL REGISTER CITATION OF PREVIOUS ANNOUNCEMENT: 82 FR 56089, November 27, 2017. PREVIOUSLY ANNOUNCED TIME AND DATE OF THE MEETING: Friday, December 1, 2017. CHANGES IN THE MEETING: The following matter will also be considered during the 12 p.m. Closed Meeting scheduled for Friday, December 1, 2017: Formal orders of investigation. 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: November 29, 2017. Brent J. Fields, Secretary. [FR Doc. 2017-26103 Filed 11-29-17; 4:15 pm] BILLING CODE 8011-01-P
![Federal Register / Vol. 82, No. 230 / Friday, December 1, 2017 / Notices 57015
Commission’s Secretary and serving request an order of exemption under Act if such exemption is necessary or
applicants with a copy of the request, sections 6(c) and 17(b) of the Act from appropriate in the public interest and
personally or by mail. Hearing requests the prohibition on certain affiliated consistent with the protection of
should be received by the Commission transactions in section 17(a) of the Act investors and the purposes fairly
by 5:30 p.m. on December 22, 2017, and to the extent necessary to permit the intended by the policy and provisions of
should be accompanied by proof of Underlying Funds to sell their shares to, the Act.
service on the applicants, in the form of and redeem their shares from, the For the Commission, by the Division of
an affidavit, or, for lawyers, a certificate Series.4 Applicants state that such Investment Management, pursuant to
of service. Pursuant to Rule 0–5 under transactions will be consistent with the delegated authority.
the Act, hearing requests should state policies of each Series and each Eduardo A. Aleman,
the nature of the writer’s interest, any Underlying Fund and with the general Assistant Secretary.
facts bearing upon the desirability of a purposes of the Act and will be based
[FR Doc. 2017–25849 Filed 11–30–17; 8:45 am]
hearing on the matter, the reason for the on the net asset values of the
BILLING CODE 8011–01–P
request, and the issues contested. Underlying Funds.
Persons who wish to be notified of a 2. Applicants agree that any order
hearing may request notification by granting the requested relief will be
SECURITIES AND EXCHANGE
writing to the Commission’s Secretary. subject to the terms and conditions
COMMISSION
stated in the application. Such terms
ADDRESSES: Secretary, U.S. Securities
and conditions are designed to, among Sunshine Act Meetings
and Exchange Commission, 100 F Street
other things, help prevent any potential
NE., Washington, DC 20549–1090.
(i) undue influence over an Underlying FEDERAL REGISTER CITATION OF PREVIOUS
Applicants, 3250 Lacey Road, Suite 130,
Fund that is not in the same ‘‘group of ANNOUNCEMENT: 82 FR 56089, November
Downers Grove, IL 60515, and Morrison
investment companies’’ as the UIT 27, 2017.
C. Warren, Walter L. Draney and
through control or voting power, or in PREVIOUSLY ANNOUNCED TIME AND DATE OF
Suzanne M. Russell, Chapman and connection with certain services,
Cutler LLP, 111 West Monroe Street, THE MEETING: Friday, December 1, 2017.
transactions, and underwritings, (ii) CHANGES IN THE MEETING: The following
Chicago, IL 60603. excessive layering of fees, and (iii) matter will also be considered during
FOR FURTHER INFORMATION CONTACT: overly complex fund structures, which the 12 p.m. Closed Meeting scheduled
Laura L. Solomon, Senior Counsel, at are the concerns underlying the limits for Friday, December 1, 2017: Formal
(202) 551–6915 or David J. Marcinkus, in sections 12(d)(1)(A), (B), and (C) of orders of investigation.
Branch Chief, at (202) 551–6821 the Act.
(Division of Investment Management, CONTACT PERSON FOR MORE INFORMATION:
3. Section 12(d)(1)(J) of the Act
Chief Counsel’s Office). provides that the Commission may For further information and to ascertain
exempt any person, security, or what, if any, matters have been added,
SUPPLEMENTARY INFORMATION: The
transaction, or any class or classes of deleted or postponed, please contact the
following is a summary of the Office of the Secretary at (202) 551–
application. The complete application persons, securities, or transactions, from
any provision of section 12(d)(1) if the 5400.
may be obtained via the Commission’s
Web site by searching for the file exemption is consistent with the public Dated: November 29, 2017.
number, or for an applicant using the interest and the protection of investors. Brent J. Fields,
Company name box, at http:// Section 17(b) of the Act authorizes the Secretary.
www.sec.gov/search/search.htm, or by Commission to grant an order [FR Doc. 2017–26103 Filed 11–29–17; 4:15 pm]
calling (202) 551–8090. permitting a transaction otherwise BILLING CODE 8011–01–P
prohibited by section 17(a) if it finds
Summary of the Application that (a) the terms of the proposed
1. Applicants request an order to transaction are fair and reasonable and SECURITIES AND EXCHANGE
permit (a) a Series 1 to acquire shares of do not involve overreaching on the part COMMISSION
Underlying Funds 2 in excess of the of any person concerned; (b) the
proposed transaction is consistent with [Release No. 34–82156; File No. SR–OCC–
limits in sections 12(d)(1)(A) and (C) of 2017–019]
the Act and (b) the Underlying Funds the policies of each registered
that are registered open-end investment investment company involved; and (c) Self-Regulatory Organizations; The
companies, their principal underwriters the proposed transaction is consistent Options Clearing Corporation; Notice
and any broker or dealer registered with the general purposes of the Act. of Filing of a Proposed Rule Change,
under the Exchange Act to sell shares of Section 6(c) of the Act permits the as Modified by Amendment No. 1,
the Underlying Funds to the Series in Commission to exempt any persons or Concerning the Adoption of a New
excess of the limits in section transactions from any provision of the Minimum Cash Requirement for the
12(d)(1)(B) of the Act.3 Applicants also Clearing Fund
investment companies that are not listed and traded
on a national securities exchange. November 27, 2017.
1 Applicants request that the order apply to each 4 A Series generally would purchase and sell
existing and future series of the Trust and to any shares of an Underlying Fund that operates as an
Pursuant to Section 19(b)(1) of the
future registered UIT and series thereof sponsored ETF through secondary market transactions rather Securities Exchange Act of 1934
by Ausdal or an entity controlling, controlled by or
under common control with Ausdal (the ‘‘Series’’).
than through principal transactions with the (‘‘Act’’) 1 and Rule 19b–4 thereunder 2
sradovich on DSK3GMQ082PROD with NOTICES
Underlying Fund. Applicants nevertheless request notice is hereby given that on November
2 Certain of the Underlying Funds may be
relief from section 17(a) to permit a Series to
registered as an open-end investment company or purchase or redeem shares from the ETF. A Series 14, 2017, The Options Clearing
a UIT, but have received exemptive relief from the will purchase and sell shares of an Underlying Corporation (‘‘OCC’’) filed with the
Commission to permit their shares to be listed and Fund that is a closed-end fund through secondary Securities and Exchange Commission
traded on a national securities exchange at market transactions at market prices rather than
negotiated prices and to operate as exchange-traded (‘‘Commission’’) the proposed rule
through principal transactions with the closed-end
funds (‘‘ETFs’’). fund. Accordingly, applicants are not requesting
3 Applicants do not request relief for the Series to 1 15 U.S.C. 78s(b)(1).
section 17(a) relief with respect to transactions in
invest in reliance on the order in closed-end shares of closed-end funds. 2 17 CFR 240.19b–4.
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Document Created: 2018-10-25 10:44:16
Document Modified: 2018-10-25 10:44:16
| 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 | 82 FR 57015 |
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