82 FR 58468 - Proposed Collection; Comment Request
SECURITIES AND EXCHANGE COMMISSION Federal Register Volume 82, Issue 237 (December 12, 2017)
Federal Register Volume 82, Issue 237 (December 12, 2017)
| Page Range | 58468-58469 | |
| FR Document | 2017-26671 |
[Federal Register Volume 82, Number 237 (Tuesday, December 12, 2017)] [Notices] [Pages 58468-58469] From the Federal Register Online [www.thefederalregister.org] [FR Doc No: 2017-26671] ----------------------------------------------------------------------- SECURITIES AND EXCHANGE COMMISSION 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: Form 2-E under Rule 609, SEC File No. 270-222, OMB Control No. 3235-0233 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 (the ``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 (``OMB'') for extension and approval. Rule 609 (17 CFR 230.609) under the Securities Act of 1933 (15 U.S.C. 77a et seq.) requires small business investment companies and business development companies that have engaged in offerings of securities that are exempt from registration pursuant to Regulation E under the Securities Act of 1933 (17 CFR 230.601 to 610a) to report semi-annually on Form 2-E (17 CFR 239.201) the progress of the offering. The form solicits information such as the dates an offering commenced and was completed (if completed), the number of shares sold and still being offered, amounts received in the offering, and expenses [[Page 58469]] and underwriting discounts incurred in the offering. The information provided on Form 2-E assists the staff in monitoring the progress of the offering and in determining whether the offering has stayed within the limits set for an offering exempt under Regulation E. There has not been a Form 2-E filing since calendar year 2010, when there was one filing of Form 2-E by one respondent. The Commission has previously estimated that the total annual burden associated with information collection and Form 2-E preparation and submission is four hours per filing. Although there have been no filings made under this rule since 2010, we are requesting one annual response and an annual burden of one hour for administrative purposes. Estimates of average burden hours are made solely for the purposes of the Paperwork Reduction Act and are not derived from a comprehensive or even representative survey or study of the costs of Commission rules and forms. The collection of information under rule 609 and Form 2-E is mandatory. The information provided under rule 609 and Form 2-E will not be kept confidential. 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 OMB control number. Written comments are invited on: (a) Whether the 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 of 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. Please direct your written comments 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: December 6, 2017. Eduardo A. Aleman, Assistant Secretary. [FR Doc. 2017-26671 Filed 12-11-17; 8:45 am] BILLING CODE 8011-01-P
![58468 Federal Register / Vol. 82, No. 237 / Tuesday, December 12, 2017 / Notices
The proposed changes will also 19(b)(3)(A) 16 of the Act and Washington, DC 20549 on official
enhance competition by making it more subparagraph (f)(2) of Rule 19b–4 17 business days between the hours of
cost effective for Users that purchase a thereunder. At any time within 60 days 10:00 a.m. and 3:00 p.m. Copies of the
Partial Cabinet Solution bundle to of the filing of such proposed rule filing also will be available for
utilize co-location by creating a change, the Commission summarily may inspection and copying at the principal
convenient way to create a colocation temporarily suspend such rule change if office of the Exchange. All comments
environment, through Partial Cabinet it appears to the Commission that such received will be posted without change.
Solution bundles with options with action is necessary or appropriate in the Persons submitting comments are
respect to cabinet footprint and network public interest, for the protection of cautioned that we do not redact or edit
connections at a reduced MRC for the investors, or otherwise in furtherance of personal identifying information from
first 24 months. Such Users may choose the purposes of the Act. If the comment submissions. You should
to pass on such cost savings to their Commission takes such action, the submit only information that you wish
customers. Commission shall institute proceedings to make available publicly. All
The Exchange operates in a highly under Section 19(b)(2)(B) 18 of the Act to submissions should refer to File
competitive market in which exchanges determine whether the proposed rule Number SR–NYSEAMER–2017–35 and
change should be approved or should be submitted on or before
offer co-location services as a means to
disapproved. January 2, 2018.
facilitate the trading and other market
activities of those market participants IV. Solicitation of Comments For the Commission, by the Division of
who believe that co-location enhances Trading and Markets, pursuant to delegated
Interested persons are invited to authority.19
the efficiency of their operations.
submit written data, views, and Eduardo A. Aleman,
Accordingly, fees charged for co-
arguments concerning the foregoing, Assistant Secretary.
location services are constrained by the
including whether the proposed rule [FR Doc. 2017–26686 Filed 12–11–17; 8:45 am]
active competition for the order flow of,
change is consistent with the Act.
and other business from, such market BILLING CODE 8011–01–P
Comments may be submitted by any of
participants. If a particular exchange
the following methods:
charges excessive fees for co-location
services, affected market participants Electronic Comments SECURITIES AND EXCHANGE
will opt to terminate their co-location COMMISSION
• Use the Commission’s internet
arrangements with that exchange, and comment form (http://www.sec.gov/ Proposed Collection; Comment
adopt a possible range of alternative rules/sro.shtml); or Request
strategies, including placing their • Send an email to rule-comments@
servers in a physically proximate sec.gov. Please include File Number SR– Upon Written Request, Copies Available
location outside the exchange’s data NYSEAMER–2017–35 on the subject From: Securities and Exchange
center (which could be a competing line. Commission, Office of FOIA Services,
exchange), or pursuing strategies less 100 F Street NE, Washington, DC
dependent upon the lower exchange-to- Paper Comments 20549–2736.
participant latency associated with co- • Send paper comments in triplicate Extension:
location. Accordingly, the exchange to Secretary, Securities and Exchange Form 2–E under Rule 609, SEC File No.
charging excessive fees would stand to Commission, 100 F Street NE, 270–222, OMB Control No. 3235–0233
lose not only co-location revenues but Washington, DC 20549–1090. Notice is hereby given that, pursuant
also the liquidity of the formerly co- All submissions should refer to File to the Paperwork Reduction Act of 1995
located trading firms, which could have Number SR–NYSEAMER–2017–35. This (44 U.S.C. 3501 et seq.), the Securities
additional follow-on effects on the file number should be included on the and Exchange Commission (the
market share and revenue of the affected subject line if email is used. To help the ‘‘Commission’’) is soliciting comments
exchange. In such an environment, the Commission process and review your on the collection of information
Exchange must continually review, and comments more efficiently, please use summarized below. The Commission
consider adjusting, its services and only one method. The Commission will plans to submit this existing collection
related fees and credits to remain post all comments on the Commission’s of information to the Office of
competitive with other exchanges. internet website (http://www.sec.gov/ Management and Budget (‘‘OMB’’) for
For the reasons described above, the rules/sro.shtml). Copies of the extension and approval.
Exchange believes that the proposed submission, all subsequent Rule 609 (17 CFR 230.609) under the
rule changes reflect this competitive amendments, all written statements Securities Act of 1933 (15 U.S.C. 77a et
environment. with respect to the proposed rule seq.) requires small business investment
change that are filed with the companies and business development
C. Self-Regulatory Organization’s Commission, and all written companies that have engaged in
Statement on Comments on the communications relating to the offerings of securities that are exempt
Proposed Rule Change Received From proposed rule change between the from registration pursuant to Regulation
Members, Participants, or Others Commission and any person, other than E under the Securities Act of 1933 (17
No written comments were solicited those that may be withheld from the CFR 230.601 to 610a) to report semi-
or received with respect to the proposed public in accordance with the annually on Form 2–E (17 CFR 239.201)
provisions of 5 U.S.C. 552, will be the progress of the offering. The form
ethrower on DSK3G9T082PROD with NOTICES
rule change.
available for website viewing and solicits information such as the dates an
III. Date of Effectiveness of the printing in the Commission’s Public offering commenced and was completed
Proposed Rule Change and Timing for Reference Room, 100 F Street NE, (if completed), the number of shares
Commission Action sold and still being offered, amounts
16 15 U.S.C. 78s(b)(3)(A). received in the offering, and expenses
The foregoing rule change has become 17 17 CFR 240.19b–4(f)(2).
effective pursuant to Section 18 15 U.S.C. 78s(b)(2)(B). 19 17 CFR 200.30–3(a)(12).
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![Federal Register / Vol. 82, No. 237 / Tuesday, December 12, 2017 / Notices 58469
and underwriting discounts incurred in SECURITIES AND EXCHANGE should be received by the Commission
the offering. The information provided COMMISSION by 5:30 p.m. on January 2, 2018, and
on Form 2–E assists the staff in should be accompanied by proof of
[Investment Company Act Release No.
monitoring the progress of the offering 32935; 812–14820]
service on applicants, in the form of an
and in determining whether the offering affidavit, or for lawyers, a certificate of
has stayed within the limits set for an Calvert Research and Management and service. Pursuant to rule 0–5 under the
offering exempt under Regulation E. Calvert ETF Trust Act, hearing requests should state the
There has not been a Form 2–E filing nature of the writer’s interest, any facts
December 6, 2017. bearing upon the desirability of a
since calendar year 2010, when there
was one filing of Form 2–E by one AGENCY: Securities and Exchange hearing on the matter, the reason for the
respondent. The Commission has Commission (‘‘Commission’’). request, and the issues contested.
previously estimated that the total ACTION: Notice. Persons who wish to be notified of a
annual burden associated with hearing may request notification by
Notice of an application for an order writing to the Commission’s Secretary.
information collection and Form 2–E under section 6(c) of the Investment
preparation and submission is four Company Act of 1940 (the ‘‘Act’’) for an ADDRESSES: Secretary, Securities and
hours per filing. Although there have exemption from sections 2(a)(32), Exchange Commission, 100 F Street NE,
been no filings made under this rule 5(a)(1), 22(d), and 22(e) of the Act and Washington, DC 20549–1090;
since 2010, we are requesting one rule 22c–1 under the Act, under Applicants: 1825 Connecticut Avenue
annual response and an annual burden sections 6(c) and 17(b) of the Act for an NW, Suite 400, Washington, DC 20009.
of one hour for administrative purposes. exemption from sections 17(a)(1) and FOR FURTHER INFORMATION CONTACT:
Estimates of average burden hours are 17(a)(2) of the Act, and under section Courtney S. Thornton, Senior Counsel,
made solely for the purposes of the 12(d)(1)(J) for an exemption from at (202) 551–6821, or Robert H. Shapiro,
Paperwork Reduction Act and are not sections 12(d)(1)(A) and 12(d)(1)(B) of Branch Chief, at (202) 551–6821
derived from a comprehensive or even the Act. The requested order would (Division of Investment Management,
representative survey or study of the permit (a) index-based series of certain Chief Counsel’s Office).
costs of Commission rules and forms. open-end management investment
The collection of information under rule SUPPLEMENTARY INFORMATION: The
companies (‘‘Funds’’) to issue shares
609 and Form 2–E is mandatory. The following is a summary of the
redeemable in large aggregations only
information provided under rule 609 application. The complete application
(‘‘Creation Units’’); (b) secondary market
and Form 2–E will not be kept may be obtained via the Commission’s
transactions in Fund shares to occur at
confidential. An agency may not website by searching for the file
negotiated market prices rather than at
conduct or sponsor, and a person is not number, or for an applicant using the
net asset value (‘‘NAV’’); (c) certain
required to respond to, a collection of Company name box, at http://
Funds to pay redemption proceeds,
information unless it displays a www.sec.gov/search/search.htm or by
under certain circumstances, more than
currently valid OMB control number. calling (202) 551–8090.
seven days after the tender of shares for
Written comments are invited on: (a) redemption; (d) certain affiliated Summary of the Application
Whether the proposed collection of persons of a Fund to deposit securities
into, and receive securities from, the 1. Applicants request an order that
information is necessary for the proper would allow Funds to operate as index
performance of the functions of the Fund in connection with the purchase
and redemption of Creation Units; and exchange traded funds (‘‘ETFs’’).1 Fund
agency, including whether the shares will be purchased and redeemed
information will have practical utility; (e) certain registered management
investment companies and unit at their NAV in Creation Units only. All
(b) the accuracy of the agency’s estimate orders to purchase Creation Units and
of the burden of the collection of investment trusts outside of the same
group of investment companies as the all redemption requests will be placed
information; (c) ways to enhance the by or through an ‘‘Authorized
quality, utility, and clarity of the Funds (‘‘Funds of Funds’’) to acquire
shares of the Funds. Participant’’, which will have signed a
information collected; and (d) ways to participant agreement with the
minimize the burden of the collection of APPLICANTS: Calvert Research and
Distributor. Shares will be listed and
information on respondents, including Management (the ‘‘Initial Adviser’’), a traded individually on a national
through the use of automated collection Massachusetts business trust, that is securities exchange, where share prices
techniques or other forms of information registered as an investment adviser will be based on the current bid/offer
technology. Consideration will be given under the Investment Advisers Act of market. Any order granting the
to comments and suggestions submitted 1940 and Calvert ETF Trust (the requested relief would be subject to the
in writing within 60 days of this ‘‘Trust’’), a Massachusetts business trust
publication. that intends to register under the Act as 1 Applicants request that the order apply to the
Please direct your written comments an open-end management investment new series of the Trust, any additional series of the
to Pamela Dyson, Director/Chief company with multiple series. Trust, and any other open-end management
FILING DATE: The application was filed investment company or series thereof (each,
Information Officer, Securities and included in the term ‘‘Fund’’), each of which will
Exchange Commission, C/O Remi on September 20, 2017 and amended on operate as an ETF and will track a specified index
Pavlik-Simon, 100 F Street NE, November 14, 2017. comprised of domestic or foreign equity and/or
Washington, DC 20549; or send an email HEARING OR NOTIFICATION OF HEARING: An fixed income securities (each, an ‘‘Underlying
ethrower on DSK3G9T082PROD with NOTICES
Index’’). Any Fund will (a) be advised by the Initial
to: PRA_Mailbox@sec.gov. order granting the requested relief will Adviser or an entity controlling, controlled by, or
Dated: December 6, 2017.
be issued unless the Commission orders under common control with the Initial Adviser or
a hearing. Interested persons may any successor thereto (each, an ‘‘Adviser’’) and (b)
Eduardo A. Aleman, request a hearing by writing to the comply with the terms and conditions of the
Assistant Secretary. application. For purposes of the requested Order,
Commission’s Secretary and serving ‘‘successor’’ is limited to an entity that results from
[FR Doc. 2017–26671 Filed 12–11–17; 8:45 am] applicants with a copy of the request, a reorganization into another jurisdiction or a
BILLING CODE 8011–01–P personally or by mail. Hearing requests change in the type of business organization.
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Document Created: 2018-10-25 10:48:20
Document Modified: 2018-10-25 10:48:20
| 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 58468 |
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