83 FR 46768 - Sunshine Act Meetings
SECURITIES AND EXCHANGE COMMISSION Federal Register Volume 83, Issue 179 (September 14, 2018)
Federal Register Volume 83, Issue 179 (September 14, 2018)
| Page Range | 46768-46768 | |
| FR Document | 2018-20179 |
[Federal Register Volume 83, Number 179 (Friday, September 14, 2018)] [Notices] [Page 46768] From the Federal Register Online [www.thefederalregister.org] [FR Doc No: 2018-20179] ----------------------------------------------------------------------- SECURITIES AND EXCHANGE COMMISSION Sunshine Act Meetings TIME AND DATE: Notice is hereby given, pursuant to the provisions of the Government in the Sunshine Act, Public Law 94-409, that a public roundtable will be held in Baltimore, MD on Thursday, September 20, 2018 from 6:00-7:30 p.m. (ET). PLACE: The roundtable will be held at the Reginald F. Lewis Museum of Maryland African American History & Culture, 830 E Pratt Street, Baltimore, MD 21202. STATUS: The roundtable will be open to the public. Seating for public observers will be on a first-come, first-served basis. Doors will open at 5:30 p.m. and the event will begin at 6:00 p.m. Visitors will be subject to security checks. A transcript of the roundtable will be made available in the comment file for the Commission's proposed rulemaking package regarding the standards of conduct for investment professionals. MATTERS TO BE CONSIDERED: On April 18, 2018, the Commission voted to propose a package of rulemakings and interpretations designed to enhance the quality and transparency of investors' relationships with investment advisers and broker-dealers while preserving access to a variety of types of advice relationships and investment products. On April 24, 2018, Chairman Jay Clayton issued a statement announcing that he had asked SEC staff to put together a series of roundtables focused on the retail investor to be held in different cities across the country. The roundtables are intended to gather information directly from those investors most affected by the Commission's rulemaking. The Baltimore roundtable is open to the public. This Sunshine Act notice is being issued because a quorum of the Commission may attend the roundtable. The agenda for the meeting includes a discussion with Chairman Clayton, Commissioners Kara Stein, Robert Jackson and Elad Roisman, and senior SEC staff regarding the Commission's proposed Regulation Best Interest and the proposed restriction on the use of certain names or titles; a discussion regarding the Commission's proposed Form CRS Relationship Summary, including effective disclosure and design. CONTACT PERSON FOR MORE INFORMATION: For further information, please contact Brent J. Fields from the Office of the Secretary at (202) 551- 5400. Dated: September 12, 2018. Brent J. Fields, Secretary. [FR Doc. 2018-20179 Filed 9-12-18; 4:15 pm] BILLING CODE 8011-01-P
![46768 Federal Register / Vol. 83, No. 179 / Friday, September 14, 2018 / Notices
For the Commission, by the Division of certain names or titles; a discussion open-end management investment
Trading and Markets, pursuant to delegated regarding the Commission’s proposed company with multiple series, and
authority.22 Form CRS Relationship Summary, Wealthn LLC (the ‘‘Initial Adviser’’), a
Eduardo A. Aleman, including effective disclosure and Delaware limited liability company,
Assistant Secretary. design. which will register as an investment
[FR Doc. 2018–19970 Filed 9–13–18; 8:45 am] CONTACT PERSON FOR MORE INFORMATION: adviser under the Investment Advisers
BILLING CODE 8011–01–P For further information, please contact Act of 1940.
Brent J. Fields from the Office of the FILING DATES: The application was filed
Secretary at (202) 551–5400. on June 11, 2018 and amended on
SECURITIES AND EXCHANGE August 15, 2018.
Dated: September 12, 2018.
COMMISSION
Brent J. Fields, HEARING OR NOTIFICATION OF HEARING: An
Sunshine Act Meetings Secretary. order granting the requested relief will
[FR Doc. 2018–20179 Filed 9–12–18; 4:15 pm]
be issued unless the Commission orders
TIME AND DATE: Notice is hereby given, a hearing. Interested persons may
BILLING CODE 8011–01–P
pursuant to the provisions of the request a hearing by writing to the
Government in the Sunshine Act, Public Commission’s Secretary and serving
Law 94–409, that a public roundtable SECURITIES AND EXCHANGE applicants with a copy of the request,
will be held in Baltimore, MD on COMMISSION personally or by mail. Hearing requests
Thursday, September 20, 2018 from should be received by the Commission
6:00–7:30 p.m. (ET). [Investment Company Act Release No. by 5:30 p.m. on October 8, 2018, and
33223; 812–14919] should be accompanied by proof of
PLACE: The roundtable will be held at
the Reginald F. Lewis Museum of service on applicants, in the form of an
Wealthn LLC and TigerShares Trust
Maryland African American History & affidavit, or for lawyers, a certificate of
Culture, 830 E Pratt Street, Baltimore, September 11, 2018. service. Pursuant to rule 0–5 under the
MD 21202. AGENCY: Securities and Exchange Act, hearing requests should state the
STATUS: The roundtable will be open to Commission (‘‘Commission’’). nature of the writer’s interest, any facts
the public. Seating for public observers ACTION: Notice. bearing upon the desirability of a
will be on a first-come, first-served hearing on the matter, the reason for the
basis. Doors will open at 5:30 p.m. and Notice of an application for an order request, and the issues contested.
the event will begin at 6:00 p.m. Visitors under section 6(c) of the Investment Persons who wish to be notified of a
will be subject to security checks. A Company Act of 1940 (the ‘‘Act’’) for an hearing may request notification by
transcript of the roundtable will be exemption from sections 2(a)(32), writing to the Commission’s Secretary.
made available in the comment file for 5(a)(1), 22(d), and 22(e) of the Act and ADDRESSES: Secretary, Securities and
the Commission’s proposed rulemaking rule 22c–1 under the Act, under Exchange Commission, 100 F Street, NE,
package regarding the standards of sections 6(c) and 17(b) of the Act for an Washington, DC 20549–1090;
conduct for investment professionals. exemption from sections 17(a)(1) and Applicants: 3532 Muirwood Drive,
MATTERS TO BE CONSIDERED: On April 18,
17(a)(2) of the Act, and under section Newtown Square, PA 19073.
2018, the Commission voted to propose 12(d)(1)(J) for an exemption from FOR FURTHER INFORMATION CONTACT:
a package of rulemakings and sections 12(d)(1)(A) and 12(d)(1)(B) of Laura L. Solomon, Senior Counsel, at
interpretations designed to enhance the the Act. The requested order would (202) 551–6915, or Kaitlin C. Bottock,
quality and transparency of investors’ permit (a) index-based series of certain Branch Chief, at (202) 551–6821
relationships with investment advisers open-end management investment (Division of Investment Management,
and broker-dealers while preserving companies (‘‘Funds’’) to issue shares Chief Counsel’s Office).
access to a variety of types of advice redeemable in large aggregations only
SUPPLEMENTARY INFORMATION: The
relationships and investment products. (‘‘Creation Units’’); (b) secondary market
transactions in Fund shares to occur at following is a summary of the
On April 24, 2018, Chairman Jay application. The complete application
Clayton issued a statement announcing negotiated market prices rather than at
net asset value (‘‘NAV’’); (c) certain may be obtained via the Commission’s
that he had asked SEC staff to put website by searching for the file
together a series of roundtables focused Funds to pay redemption proceeds,
under certain circumstances, more than number, or for an applicant using the
on the retail investor to be held in Company name box, at http://
different cities across the country. The seven days after the tender of shares for
redemption; (d) certain affiliated www.sec.gov/search/search.htm or by
roundtables are intended to gather calling (202) 551–8090.
information directly from those persons of a Fund to deposit securities
investors most affected by the into, and receive securities from, the Summary of the Application
Commission’s rulemaking. Fund in connection with the purchase 1. Applicants request an order that
The Baltimore roundtable is open to and redemption of Creation Units; (e) would allow Funds to operate as index
the public. This Sunshine Act notice is certain registered management exchange traded funds (‘‘ETFs’’).1 Fund
being issued because a quorum of the investment companies and unit
Commission may attend the roundtable. investment trusts outside of the same 1 Applicants request that the order apply to the
The agenda for the meeting includes group of investment companies as the Initial Fund and any additional series of the Trust,
a discussion with Chairman Clayton, Funds (‘‘Funds of Funds’’) to acquire and any other existing or future open-end
daltland on DSKBBV9HB2PROD with NOTICES
shares of the Funds; and (f) certain management investment company or existing or
Commissioners Kara Stein, Robert future series thereof (each, included in the term
Jackson and Elad Roisman, and senior Funds (‘‘Feeder Funds’’) to create and ‘‘Fund’’), each of which will operate as an ETF and
SEC staff regarding the Commission’s redeem Creation Units in-kind in a will track a specified index comprised of domestic
proposed Regulation Best Interest and master-feeder structure. and/or foreign equity securities and/or domestic
and/or foreign fixed income securities (each, an
the proposed restriction on the use of APPLICANTS: TigerShares Trust (the
‘‘Underlying Index’’). Any Fund will (a) be advised
‘‘Trust’’), a Delaware statutory trust, by the Initial Adviser or an entity controlling,
22 17 CFR 200.30–3(a)(12). which will register under the Act as an controlled by, or under common control with the
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Document Created: 2018-09-14 03:03:32
Document Modified: 2018-09-14 03:03:32
| 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 | |
| Dates | Notice is hereby given, pursuant to the provisions of the Government in the Sunshine Act, Public Law 94-409, that a public roundtable will be held in Baltimore, MD on Thursday, September 20, 2018 from 6:00-7:30 p.m. (ET). | |
| FR Citation | 83 FR 46768 |
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