Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 1940, 47278-47279 [2011-19810]

Download as PDF 47278 Federal Register / Vol. 76, No. 150 / Thursday, August 4, 2011 / Notices RETRIEVABILITY: RECORD ACCESS PROCEDURES: FOR FURTHER INFORMATION CONTACT: Records are retrievable by database management systems software designed to retrieve data elements based upon role-based (e.g., law enforcement or non-law enforcement) user access privileges. A request for record access shall follow the directions described under Notification Procedure and will be addressed to the system manager at the address listed above. To the extent a portion of this system contains law enforcement records, such records are exempt from this requirement pursuant to 5 U.S.C. 552a(j)(2) and (k)(2). To the extent that such law enforcement records are not subject to exemption, they are subject to access. A determination as to exemption shall be made at the time a request for access is received. Access requests shall be directed to the System Manager listed above. Jennifer Dure, General Counsel, Recovery Accountability and Transparency Board, 1717 Pennsylvania Avenue, NW., Suite 700, Washington, DC 20006, (202) 254–7900. SAFEGUARDS: The Board has minimized the risk of unauthorized access to the system by establishing a secure environment for exchanging electronic information. Physical access uses a defense in-depth approach restricting access at each layer closest to where the actual system resides. The entire complex is patrolled by security during non-business hours. Physical access to the data system housed within the facility is controlled by a computerized badge-reading system. Multiple levels of security are maintained via dual factor authentication for access using biometrics. The computer system offers a high degree of resistance to tampering and circumvention. This system limits data access to Board and contract staff on a need-to-know basis, and controls individuals’ ability to access and alter records within the system. All users of the system of records are given a unique user identification (ID) with personal identifiers, and those user IDs are consistent with the above referenced role-based access privileges to maintain proper security of law enforcement and any other sensitive information. All interactions between the system and the authorized individual users are recorded. RETENTION AND DISPOSAL: Board personnel will review records on a periodic basis to determine whether they should be retained or modified. Further, the Board will retain and dispose of these records in accordance with Board Records Control Schedules approved by the National Archives and Records Administration. SYSTEM MANAGER AND ADDRESS: Michael Wood, Recovery Accountability and Transparency Board, 1717 Pennsylvania Avenue, NW., Suite 700, Washington, DC 20006. sroberts on DSK5SPTVN1PROD with NOTICES NOTIFICATION PROCEDURE: Any individual who wants to know whether this system of records contains a record about him or her acting in a personal capacity, who wants access to such records, or who wants to contest the contents of such records should make a written request to the system manager. VerDate Mar<15>2010 17:29 Aug 03, 2011 Jkt 223001 CONTESTING RECORDS PROCEDURES: If you wish to contest a record in the system of records, contact the system manager and identify the record to be changed, identify the corrective action sought, and provide a written justification. RECORD SOURCE CATEGORIES: Information may be obtained from recipients and subrecipients (including vendors) of Recovery Act funds or other Federal funds for which the Board has been assigned oversight responsibilities; Federal, state, and local agencies; public-source and/or commercially available materials. DATES: Comments on this proposed new system of records must be received by the Board on or before September 13, 2011. The Privacy Act, at 5 U.S.C. 552a(e)(11), requires that the public be provided a 30-day period in which to comment on an agency’s intended use of information in a system of records. Appendix I to Office of Management and Budget Circular A–130 requires an additional 10-day period, for a total of 40 days, in which to make such comments. The system of records will be effective, as proposed, at the end of the comment period unless the Board determines, upon review of the comments received, that changes should be made. In that event, the Board will publish a revised notice in the Federal Register. ADDRESSES: Comments on the proposed new system of records should be clearly identified as such and may be submitted: By Mail or Hand Delivery: Jennifer Dure, General Counsel, Recovery Accountability and Transparency Board, 1717 Pennsylvania Avenue, NW., Suite 700, Washington, DC 20006; By Fax: (202) 254–7970; or By E-mail to the Board: comments@ratb.gov. PO 00000 Frm 00139 Fmt 4703 Sfmt 4703 Ivan J. Flores, Paralegal Specialist, Recovery Accountability and Transparency Board. [FR Doc. 2011–19714 Filed 8–3–11; 8:45 am] BILLING CODE 6821–15–P SECURITIES AND EXCHANGE COMMISSION [Release No. IC–29739] Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 1940 July 29, 2011. The following is a notice of applications for deregistration under section 8(f) of the Investment Company Act of 1940 for the month of July 2011. A copy of each application may be obtained via the Commission’s Web site by searching for the file number, or an applicant using the Company name box, at https://www.sec.gov/search/ search.htm or by calling (202) 551– 8090. An order granting each application will be issued unless the SEC orders a hearing. Interested persons may request a hearing on any application by writing to the SEC’s Secretary at the address below and serving the relevant applicant with a copy of the request, personally or by mail. Hearing requests should be received by the SEC by 5:30 p.m. on August 23, 2011, and should be accompanied by proof of service on the applicant, in the form of an affidavit or, for lawyers, a certificate of service. Hearing requests should state the nature of the writer’s interest, the reason for the request, and the issues contested. Persons who wish to be notified of a hearing may request notification by writing to the Secretary, U.S. Securities and Exchange Commission, 100 F Street, NE., Washington, DC 20549– 1090. For Further Information Contact: Diane L. Titus at (202) 551–6810, SEC, Division of Investment Management, Office of Investment Company Regulation, 100 F Street, NE., Washington, DC 20549–8010. Arrow Funds Trust [File No. 811–22325] Summary: Applicant seeks an order declaring that it has ceased to be an investment company. Applicant has never made a public offering of its E:\FR\FM\04AUN1.SGM 04AUN1 Federal Register / Vol. 76, No. 150 / Thursday, August 4, 2011 / Notices securities and does not propose to make a public offering or engage in business of any kind. Filing Date: The application was filed on July 20, 2011. Applicant’s Address: 2943 OlneySandy Spring Rd., Suite A, Olney, MD 20832. Highland Pharmaceutical Royalty Fund [File No. 811–22266] Summary: Applicant, a closed-end investment company, seeks an order declaring that it has ceased to be an investment company. Applicant has never made a public offering of its securities and does not propose to make a public offering or engage in business of any kind. Filing Dates: The application was filed on May 17, 2011, and amended on July 21, 2011. Applicant’s Address: NexBank Tower, 13455 Noel Rd., Suite 800, Dallas, TX 75240. Wells Fargo Family Office Fund I, LLC; Wells Fargo Family Office Master Fund, LLC; Wells Fargo Family Office Fund FW, LLC [File No. 811–22513]; [File No. 811–22514]; [File No. 811–22515] Summary: Each applicant, a closedend investment company, seeks an order declaring that it has ceased to be an investment company. Applicants have never made a public offering of their securities and do not propose to make a public offering or engage in business of any kind. Filing Dates: The applications were filed on May 23, 2011, and amended on July 15, 2011. Applicants’ Address: 333 Market St., 29th floor, MAC A0119–291, San Francisco, CA 94105. Prudential Investment Portfolios 11 sroberts on DSK5SPTVN1PROD with NOTICES [File No. 811–3264] Summary: Applicant seeks an order declaring that it has ceased to be an investment company. On May 3, 2011, applicant made a final liquidating distribution to its shareholders, based on net asset value. Expenses of $14,000 incurred in connection with the liquidation were borne by Prudential Investments LLC, applicant’s investment adviser. Filing Date: The application was filed on July 5, 2011. Applicant’s Address: Gateway Center Three, 100 Mulberry St., Newark, NJ 07102–4077. Embarcadero Funds, Inc. [File No. 811–9116] Summary: Applicant seeks an order declaring that it has ceased to be an VerDate Mar<15>2010 17:29 Aug 03, 2011 Jkt 223001 investment company. On January 25, 2011, applicant transferred the assets of its two remaining series, Embarcadero Absolute Return Fund and Embarcadero Market Neutral Fund, to Tanaka Growth Fund, a series of Tanaka Funds, Inc., based on net asset value. Expenses of $133,600 incurred in connection with the reorganization were paid by applicant and Tanaka Capital Management, Inc., investment adviser to the acquiring fund. Filing Date: The application was filed on July 8, 2011. Applicant’s Address: 3 Embarcadero Center, Suite 1120, San Francisco, CA 94111. BlackRock Global Financial Services Fund, Inc.; Global Financial Services Master LLC [File No. 811–9375]; [File No. 811–9633] Summary: Each applicant seeks an order declaring that it has ceased to be an investment company. On or about April 27, 2011, each applicant made a final liquidating distribution to its shareholders, based on net asset value. Expenses of approximately $8,606 incurred in connection with the liquidation of BlackRock Global Financial Services Fund, Inc. were paid by BlackRock Advisors, LLC, or its affiliates. Filing Date: The applications were filed on July 6, 2011. Applicants’ Address: 100 Bellevue Parkway, Wilmington, DE 19809. Pioneer Protected Principal Trust [File No. 811–21163] Summary: Applicant seeks an order declaring that it has ceased to be an investment company. On December 21, 2009, applicant made a liquidating distribution to its shareholders, based on net asset value. Expenses of approximately $25,878 incurred in connection with the liquidation were paid by applicant and Pioneer Investment Management, Inc., applicant’s investment adviser. Filing Date: The application was filed on June 24, 2011. Applicant’s Address: 60 State St., Boston, MA 02109. Special Situations Fund III, L.P. [File No. 811–8110] Summary: Applicant, a closed-end investment company, seeks an order declaring that it has ceased to be an investment company. On June 27, 2011, applicant made a final liquidating distribution to its shareholders, based on net asset value. Expenses of $82,500 incurred in connection with the liquidation were paid by applicant. PO 00000 Frm 00140 Fmt 4703 Sfmt 4703 47279 Filing Dates: The application was filed on September 17, 2009, and amended on December 11, 2009, and July 6, 2011. Applicant’s Address: 527 Madison Ave., Suite 2600, New York, NY 10022. For the Commission, by the Division of Investment Management, pursuant to delegated authority. Elizabeth M. Murphy, Secretary. [FR Doc. 2011–19810 Filed 8–3–11; 8:45 am] BILLING CODE 8011–01–P SECURITIES AND EXCHANGE COMMISSION [Release No. 34–64992; File No. SR–ISE– 2011–43] Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Fees and Rebates for Adding and Removing Liquidity July 29, 2011. Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (‘‘Act’’) 1 and Rule 19b-4 thereunder,2 notice is hereby given that, on July 19, 2011, the International Securities Exchange, LLC (the ‘‘Exchange’’ or ‘‘ISE’’) filed with the Securities and Exchange Commission (the ‘‘Commission’’) the proposed rule change as described in Items I and II below, which Items have been prepared by the Exchange. The Commission is publishing this notice to solicit comments on the proposed rule change from interested persons. I. Self-Regulatory Organization’s Statement of the Terms of Substance of the Proposed Rule Change The ISE is proposing to amend its transaction fees and rebates for adding and removing liquidity. The text of the proposed rule change is available on the Exchange’s Web site (https:// www.ise.com), at the principal office of the Exchange, and at the Commission’s Public Reference Room. II. Self-Regulatory Organization’s Statement of the Purpose of, and Statutory Basis for, the Proposed Rule Change In its filing with the Commission, the self-regulatory organization included statements concerning the purpose of, and basis for, the proposed rule change and discussed any comments it received on the proposed rule change. The text 1 15 2 17 E:\FR\FM\04AUN1.SGM U.S.C. 78s(b)(1). CFR 240.19b–4. 04AUN1

Agencies

[Federal Register Volume 76, Number 150 (Thursday, August 4, 2011)]
[Notices]
[Pages 47278-47279]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: 2011-19810]


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SECURITIES AND EXCHANGE COMMISSION

[Release No. IC-29739]


Notice of Applications for Deregistration Under Section 8(f) of 
the Investment Company Act of 1940

July 29, 2011.
    The following is a notice of applications for deregistration under 
section 8(f) of the Investment Company Act of 1940 for the month of 
July 2011. A copy of each application may be obtained via the 
Commission's Web site by searching for the file number, or an applicant 
using the Company name box, at https://www.sec.gov/search/search.htm or 
by calling (202) 551-8090. An order granting each application will be 
issued unless the SEC orders a hearing. Interested persons may request 
a hearing on any application by writing to the SEC's Secretary at the 
address below and serving the relevant applicant with a copy of the 
request, personally or by mail. Hearing requests should be received by 
the SEC by 5:30 p.m. on August 23, 2011, and should be accompanied by 
proof of service on the applicant, in the form of an affidavit or, for 
lawyers, a certificate of service. Hearing requests should state the 
nature of the writer's interest, the reason for the request, and the 
issues contested. Persons who wish to be notified of a hearing may 
request notification by writing to the Secretary, U.S. Securities and 
Exchange Commission, 100 F Street, NE., Washington, DC 20549-1090.
    For Further Information Contact: Diane L. Titus at (202) 551-6810, 
SEC, Division of Investment Management, Office of Investment Company 
Regulation, 100 F Street, NE., Washington, DC 20549-8010.

Arrow Funds Trust

[File No. 811-22325]

    Summary: Applicant seeks an order declaring that it has ceased to 
be an investment company. Applicant has never made a public offering of 
its

[[Page 47279]]

securities and does not propose to make a public offering or engage in 
business of any kind.
    Filing Date: The application was filed on July 20, 2011.
    Applicant's Address: 2943 Olney-Sandy Spring Rd., Suite A, Olney, 
MD 20832.

Highland Pharmaceutical Royalty Fund

[File No. 811-22266]

    Summary: Applicant, a closed-end investment company, seeks an order 
declaring that it has ceased to be an investment company. Applicant has 
never made a public offering of its securities and does not propose to 
make a public offering or engage in business of any kind.
    Filing Dates: The application was filed on May 17, 2011, and 
amended on July 21, 2011.
    Applicant's Address: NexBank Tower, 13455 Noel Rd., Suite 800, 
Dallas, TX 75240.

Wells Fargo Family Office Fund I, LLC; Wells Fargo Family Office Master 
Fund, LLC; Wells Fargo Family Office Fund FW, LLC

[File No. 811-22513]; [File No. 811-22514]; [File No. 811-22515]

    Summary: Each applicant, a closed-end investment company, seeks an 
order declaring that it has ceased to be an investment company. 
Applicants have never made a public offering of their securities and do 
not propose to make a public offering or engage in business of any 
kind.
    Filing Dates: The applications were filed on May 23, 2011, and 
amended on July 15, 2011.
    Applicants' Address: 333 Market St., 29th floor, MAC A0119-291, San 
Francisco, CA 94105.

Prudential Investment Portfolios 11

[File No. 811-3264]

    Summary: Applicant seeks an order declaring that it has ceased to 
be an investment company. On May 3, 2011, applicant made a final 
liquidating distribution to its shareholders, based on net asset value. 
Expenses of $14,000 incurred in connection with the liquidation were 
borne by Prudential Investments LLC, applicant's investment adviser.
    Filing Date: The application was filed on July 5, 2011.
    Applicant's Address: Gateway Center Three, 100 Mulberry St., 
Newark, NJ 07102-4077.

Embarcadero Funds, Inc.

[File No. 811-9116]

    Summary: Applicant seeks an order declaring that it has ceased to 
be an investment company. On January 25, 2011, applicant transferred 
the assets of its two remaining series, Embarcadero Absolute Return 
Fund and Embarcadero Market Neutral Fund, to Tanaka Growth Fund, a 
series of Tanaka Funds, Inc., based on net asset value. Expenses of 
$133,600 incurred in connection with the reorganization were paid by 
applicant and Tanaka Capital Management, Inc., investment adviser to 
the acquiring fund.
    Filing Date: The application was filed on July 8, 2011.
    Applicant's Address: 3 Embarcadero Center, Suite 1120, San 
Francisco, CA 94111.

BlackRock Global Financial Services Fund, Inc.; Global Financial 
Services Master LLC

[File No. 811-9375]; [File No. 811-9633]

    Summary: Each applicant seeks an order declaring that it has ceased 
to be an investment company. On or about April 27, 2011, each applicant 
made a final liquidating distribution to its shareholders, based on net 
asset value. Expenses of approximately $8,606 incurred in connection 
with the liquidation of BlackRock Global Financial Services Fund, Inc. 
were paid by BlackRock Advisors, LLC, or its affiliates.
    Filing Date: The applications were filed on July 6, 2011.
    Applicants' Address: 100 Bellevue Parkway, Wilmington, DE 19809.

Pioneer Protected Principal Trust

[File No. 811-21163]

    Summary: Applicant seeks an order declaring that it has ceased to 
be an investment company. On December 21, 2009, applicant made a 
liquidating distribution to its shareholders, based on net asset value. 
Expenses of approximately $25,878 incurred in connection with the 
liquidation were paid by applicant and Pioneer Investment Management, 
Inc., applicant's investment adviser.
    Filing Date: The application was filed on June 24, 2011.
    Applicant's Address: 60 State St., Boston, MA 02109.

Special Situations Fund III, L.P.

[File No. 811-8110]

    Summary: Applicant, a closed-end investment company, seeks an order 
declaring that it has ceased to be an investment company. On June 27, 
2011, applicant made a final liquidating distribution to its 
shareholders, based on net asset value. Expenses of $82,500 incurred in 
connection with the liquidation were paid by applicant.
    Filing Dates: The application was filed on September 17, 2009, and 
amended on December 11, 2009, and July 6, 2011.
    Applicant's Address: 527 Madison Ave., Suite 2600, New York, NY 
10022.

    For the Commission, by the Division of Investment Management, 
pursuant to delegated authority.
Elizabeth M. Murphy,
Secretary.
[FR Doc. 2011-19810 Filed 8-3-11; 8:45 am]
BILLING CODE 8011-01-P
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