Sunshine Act Meeting, 4591 [2012-2034]

Download as PDF Federal Register / Vol. 77, No. 19 / Monday, January 30, 2012 / Notices A. DSC Relief and Exchange and Rollover Options emcdonald on DSK29S0YB1PROD with NOTICES 1. Whenever the Exchange Option or the Rollover Option is to be terminated or its terms are to be amended materially, any holder of a security subject to that privilege will be given prominent notice of the impending termination or amendment at least 60 days prior to the date of termination or the effective date of the amendment, provided that: (a) No such notice need be given if the only material effect of an amendment is to reduce or eliminate the sales charge payable at the time of an exchange, to add one or more new Series eligible for the Exchange Option or the Rollover Option, or to delete a Series which has terminated; and (b) no notice need be given if, under extraordinary circumstances, either (i) there is a suspension of the redemption of Units of the Series under section 22(e) of the Act and the rules and regulations promulgated thereunder, or (ii) a Series temporarily delays or ceases the sale of its Units because it is unable to invest amounts effectively in accordance with applicable investment objectives, policies and restrictions. 2. An investor who purchases Units under the Exchange Option or the Rollover Option will pay a lower sales charge than that which would be paid for the Units by a new investor. 3. The prospectus of each Series offering exchanges or rollovers and any sales literature or advertising that mentions the existence of the Exchange Option or Rollover Option will disclose that the Exchange Option and the Rollover Option are subject to modification, termination or suspension without notice, except in certain limited cases. 4. Any DSC imposed on a Series’ Units will comply with the requirements of subparagraphs (1), (2) and (3) of rule 6c–10(a) under the Act. 5. Each Series offering Units subject to a DSC will include in its prospectus the disclosure required by Form N–1A relating to deferred sales charges (modified as appropriate to reflect the differences between UITs and open-end management investment companies) and a schedule setting forth the number and date of each Installment Payment. B. Net Worth Requirement For the Commission, by the Division of Investment Management, under delegated authority. Kevin M. O’Neill, Deputy Secretary. 15:09 Jan 27, 2012 BILLING CODE 8011–01–P SECURITIES AND EXCHANGE COMMISSION [Release No. 34–66213; File No. SR–CBOE– 2012–009] Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to the Appointments in Hybrid 3.0 Classes Sunshine Act Meeting January 23, 2012. Notice is hereby given, pursuant to the provisions of the Government in the Sunshine Act, Public Law 94–409, that the Securities and Exchange Commission Advisory Committee on Small and Emerging Companies will hold a public meeting on Wednesday, February 1, 2012, in Multi-Purpose Room LL–006 at the Commission’s headquarters, 100 F Street NE., Washington, DC. The meeting will begin at 10 a.m. (EST) and will be open to the public. Seating will be on a first-come, first-served basis. Doors will open at 9:30 a.m. Visitors will be subject to security checks. The meeting will be webcast on the Commission’s Web site at www.sec.gov. Commissioner Walter, as duty officer, determined that no earlier notice thereof was possible. On January 10, 2012, the Commission published notice of the Committee meeting (Release No. 33–9293), indicating that the meeting is open to the public and inviting the public to submit written comments to the Committee. This Sunshine Act notice is being issued because a majority of the Commission may attend the meeting. The agenda for the meeting includes consideration of recommendations and other matters relating to rules and regulations affecting small and emerging companies under the federal securities laws. For further information, please contact the Office of the Secretary at (202) 551–5400. Dated: January 26, 2012. Elizabeth M. Murphy, Secretary. [FR Doc. 2012–2034 Filed 1–26–12; 4:15 pm] BILLING CODE 8011–01–P Jkt 226001 SECURITIES AND EXCHANGE COMMISSION [FR Doc. 2012–1893 Filed 1–27–12; 8:45 am] 1. Applicants will comply in all respects with the requirements of rule 14a–3 under the Act, except that the Equity Series will not restrict their portfolio investments to ‘‘eligible trust securities.’’ VerDate Mar<15>2010 4591 PO 00000 Frm 00051 Fmt 4703 Sfmt 4703 Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (the ‘‘Act’’),1 and Rule 19b–4 thereunder,2 notice is hereby given that on January 17, 2012, the Chicago Board Options Exchange, Incorporated (‘‘Exchange’’ or ‘‘CBOE’’) 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 Exchange has designated the proposal as a ‘‘noncontroversial’’ proposed rule change pursuant to Section 19(b)(3)(A) of the Act 3 and Rule 19b–4(f)(6) thereunder.4 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 the Substance of the Proposed Rule Change The Exchange proposes to amend its rules relating to Lead Market-Maker (‘‘LMM’’) and Supplemental MarketMaker (‘‘SMM’’) appointments in Hybrid 3.0 classes.5 The text of the proposed rule change is available on the Exchange’s Web site (www.cboe.org/ Legal), at the Exchange’s Office of the Secretary and at the Commission. 1 15 U.S.C. 78s(b)(1). CFR 240.19b–4. 3 15 U.S.C. 78s(b)(3)(A). 4 17 CFR 240.19b–4(f)(6). 5 ‘‘Hybrid Trading System’’ refers to the Exchange’s trading platform that allows MarketMakers to submit electronic quotes in their appointed classes. ‘‘Hybrid 3.0 Platform’’ is an electronic trading platform on the Hybrid Trading System that allows one or more quoters to submit electronic quotes which represent the aggregate Market-Maker quoting interest in a series for the trading crowd. Classes authorized by the Exchange for trading on the Hybrid Trading System are referred to as ‘‘Hybrid classes.’’ Classes authorized by the Exchange for trading on the Hybrid 3.0 Platform are referred to as ‘‘Hybrid 3.0 classes.’’ References to ‘‘Hybrid,’’ ‘‘Hybrid System,’’ or ‘‘Hybrid Trading System’’ in the Exchange’s Rules include all platforms unless otherwise provided by rule. See Rule 1.1(aaa). 2 17 E:\FR\FM\30JAN1.SGM 30JAN1

Agencies

[Federal Register Volume 77, Number 19 (Monday, January 30, 2012)]
[Notices]
[Page 4591]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: 2012-2034]


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SECURITIES AND EXCHANGE COMMISSION


Sunshine Act Meeting

    Notice is hereby given, pursuant to the provisions of the 
Government in the Sunshine Act, Public Law 94-409, that the Securities 
and Exchange Commission Advisory Committee on Small and Emerging 
Companies will hold a public meeting on Wednesday, February 1, 2012, in 
Multi-Purpose Room LL-006 at the Commission's headquarters, 100 F 
Street NE., Washington, DC. The meeting will begin at 10 a.m. (EST) and 
will be open to the public. Seating will be on a first-come, first-
served basis. Doors will open at 9:30 a.m. Visitors will be subject to 
security checks. The meeting will be webcast on the Commission's Web 
site at www.sec.gov.
    Commissioner Walter, as duty officer, determined that no earlier 
notice thereof was possible.
    On January 10, 2012, the Commission published notice of the 
Committee meeting (Release No. 33-9293), indicating that the meeting is 
open to the public and inviting the public to submit written comments 
to the Committee. This Sunshine Act notice is being issued because a 
majority of the Commission may attend the meeting.
    The agenda for the meeting includes consideration of 
recommendations and other matters relating to rules and regulations 
affecting small and emerging companies under the federal securities 
laws.
    For further information, please contact the Office of the Secretary 
at (202) 551-5400.

    Dated: January 26, 2012.
Elizabeth M. Murphy,
Secretary.
[FR Doc. 2012-2034 Filed 1-26-12; 4:15 pm]
BILLING CODE 8011-01-P
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