Optimized Transportation Management, Inc.; Order of Suspension of Trading, 33793-33794 [2012-13933]

Download as PDF srobinson on DSK4SPTVN1PROD with NOTICES Federal Register / Vol. 77, No. 110 / Thursday, June 7, 2012 / Notices adopt procedures reasonably designed to monitor any purchases of securities by the Unaffiliated Underlying Fund in an Affiliated Underwriting once an investment by a Series in the securities of the Unaffiliated Underlying Fund exceeds the limit of section 12(d)(1)(A)(i) of the Act, including any purchases made directly from an Underwriting Affiliate. The board of the Unaffiliated Underlying Fund will review these purchases periodically, but no less frequently than annually, to determine whether the purchases were influenced by the investment by the Series in the Unaffiliated Underlying Fund. The board of the Unaffiliated Underlying Fund will consider, among other things: (a) Whether the purchases were consistent with the investment objectives and policies of the Unaffiliated Underlying Fund; (b) how the performance of securities purchased in an Affiliated Underwriting compares to the performance of comparable securities purchased during a comparable period of time in underwritings other than Affiliated Underwritings or to a benchmark such as a comparable market index; and (c) whether the amount of securities purchased by the Unaffiliated Underlying Fund in Affiliated Underwritings and the amount purchased directly from an Underwriting Affiliate have changed significantly from prior years. The board of the Unaffiliated Underlying Fund will take any appropriate actions based on its review, including, if appropriate, the institution of procedures designed to assure that purchases of securities in Affiliated Underwritings are in the best interests of shareholders. 7. An Unaffiliated Underlying Fund will maintain and preserve permanently in an easily accessible place a written copy of the procedures described in the preceding condition, and any modifications to such procedures, and will maintain and preserve for a period not less than six years from the end of the fiscal year in which any purchase in an Affiliated Underwriting occurred, the first two years in an easily accessible place, a written record of each purchase of securities in Affiliated Underwritings once an investment by a Series in the securities of the Unaffiliated Underlying Fund exceeds the limit of section 12(d)(1)(A)(i) of the Act, setting forth from whom the securities were acquired, the identity of the underwriting syndicate’s members, the terms of the purchase, and the information or materials upon which the determinations of the board of the VerDate Mar<15>2010 17:48 Jun 06, 2012 Jkt 226001 Unaffiliated Underlying Fund were made. 8. Before investing in an Unaffiliated Underlying Fund in excess of the limit in section 12(d)(1)(A)(i), each Series and the Unaffiliated Underlying Fund will execute a Participation Agreement stating, without limitation, that the Depositor and Trustee, and the board of directors or trustees of the Unaffiliated Underlying Fund and the investment adviser(s) to the Unaffiliated Underlying Fund, understand the terms and conditions of the order and agree to fulfill their responsibilities under the order. At the time of its investment in shares of an Unaffiliated Underlying Fund in excess of the limit in section 12(d)(1)(A)(i), a Series will notify the Unaffiliated Underlying Fund of the investment. At such time, the Series also will transmit to the Unaffiliated Underlying Fund a list of the names of each Series Affiliate and Underwriting Affiliate. The Series will notify the Unaffiliated Underlying Fund of any changes to the list of names as soon as reasonably practicable after a change occurs. The Unaffiliated Underlying Fund and the Series will maintain and preserve a copy of the order, the Participation Agreement, and the list with any updated information for the duration of the investment, and for a period not less than six years thereafter, the first two years in an easily accessible place. 9. Any sales charges and/or service fees charged with respect to Units of a Series will not exceed the limits applicable to a fund of funds as set forth in Rule 2830 of the NASD Conduct Rules. 10. No Fund will acquire securities of any other investment company or company relying on section 3(c)(1) or 3(c)(7) of the Act in excess of the limits contained in section 12(d)(1)(A) of the Act, except to the extent permitted by exemptive relief from the Commission permitting the Fund to purchase shares of other investment companies for shortterm cash management purposes. For the Commission, by the Division of Investment Management, pursuant to delegated authority. Kevin M. O’Neill, Deputy Secretary. [FR Doc. 2012–13769 Filed 6–6–12; 8:45 am] BILLING CODE 8011–01–P SECURITIES AND EXCHANGE COMMISSION Sunshine Act Meeting Notice is hereby given, pursuant to the provisions of the Government in the PO 00000 Frm 00091 Fmt 4703 Sfmt 4703 33793 Sunshine Act, Public Law 94–409, that the Securities and Exchange Commission Investor Advisory Committee will hold its inaugural meeting on Tuesday, June 12, 2012, in Multi-Purpose Room LL–006 at the Commission’s headquarters, 100 F Street NE., Washington, DC. The meeting will begin at 10:00 a.m. (EDT) 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. On May 14, 2012, the Commission issued notice of the Committee meeting (Release No. 33–9322), 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 introduction of the Committee members, remarks by the Chairman and Commissioners, discussion and approval of bylaws and charter, discussion of subcommittees, and election of officers. For further information, please contact the Office of the Secretary at (202) 551–5400. Dated: June 1, 2012. Kevin M. O’Neill, Deputy Secretary. [FR Doc. 2012–13965 Filed 6–5–12; 4:15 pm] BILLING CODE 8011–01–P SECURITIES AND EXCHANGE COMMISSION [File No. 500–1] Optimized Transportation Management, Inc.; Order of Suspension of Trading June 5, 2012. It appears to the Securities and Exchange Commission that there is a lack of current and accurate information concerning the securities of Optimized Transportation Management, Inc. (‘‘Optimized Transportation Management’’) because it has not filed a periodic report since it filed its Form 10–Q for the period ending September 30, 2010, filed on November 22, 2010. The Commission is of the opinion that the public interest and the protection of investors require a suspension of trading in the securities of Optimized Transportation Management. Therefore, it is ordered, pursuant to Section 12(k) of the Securities Exchange Act of 1934, E:\FR\FM\07JNN1.SGM 07JNN1 33794 Federal Register / Vol. 77, No. 110 / Thursday, June 7, 2012 / Notices that trading in the securities of Optimized Transportation Management is suspended for the period from 9:30 a.m. EDT on June 5, 2012, through 11:59 p.m. EDT on June 18, 2012. By the Commission. Jill M. Peterson, Assistant Secretary. [FR Doc. 2012–13933 Filed 6–5–12; 4:15 pm] BILLING CODE 8011–01–P SECURITIES AND EXCHANGE COMMISSION [File No. 500–1] Future Now Group, Inc., and Gammacan International, Inc.; Order of Suspension of Trading because it has not filed a periodic report since it filed its Form 10–Q for the period ending March 31, 2009, filed on May 20, 2009. The Commission is of the opinion that the public interest and the protection of investors require a suspension of trading in the securities of True Product. Therefore, it is ordered, pursuant to Section 12(k) of the Securities Exchange Act of 1934, that trading in the securities of True Product is suspended for the period from 9:30 a.m. EDT on June 5, 2012, through 11:59 p.m. EDT on June 18, 2012. By the Commission. Jill M. Peterson, Assistant Secretary. [FR Doc. 2012–13932 Filed 6–5–12; 4:15 pm] BILLING CODE 8011–01–P June 5, 2012. It appears to the Securities and Exchange Commission that there is a lack of current and accurate information concerning the securities of Future Now Group, Inc. because it has not filed any periodic reports since the period ended March 31, 2010. It appears to the Securities and Exchange Commission that there is a lack of current and accurate information concerning the securities of Gammacan International, Inc. because it has not filed any periodic reports since the period ended June 30, 2008. The Commission is of the opinion that the public interest and the protection of investors require a suspension of trading in the securities of the above-listed companies. Therefore, it is ordered, pursuant to Section 12(k) of the Securities Exchange Act of 1934, that trading in the securities of the above-listed companies is suspended for the period from 9:30 a.m. EDT on June 5, 2012, through 11:59 p.m. EDT on June 18, 2012. By the Commission. Jill M. Peterson, Assistant Secretary. [FR Doc. 2012–13931 Filed 6–5–12; 4:15 pm] BILLING CODE 8011–01–P srobinson on DSK4SPTVN1PROD with NOTICES True Product ID, Inc.; Order of Suspension of Trading June 5, 2012. It appears to the Securities and Exchange Commission that there is a lack of current and accurate information concerning the securities of True Product ID, Inc. (‘‘True Product’’) Jkt 226001 Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change To List and Trade Option Contracts Overlying 10 Shares of a Security For the Commission, by the Division of Trading and Markets, pursuant to delegated authority.7 Kevin M. O’Neill, Deputy Secretary. June 1, 2012. [FR Doc. 2012–13768 Filed 6–6–12; 8:45 am] On April 9, 2012, the International Securities Exchange, LLC (‘‘ISE’’) filed with the Securities and Exchange Commission (‘‘Commission’’), pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (‘‘Act’’) 1 and Rule 19b–4 thereunder,2 a proposed rule change to list and trade option contracts overlying 10 shares of a security. The proposed rule change was published for comment in the Federal Register on April 24, 2012.3 The Commission received four comment letters on the proposal.4 Section 19(b)(2) of the Act 5 provides that, within 45 days of the publication of notice of the filing of a proposed rule change, or within such longer period up BILLING CODE 8011–01–P U.S.C. 78s(b)(1). CFR 240.19b–4. 3 See Securities Exchange Act Release No. 66827 (April 18, 2012), 77 FR 24547. 4 See letters to Elizabeth M. Murphy, Secretary, Commission, from Christopher Nagy, Managing Director Order Routing & Market Data Strategy, TD Ameritrade, Inc., dated April 30, 2012; Edward T. Tilly, President and Chief Operating Officer, Chicago Board Options Exchange, Incorporated, dated April 30, 2012; Manisha Kimmel, Executive Director, Financial Information Forum, dated April 30, 2012; and Joan Conley, Senior Vice President & Corporate Secretary, The NASDAQ OMX Group, Inc., dated April 30, 2012. 5 15 U.S.C. 78s(b)(2). 2 17 [File No. 500–1] 17:48 Jun 06, 2012 [Release No. 34–67097; File No. SR–ISE– 2012–26] 1 15 SECURITIES AND EXCHANGE COMMISSION VerDate Mar<15>2010 SECURITIES AND EXCHANGE COMMISSION to 90 days as the Commission may designate if it finds such longer period to be appropriate and publishes its reasons for so finding or as to which the self-regulatory organization consents, the Commission shall either approve the proposed rule change, disapprove the proposed rule change, or institute proceedings to determine whether the proposed rule change should be disapproved. The 45th day for this filing is June 8, 2012. The Commission is extending this 45-day time period. The Commission finds that it is appropriate to designate a longer period within which to take action on the proposed rule change so that it has sufficient time to consider the proposed rule change, the comment letters received, and any response to the comment letters submitted by ISE. Accordingly, the Commission, pursuant to Section 19(b)(2) of the Act,6 designates July 23, 2012 as the date by which the Commission should either approve or disapprove, or institute proceedings to determine whether to disapprove, the proposed rule change (File No. SR–ISE–2012–26). PO 00000 Frm 00092 Fmt 4703 Sfmt 4703 SECURITIES AND EXCHANGE COMMISSION [Release No. 34–67095; File No. SR–OCC– 2012–08] Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing of Proposed Rule Change Relating to Amendments to Certain Rules Applicable to Stock Futures June 1, 2012. 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 May 24, 2012, The Options Clearing Corporation (‘‘OCC’’) filed with the Securities and Exchange Commission (‘‘Commission’’) the proposed rule change as described in Items I and II below, which Items have been prepared primarily by OCC. The Commission is publishing this notice to solicit comments on the 6 15 U.S.C. 78s(b)(2). CFR 200.30–3(a)(31). 1 15 U.S.C. 78s(b)(1). 2 17 CFR 240.19b–4. 7 17 E:\FR\FM\07JNN1.SGM 07JNN1

Agencies

SECURITIES AND EXCHANGE COMMISSION

[Federal Register Volume 77, Number 110 (Thursday, June 7, 2012)]
[Notices]
[Pages 33793-33794]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: 2012-13933]


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SECURITIES AND EXCHANGE COMMISSION

[File No. 500-1]


Optimized Transportation Management, Inc.; Order of Suspension of 
Trading

June 5, 2012.
    It appears to the Securities and Exchange Commission that there is 
a lack of current and accurate information concerning the securities of 
Optimized Transportation Management, Inc. (``Optimized Transportation 
Management'') because it has not filed a periodic report since it filed 
its Form 10-Q for the period ending September 30, 2010, filed on 
November 22, 2010.
    The Commission is of the opinion that the public interest and the 
protection of investors require a suspension of trading in the 
securities of Optimized Transportation Management. Therefore, it is 
ordered, pursuant to Section 12(k) of the Securities Exchange Act of 
1934,

[[Page 33794]]

that trading in the securities of Optimized Transportation Management 
is suspended for the period from 9:30 a.m. EDT on June 5, 2012, through 
11:59 p.m. EDT on June 18, 2012.

    By the Commission.
Jill M. Peterson,
Assistant Secretary.
[FR Doc. 2012-13933 Filed 6-5-12; 4:15 pm]
BILLING CODE 8011-01-P

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