Sunshine Act Meeting Notice., 65237 [2012-26402]

Download as PDF Federal Register / Vol. 77, No. 207 / Thursday, October 25, 2012 / Notices 801–74505 WEALTH FOCUS RESOURCES, LLC 801–69539 WEALTH LTD 801–54769 WEALTH MANAGEMENT LLC 801–62294 WELLS, CANNING & ASSOCIATES INC. 801–48199 WENDEL ANDREW MARTIN 801–40981 WEST ELLIS INVESTMENT MANAGEMENT INC 801–71961 WEST RIDGE REALTY ADVISORS LLC 801–19899 WESTRIDGE CAPITAL MANAGEMENT INC 801–64673 WFP SECURITIES CORPORATION 801–37177 WHB WOLVERINE ASSET MANAGEMENT INC 801–72403 WICKER PARK ADVISORS, LLC 801–16393 WILLIAMSON & SNEED INCORPORATED 801–67795 WILSHIRE–PENNINGTON GROUP, INC. 801–12695 WITTER WILLIAM D INC 801–69064 WORLDWIDE ASSET MANAGEMENT GROUP, LLC 801–70899 WYNNCORR CAPITAL MANAGEMENT, LLC [FR Doc. 2012–26234 Filed 10–24–12; 8:45 am] BILLING CODE 8011–01–P SECURITIES AND EXCHANGE COMMISSION Sunshine Act Meeting Notice. FEDERAL REGISTER CITATION OF PREVIOUS ANNOUNCEMENT: [77 FR 64836, October DATE AND TIME OF PREVIOUSLY ANNOUNCED MEETING: Tuesday, October 23, 2012 at 3:00 p.m. Date and Time Change. The Closed Meeting scheduled for Tuesday, October 23, 2012 at 3:00 p.m., has been changed to Thursday, October 25, 2012 at 10:00 a.m. Commissioner Walter, as duty officer, voted to consider the item listed for the Closed Meeting in closed session, and determined that no earlier notice thereof was possible. At times, changes in Commission priorities require alterations in the scheduling of meeting items. For further information and to ascertain what, if any, matters have been added, deleted or postponed, please contact: The Office of the Secretary at (202) 551–5400. erowe on DSK2VPTVN1PROD with Dated: October 23, 2012. Kevin M. O’Neill, Deputy Secretary. [FR Doc. 2012–26402 Filed 10–23–12; 4:15 pm] BILLING CODE 8011–01–P VerDate Mar<15>2010 12:06 Oct 24, 2012 Jkt 229001 [Release No. 34–68073; File No. SR– NASDAQ–2012–098] Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Order Granting Approval of Proposed Rule Change Relating to the Listing and Trading of Shares of the WisdomTree Global Corporate Bond Fund of the WisdomTree Trust October 19, 2012. I. Introduction On August 15, 2012, The NASDAQ Stock Market LLC (‘‘Nasdaq’’ or ‘‘Exchange’’) 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 the shares (‘‘Shares’’) of the WisdomTree Global Corporate Bond Fund (‘‘Fund’’) of the WisdomTree Trust (‘‘Trust’’) under Nasdaq Rule 5735. The proposed rule change was published for comment in the Federal Register on September 5, 2012.3 The Commission received no comments on the proposal. This order grants approval of the proposed rule change. II. Description of the Proposed Rule Change 23, 2012] STATUS: Closed Meeting. PLACE: 100 F Street NE., Washington, DC. CHANGE IN THE MEETING: SECURITIES AND EXCHANGE COMMISSION The Exchange proposes to list and trade the Shares of the Fund under Nasdaq Rule 5735, which governs the listing and trading of Managed Fund Shares on the Exchange. The Fund will be an actively managed exchange-traded fund (‘‘ETF’’). The Shares will be offered by the Trust, which was established as a Delaware statutory trust on December 15, 2005. The Fund is registered with the Commission as an investment company and has filed a registration statement on Form N–1A with the Commission.4 WisdomTree Asset Management, Inc. is the investment adviser (‘‘Adviser’’) to the Fund,5 and Western Asset Management Company serves as sub-adviser for the Fund (‘‘Sub-Adviser’’).6 The Bank of 1 15 U.S.C. 78s(b)(1). CFR 240.19b–4. 3 See Securities Exchange Act Release No. 67750 (August 29, 2012), 77 FR 54640 (‘‘Notice’’). 4 See Post-Effective Amendment No. 56 to Registration Statement on Form N–1A for the Trust, dated July 1, 2011 (File Nos. 333–132380 and 811– 21864) (‘‘Registration Statement’’). 5 WisdomTree Investments, Inc. is the parent company of the Adviser. 6 The Sub-Adviser is responsible for day-to-day management of the Fund and, as such, typically makes all decisions with respect to portfolio 2 17 PO 00000 Frm 00072 Fmt 4703 Sfmt 4703 65237 New York Mellon is the administrator, custodian, and transfer agent for the Trust, and ALPS Distributors, Inc. serves as the distributor for the Trust.7 The Exchange represents that neither the Adviser nor the Sub-Adviser are affiliated with any broker-dealer.8 WisdomTree Global Corporate Bond Fund The Fund seeks to provide a high level of total return consisting of both income and capital appreciation. To achieve its objective, the Fund will invest in debt securities of corporations that are domiciled or economically tied to countries throughout the world. Global Corporate Debt Specifically, the Fund intends to achieve its investment objectives through direct and indirect investments in Global Corporate Debt. With respect to this proposal, Global Corporate Debt includes fixed-income securities, such as bonds, notes, or other debt obligations, including loan participation notes (‘‘LPNs’’),9 as well as other debt instruments denominated in U.S. dollars or local currencies. Global Corporate Debt also includes fixed income securities or debt obligations that are issued by companies or agencies that may receive financial support or backing from local government. Fixed income securities include Money Market Securities as defined below. holdings. The Adviser has ongoing oversight responsibility. 7 The Commission has issued an order granting certain exemptive relief to the Trust under the Investment Company Act of 1940 (‘‘1940 Act’’). See Investment Company Act Release No. 28471 (October 27, 2008) (File No. 812–13458). In compliance with Nasdaq Rule 5735(b)(5), which applies to Managed Fund Shares based on an international or global portfolio, the Trust’s application for exemptive relief under the 1940 Act states that the Fund will comply with the federal securities laws in accepting securities for deposits and satisfying redemptions with redemption securities, including that the securities accepted for deposits and the securities used to satisfy redemption requests are sold in transactions that would be exempt from registration under the Securities Act of 1933. 8 See Nasdaq Rule 5735(g). The Exchange represents that, in the event (a) the Adviser or the Sub-Adviser becomes newly affiliated with a broker-dealer, or (b) any new adviser or sub-adviser becomes affiliated with a broker-dealer, it will implement a fire wall with respect to such brokerdealer regarding access to information concerning the composition and/or changes to a portfolio, and will be subject to procedures designed to prevent the use and dissemination of material, non-public information regarding such portfolio. In addition, Adviser and/or Sub-Adviser personnel who make decisions regarding the Fund’s portfolio are subject to procedures designed to prevent the use and dissemination of material, non-public information regarding the Fund’s portfolio. 9 The Fund may invest in LPNs with a minimum outstanding principal amount of $200 million that the Adviser or Sub-Adviser deems to be liquid. E:\FR\FM\25OCN1.SGM 25OCN1

Agencies

[Federal Register Volume 77, Number 207 (Thursday, October 25, 2012)]
[Notices]
[Page 65237]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: 2012-26402]


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SECURITIES AND EXCHANGE COMMISSION


Sunshine Act Meeting Notice.

FEDERAL REGISTER CITATION OF PREVIOUS ANNOUNCEMENT: [77 FR 64836, 
October 23, 2012]

STATUS: Closed Meeting.

PLACE: 100 F Street NE., Washington, DC.

DATE AND TIME OF PREVIOUSLY ANNOUNCED MEETING: Tuesday, October 23, 
2012 at 3:00 p.m.

CHANGE IN THE MEETING: Date and Time Change.
    The Closed Meeting scheduled for Tuesday, October 23, 2012 at 3:00 
p.m., has been changed to Thursday, October 25, 2012 at 10:00 a.m.
    Commissioner Walter, as duty officer, voted to consider the item 
listed for the Closed Meeting in closed session, and determined that no 
earlier notice thereof was possible.
    At times, changes in Commission priorities require alterations in 
the scheduling of meeting items. For further information and to 
ascertain what, if any, matters have been added, deleted or postponed, 
please contact:
    The Office of the Secretary at (202) 551-5400.

    Dated: October 23, 2012.
Kevin M. O'Neill,
Deputy Secretary.
[FR Doc. 2012-26402 Filed 10-23-12; 4:15 pm]
BILLING CODE 8011-01-P
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