Mississippi Disaster #MS-00063, 3494-3495 [2013-00780]
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Federal Register / Vol. 78, No. 11 / Wednesday, January 16, 2013 / Notices
mstockstill on DSK4VPTVN1PROD with
interruption.36 Further, the Commission
notes that the Exchange states that it
prohibits the distribution of material,
non-public information by its
employees.37 Finally, with respect to the
Index and Sub-Indexes, Standard &
Poor’s is not a broker-dealer, is not
affiliated with a broker-dealer, and has
implemented procedures designed to
prevent the use and dissemination of
material, non-public information
regarding the Index and Sub-Indexes.
The Exchange further represents that
the Shares are deemed to be equity
securities, thus rendering trading in the
Shares subject to the Exchange’s
existing rules governing the trading of
equity securities. In support of this
proposal, the Exchange has made
representations, including:
(1) For initial and/or continued listing
of the Shares, the Funds must be in
compliance with Exchange Rule 14.11(f)
and Rule 10A–3 under the Act.38
(2) The Exchange has appropriate
rules to facilitate transactions in the
Shares during all trading sessions.
(3) The Exchange’s surveillance
procedures applicable to derivative
products, which include TIRs, are
adequate to properly monitor the
trading of the Shares on the Exchange
during all trading sessions and to deter
and detect violations of Exchange rules
and applicable federal securities laws.
The Exchange is able to obtain
information via the ISG from other
exchanges that are members of ISG or
with which the Exchange has in place
a comprehensive surveillance sharing
agreement.39 In addition, for
components traded on exchanges, not
more than 10% of the weight of a
Fund’s portfolio in the aggregate shall
consist of components whose principal
trading market is not a member of ISG
or is a market with which the Exchange
does not have a comprehensive
surveillance sharing agreement. All
Futures Contracts will be traded on a
trading market that is a member of ISG
or is a market with which the Exchange
has a comprehensive surveillance
sharing agreement.
(4) Prior to the commencement of
trading of the Shares, the Exchange will
inform its members in an Information
Circular of the special characteristics
and risks associated with trading the
Shares. Specifically, BATS Rule 3.7
provides that, in recommending
transactions in the Shares, a Member
36 See BATS Rule 14.11(f)(4)(C)(ii) (providing
additional considerations for the removal from
listing of TIRs on the Exchange).
37 See Notice, supra note 3.
38 See 17 CFR 240.10A–3.
39 See Notice, supra note 3.
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must have reasonable grounds for
believing that (a) the recommendation is
suitable for a customer given reasonable
inquiry concerning the customer’s
investment objectives, financial
situation, needs, and any other
information known by such Member,
and (b) the customer can evaluate the
special characteristics, and is able to
bear the financial risks, of an investment
in the securities. In connection with the
suitability obligation, the Circular will
also provide that Members must make
reasonable efforts to obtain the
following information: (a) The
customer’s other securities holdings; (b)
the customer’s financial situation and
needs; (c) the customer’s investment
objectives; and (d) such other
information used or considered to be
reasonable by such Member or
registered representative in making
recommendations to the customer.
(5) Each Fund will seek to achieve its
investment objective by investing, under
normal market circumstances, in
exchange-traded Futures Contracts. In
the event position accountability rules
or position limits with respect to a
Futures Contract are reached with
respect to a Fund, the Sponsor may, in
its commercially reasonable judgment,
cause such Fund to obtain exposure
through swaps whose value is derived
from the level of the Index, a Sub-Index,
one or more Index Components, or, in
the case of currency-based Financial
Futures Contracts, the exchange rates
underlying such Financial Futures
Contracts or invest in other futures
contracts or swaps if such instruments
tend to exhibit trading prices or returns
that correlate with the Index, the SubIndexes, or any Index Component and
will further the investment objective of
the Funds. The Funds may also invest
in swaps if the market for a specific
Futures Contract experiences
emergencies (e.g., natural disaster,
terrorist attack, or an act of God) or
disruptions (e.g., a trading halt or a flash
crash) that would prevent the Funds
from obtaining the appropriate amount
of investment exposure to the affected
Futures Contracts or other futures
contracts directly.
(6) To the extent practicable, the
Funds will invest in swaps cleared
through the facilities of a centralized
clearing house. In addition, the Sponsor
will also attempt to mitigate the Funds’
credit risk by transacting only with
large, well-capitalized institutions using
measures designed to determine the
creditworthiness of a counterparty. The
Sponsor will take various steps to limit
counterparty credit risk, as described in
the Registration Statement.
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(7) The anticipated minimum number
of Shares for each Fund to be
outstanding at the start of trading will
be 100,000 Shares.
(8) The NAV per Share will be
calculated daily and made available to
all market participants at the same time.
This approval order is based on all of
the Exchange’s representations and
description of the Funds, including
those set forth above and in the
Notice.40
For the foregoing reasons, the
Commission finds that the proposed
rule change to amend Rule 14.11 and to
list and trade the Shares pursuant to
Rule 14.11, as proposed to be amended,
is consistent with Sections 6(b)(5) of the
Act 41 and the rules and regulations
thereunder applicable to a national
securities exchange.
IV. Conclusion
It is therefore ordered, pursuant to
Section 19(b)(2) of the Act,42 that the
proposed rule change (SR–BATS–2012–
044) be, and it hereby is, approved.
For the Commission, by the Division of
Trading and Markets, pursuant to delegated
authority.43
Kevin M. O’Neill,
Deputy Secretary.
[FR Doc. 2013–00796 Filed 1–15–13; 8:45 am]
BILLING CODE 8011–01–P
SMALL BUSINESS ADMINISTRATION
[Disaster Declaration #13439 and #13440]
Mississippi Disaster #MS–00063
U.S. Small Business
Administration.
ACTION: Notice.
AGENCY:
This is a notice of an
Administrative declaration of a disaster
for the State of Mississippi dated 01/04/
2013.
Incident: Severe storms and
tornadoes.
Incident Period: 12/25/2012.
DATES: Effective Date: 01/04/2013.
Physical Loan Application Deadline
Date: 03/05/2013.
SUMMARY:
40 The Commission notes that it does not regulate
the market for futures in which the Fund plans to
take positions, which is the responsibility of the
Commodity Futures Trading Commission (‘‘CFTC’’).
The CFTC has the authority to set limits on the
positions that any person may take in futures. These
limits may be directly set by the CFTC or by the
markets on which the futures are traded. The
Commission has no role in establishing position
limits on futures even though such limits could
impact an exchange-traded product that is under
the jurisdiction of the Commission.
41 15 U.S.C. 78f(b)(5).
42 15 U.S.C. 78s(b)(2).
43 17 CFR 200.30–3(a)(12).
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Federal Register / Vol. 78, No. 11 / Wednesday, January 16, 2013 / Notices
Economic Injury (EIDL) Loan
Application Deadline Date: 10/04/2013.
SMALL BUSINESS ADMINISTRATION
Submit completed loan
applications to: U.S. Small Business
Administration, Processing And
Disbursement Center, 14925 Kingsport
Road, Fort Worth, TX 76155.
[Disaster Declaration #13437 and #13438]
ADDRESSES:
A.
Escobar, Office of Disaster Assistance,
U.S. Small Business Administration,
409 3rd Street SW., Suite 6050,
Washington, DC 20416.
FOR FURTHER INFORMATION CONTACT:
Puerto Rico Disaster #PR–00017
U.S. Small Business
Administration.
ACTION: Notice.
4.000
2.875
The number assigned to this disaster
for physical damage is 13439 C and for
economic injury is 13440 0.
The States which received an EIDL
Declaration # are Mississippi, Louisiana.
mstockstill on DSK4VPTVN1PROD with
(Catalog of Federal Domestic Assistance
Numbers 59002 and 59008)
Dated: January 4, 2013.
Karen G. Mills,
Administrator.
[FR Doc. 2013–00780 Filed 1–15–13; 8:45 am]
BILLING CODE 8025–01–P
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SUMMARY:
2.875
For Physical Damage:
Homeowners With Credit Available Elsewhere ......................
Homeowners Without Credit
Available Elsewhere ..............
Businesses With Credit Available Elsewhere ......................
Businesses
Without
Credit
Available Elsewhere ..............
Non-Profit Organizations With
Credit Available Elsewhere ...
Non-Profit Organizations Without Credit Available Elsewhere .....................................
For Economic Injury:
Businesses & Small Agricultural
Cooperatives Without Credit
Available Elsewhere ..............
Non-Profit Organizations Without Credit Available Elsewhere .....................................
The number assigned to this disaster
for physical damage is 134376 and for
economic injury is 134380.
The Commonwealth which received
an EIDL Declaration # is Puerto Rico.
(Catalog of Federal Domestic Assistance
Numbers 59002 and 59008)
AGENCY:
This is a notice of an
Administrative declaration of a disaster
for the Commonwealth of Puerto Rico
Dated 01/03/2013.
SUPPLEMENTARY INFORMATION: Notice is
Incident: Heavy rains and flooding.
hereby given that as a result of the
Incident Period: 11/12/2012 through
Administrator’s disaster declaration,
11/13/2012.
applications for disaster loans may be
Effective Date: 01/03/2013.
filed at the address listed above or other
Physical Loan Application Deadline
locally announced locations.
Date: 03/04/2013.
The following areas have been
Economic Injury (EIDL) Loan
determined to be adversely affected by
Application Deadline Date: 10/03/2013.
the disaster:
ADDRESSES: Submit completed loan
applications to: U.S. Small Business
Primary Counties: Pearl River.
Administration, Processing And
Contiguous Counties:
Disbursement Center, 14925 Kingsport
Mississippi; Forrest, Hancock,
Road, Fort Worth, TX 76155.
Harrison, Lamar, Marion, Stone.
FOR FURTHER INFORMATION CONTACT: A.
Louisiana; Saint Tammany,
Escobar, Office of Disaster Assistance,
Washington.
U.S. Small Business Administration,
409 3rd Street SW., Suite 6050,
The Interest Rates are:
Washington, DC 20416.
SUPPLEMENTARY INFORMATION: Notice is
Percent
hereby given that as a result of the
For Physical Damage:
Administrator’s disaster declaration,
Homeowners With Credit Availapplications for disaster loans may be
able Elsewhere ......................
3.500 filed at the address listed above or other
Homeowners Without Credit
locally announced locations.
Available Elsewhere ..............
1.750
The following areas have been
Businesses With Credit Available Elsewhere ......................
6.000 determined to be adversely affected by
the disaster:
Businesses
Without
Credit
Available Elsewhere ..............
4.000 Primary Municipality: Vega Baja.
Non-Profit Organizations With
Contiguous Municipalities: Manati,
Credit Available Elsewhere ...
2.875
Morovis, Vega Alta.
Non-Profit Organizations WithThe Interest Rates are:
out Credit Available Elsewhere .....................................
For Economic Injury:
Businesses & Small Agricultural
Cooperatives Without Credit
Available Elsewhere ..............
Non-Profit Organizations Without Credit Available Elsewhere .....................................
Dated: January 3, 2013.
Karen G. Mills,
Administrator.
[FR Doc. 2013–00484 Filed 1–15–13; 8:45 am]
BILLING CODE 8025–01–M
SMALL BUSINESS ADMINISTRATION
Claritas Capital Specialty Debt II, L.P.;
Application No. 99000779; Notice
Seeking Exemption Under Section 312
of the Small Business Investment Act,
Conflicts of Interest
Notice is hereby given that Claritas
Capital Specialty Debt II, L.P., 30 Burton
Hills Blvd., Suite 100, Nashville, TN
37215, a Federal Licensee applicant
under the Small Business Investment
Act of 1958, as amended (the ‘‘Act’’), in
connection with the financing of a small
concern, has sought an exemption under
Section 312 of the Act and Section
107.730, Financings which Constitute
Conflicts of Interest of the Small
Business Administration (‘‘SBA’’) Rules
and Regulations (13 CFR 107.730).
Claritas Capital Specialty Debt II, L.P.
proposes to invest in Employment
Control Holding Company, LLC, a
portfolio company of its Associate
Claritas Capital Specialty Debt Fund,
L.P.
The financing is brought within the
purview of § 107.730(a) of the
Regulations because Claritas Capital
Specialty Debt II, L.P. proposes to
Finance a small business in which its
Percent
Associate Claritas Capital Specialty Debt
Fund, L.P. has an equity interest of at
least 10 percent, so the transaction that
3.375
will effect the proposed Financing
1.688 requires prior SBA exemption.
Notice is hereby given that any
6.000 interested person may submit written
comments on the transaction, within
4.000 fifteen days of the date of this
publication, to the Associate
3.125
Administrator for Investment, U.S.
Small Business Administration, 409
3.000 Third Street SW., Washington, DC
20416.
4.000
3.000
Dated: December 21, 2012.
Sean J. Greene,
Associate Administrator for Investment.
[FR Doc. 2013–00799 Filed 1–15–13; 8:45 am]
BILLING CODE 8025–01–P
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Agencies
[Federal Register Volume 78, Number 11 (Wednesday, January 16, 2013)]
[Notices]
[Pages 3494-3495]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: 2013-00780]
=======================================================================
-----------------------------------------------------------------------
SMALL BUSINESS ADMINISTRATION
[Disaster Declaration 13439 and 13440]
Mississippi Disaster MS-00063
AGENCY: U.S. Small Business Administration.
ACTION: Notice.
-----------------------------------------------------------------------
SUMMARY: This is a notice of an Administrative declaration of a
disaster for the State of Mississippi dated 01/04/2013.
Incident: Severe storms and tornadoes.
Incident Period: 12/25/2012.
DATES: Effective Date: 01/04/2013.
Physical Loan Application Deadline Date: 03/05/2013.
[[Page 3495]]
Economic Injury (EIDL) Loan Application Deadline Date: 10/04/2013.
ADDRESSES: Submit completed loan applications to: U.S. Small Business
Administration, Processing And Disbursement Center, 14925 Kingsport
Road, Fort Worth, TX 76155.
FOR FURTHER INFORMATION CONTACT: A. Escobar, Office of Disaster
Assistance, U.S. Small Business Administration, 409 3rd Street SW.,
Suite 6050, Washington, DC 20416.
SUPPLEMENTARY INFORMATION: Notice is hereby given that as a result of
the Administrator's disaster declaration, applications for disaster
loans may be filed at the address listed above or other locally
announced locations.
The following areas have been determined to be adversely affected
by the disaster:
Primary Counties: Pearl River.
Contiguous Counties:
Mississippi; Forrest, Hancock, Harrison, Lamar, Marion, Stone.
Louisiana; Saint Tammany, Washington.
The Interest Rates are:
------------------------------------------------------------------------
Percent
------------------------------------------------------------------------
For Physical Damage:
Homeowners With Credit Available Elsewhere................. 3.500
Homeowners Without Credit Available Elsewhere.............. 1.750
Businesses With Credit Available Elsewhere................. 6.000
Businesses Without Credit Available Elsewhere.............. 4.000
Non-Profit Organizations With Credit Available Elsewhere... 2.875
Non-Profit Organizations Without Credit Available Elsewhere 2.875
For Economic Injury:
Businesses & Small Agricultural Cooperatives Without Credit 4.000
Available Elsewhere.......................................
Non-Profit Organizations Without Credit Available Elsewhere 2.875
------------------------------------------------------------------------
The number assigned to this disaster for physical damage is 13439 C
and for economic injury is 13440 0.
The States which received an EIDL Declaration are
Mississippi, Louisiana.
(Catalog of Federal Domestic Assistance Numbers 59002 and 59008)
Dated: January 4, 2013.
Karen G. Mills,
Administrator.
[FR Doc. 2013-00780 Filed 1-15-13; 8:45 am]
BILLING CODE 8025-01-P