Alpine Investors IV SBIC, LP; Notice Seeking Exemption Under Section 312 of the Small Business Investment Act, Conflicts of Interest, 28273-28274 [2013-11431]
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Federal Register / Vol. 78, No. 93 / Tuesday, May 14, 2013 / Notices
appropriately balance the demand for
the product with increasing platform,
overhead and technology infrastructure
costs.
mstockstill on DSK4VPTVN1PROD with NOTICES
2. Statutory Basis
The Exchange believes that its
proposal is consistent with Section 6(b)
of the Act 4 in general, and with Section
6(b)(4) 5 of the Act, in particular. The
Exchange believes it is consistent with
Section 6(b)(4) of the Act because it
provides for the equitable allocation of
reasonable dues, fees and other charges
among members and issuers and other
persons using any facility or system
which the Exchange operates or
controls. All similarly situated members
are subject to the same fee structure, and
access to this NASDAQ service is
offered on fair and non-discriminatory
terms. NASDAQ has not increased the
fees assessed under Rule 7015(h) since
2011 despite incurring a substantial
decrease in subscribership, resulting in
higher per-subscription costs as fixed
costs are spread among fewer users.
Moreover, during this time NASDAQ
has also experienced increased costs
associated with ongoing support of the
VTE platform, which include platform,
overhead and technology infrastructure
costs. In order to continue to offer this
service, NASDAQ must increase the
subscriber fees as proposed to cover the
overall general increase in cost to
support the service, and to cover the
increased cost resulting from a smaller
subscriber base. The proposed fees
realign the balance of the costs
discussed above to the fees received for
the service so that it is similar to the
ratio at the time of the last fee increase.
NASDAQ notes that it operates in a
highly competitive market in which
market participants can readily favor
competing venues if they deem fee
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such, the Exchange believes that the
proposed fees are reasonable.
B. Self-Regulatory Organization’s
Statement on Burden on Competition
NASDAQ does not believe that the
proposed rule change will result in any
burden on competition that is not
necessary or appropriate in furtherance
4 15
5 15
U.S.C. 78f(b).
U.S.C. 78f(b)(4).
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of the purposes of the Act, as amended.
The proposed fees merely allow
NASDAQ to recapture the increasing
platform, overhead and technology
infrastructure costs it incurs in support
of the service, which are magnified on
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applied uniformly among subscribing
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access the information provided through
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burden arising from the fees is necessary
in the interest of promoting the
equitable allocation of a reasonable fee.
C. Self-Regulatory Organization’s
Statement on Comments on the
Proposed Rule Change Received From
Members, Participants or Others
Written comments were neither
solicited nor received.
III. Date of Effectiveness of the
Proposed Rule Change and Timing for
Commission Action
The foregoing change has become
effective pursuant to Section 19(b)(3)(A)
of the Act,6 and paragraph (f) 7 of Rule
19b–4, thereunder. At any time within
60 days of the filing of the proposed rule
change, the Commission summarily may
temporarily suspend such rule change if
it appears to the Commission that such
action is necessary or appropriate in the
public interest, for the protection of
investors, or otherwise in furtherance of
the purposes of the Act.
IV. Solicitation of Comments
Interested persons are invited to
submit written data, views, and
arguments concerning the foregoing,
including whether the proposed rule
change is consistent with the Act.
Comments may be submitted by any of
the following methods:
file number should be included on the
subject line if email is used.
To help the Commission process and
review your comments more efficiently,
please use only one method. The
Commission will post all comments on
the Commission’s Internet Web site
(https://www.sec.gov/rules/sro.shtml).
Copies of the submission, all subsequent
amendments, all written statements
with respect to the proposed rule
change that are filed with the
Commission, and all written
communications relating to the
proposed rule change between the
Commission and any person, other than
those that may be withheld from the
public in accordance with the
provisions of 5 U.S.C. 552, will be
available for Web site viewing and
printing in the Commission’s Public
Reference Room, 100 F Street NE.,
Washington, DC 20549, on official
business days between the hours of
10:00 a.m. and 3:00 p.m. Copies of such
filing also will be available for
inspection and copying at the principal
offices of NASDAQ. All comments
received will be posted without change;
the Commission does not edit personal
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information that you wish to make
available publicly. All submissions
should refer to File Number SR–
NASDAQ–2013–072, and should be
submitted on or before June 4, 2013.
For the Commission, by the Division of
Trading and Markets, pursuant to delegated
authority.8
Kevin M. O’Neill,
Deputy Secretary.
[FR Doc. 2013–11367 Filed 5–13–13; 8:45 am]
BILLING CODE 8011–01–P
SMALL BUSINESS ADMINISTRATION
Electronic Comments
[License No. 09/09–0461]
• Use the Commission’s Internet
comment form (https://www.sec.gov/
rules/sro.shtml); or
• Send an email to rulecomments@sec.gov. Please include File
Number SR–NASDAQ–2013–072 on the
subject line.
Alpine Investors IV SBIC, LP; Notice
Seeking Exemption Under Section 312
of the Small Business Investment Act,
Conflicts of Interest
Paper Comments
• Send paper comments in triplicate
to Elizabeth M. Murphy, Secretary,
Securities and Exchange Commission,
100 F Street NE., Washington, DC
20549–1090.
All submissions should refer to File
Number SR–NASDAQ–2013–072. This
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28273
PO 00000
U.S.C. 78s(b)(3)(A).
CFR 240.19b–4(f).
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Fmt 4703
Notice is hereby given that Alpine
Investors IV SBIC, LP, 3 Embarcadero
Center, Suite 2330, San Francisco, CA,
a Federal Licensee 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
8 17
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CFR 200.30–3(a)(12).
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Federal Register / Vol. 78, No. 93 / Tuesday, May 14, 2013 / Notices
Regulations (13 CFR 107.730). Alpine
Investors IV SBIC, LP, proposes to
provide subordinate debt and equity
security financing to GrowthFire, LLC
4235 Foxberry Court, Minneapolis, MN
55340. The financing is contemplated
for the purchase of 100 percent of the
stock of Great Bay Software, Inc., to
fund transaction fees, and for working
capital purposes.
The financing is brought within the
purview of § 107.730(a) of the
Regulations because an Associate of
Alpine Investors IV SBIC, LP, as defined
in Sec. 105.50 of the regulations, has an
ownership interest in GrowthFire, LLC
of 10 percent.
Notice is hereby given that any
interested person may submit written
comments on the transaction to the
Associate Administrator for Investment
and Innovation, U.S. Small Business
Administration, 409 Third Street SW.,
Washington, DC 20416.
Harry Haskins,
Acting Associate Administrator for
Investment and Innovation.
[FR Doc. 2013–11431 Filed 5–13–13; 8:45 am]
BILLING CODE 8025–01–P
SMALL BUSINESS ADMINISTRATION
Council on Underserved Communities,
Re-Establishment
U.S. Small Business
Administration (SBA).
ACTION: Notice of Federal advisory
committee meeting conference call.
AGENCY:
Pursuant to the Federal
Advisory Committee Act and its
implementing regulations, SBA is
issuing this notice to announce the date,
time, and agenda for the first meeting of
the SBA Council on Underserved
Communities. The meeting will be open
to the public.
DATES: This conference call will be held
on Tuesday, May 21, 2013 from 2:30
p.m. to 3:30 p.m. Eastern Daylight
Savings Time.
FOR FURTHER INFORMATION CONTACT: The
meeting is open to the public however
advance notice of attendance is
requested. For further questions about
the Council on Underserved
Communities may be directed to Dan
Jones, telephone (202) 205–7583, fax
(202) 481–6536, email
dan.jones@sba.gov or mail, U.S. Small
Business Administration, 409 3rd Street
SW., 7th Floor, Washington, DC 20416.
SUPPLEMENTARY INFORMATION: Pursuant
to its authority in section 8(b)(13) of the
Small Business Act (15 U.S.C. 637(b)),
SBA is re-establishing the Council on
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SUMMARY:
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16:52 May 13, 2013
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Underserved Communities. This
discretionary committee is being reestablished in accordance with the
provisions of the Federal Advisory
Committee Act, as amended (5 U.S.C.
App.).
The Council provides advice, ideas
and opinions on SBA programs and
services and issues of interest to small
businesses in underserved communities.
Its members provide an essential
connection between SBA and small
businesses in inner city and rural
communities. The Council’s scope of
activities includes reviewing SBA
current programs and policies, while
working towards creating new and
insightful place-based initiatives to spur
economic growth, job creation,
competiveness, and sustainability.
Council members bring a number of
important points of views to the
Council: an understanding of the
barriers to success for small business
owners in underserved communities;
experience working in and operating
businesses in urban and rural
underserved communities; challenges
regarding access to capital; knowledge
and experience in training and
counseling entrepreneurs in
underserved communities; and
associations representing owners of
small business in underserved
communities.
The Council has a total of twenty (20)
members, 19 members-at-large and one
Chair. Members consist of current or
former small business owners,
community leaders, officials from small
business trade associations, and
academic institutions. Members
represent the interests of underserved
communities across the country, both
rural and urban.
Dated: May 7, 2013.
Dan Jones,
SBA Committee Management Officer.
[FR Doc. 2013–11433 Filed 5–13–13; 8:45 am]
BILLING CODE P
DEPARTMENT OF STATE
[Public Notice 8321]
Culturally Significant Objects Imported
for Exhibition Determinations:
‘‘Medieval Treasures from Hildesheim’’
Notice is hereby given of the
following determinations: Pursuant to
the authority vested in me by the Act of
October 19, 1965 (79 Stat. 985; 22 U.S.C.
2459), Executive Order 12047 of March
27, 1978, the Foreign Affairs Reform and
Restructuring Act of 1998 (112 Stat.
2681, et seq.; 22 U.S.C. 6501 note, et
seq.), Delegation of Authority No. 234 of
SUMMARY:
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October 1, 1999, and Delegation of
Authority No. 236–3 of August 28, 2000
(and, as appropriate, Delegation of
Authority No. 257 of April 15, 2003), I
hereby determine that the objects to be
included in the exhibition ‘‘Medieval
Treasures from Hildesheim,’’ imported
from abroad for temporary exhibition
within the United States, are of cultural
significance. The objects are imported
pursuant to a loan agreement with the
foreign owner or custodian. I also
determine that the exhibition or display
of the exhibit objects at the Metropolitan
Museum of Art, New York, New York,
from on or about September 17, 2013,
until on or about January 5, 2014, and
at possible additional exhibitions or
venues yet to be determined, is in the
national interest. I have ordered that
Public Notice of these Determinations
be published in the Federal Register.
FOR FURTHER INFORMATION CONTACT: For
further information, including a list of
the exhibit objects, contact Paul W.
Manning, Attorney-Adviser, Office of
the Legal Adviser, U.S. Department of
State (telephone: 202–632–6469). The
mailing address is U.S. Department of
State, SA–5, L/PD, Fifth Floor (Suite
5H03), Washington, DC 20522–0505.
Dated: May 8, 2013.
J. Adam Ereli,
Principal Deputy Assistant Secretary, Bureau
of Educational and Cultural Affairs,
Department of State.
[FR Doc. 2013–11487 Filed 5–13–13; 8:45 am]
BILLING CODE 4710–05–P
DEPARTMENT OF STATE
[Public Notice 8323]
Culturally Significant Object Imported
for Exhibition Determinations: ‘‘1763:
A Revolutionary Peace’’
Notice is hereby given of the
following determinations: Pursuant to
the authority vested in me by the Act of
October 19, 1965 (79 Stat. 985; 22 U.S.C.
2459), Executive Order 12047 of March
27, 1978, the Foreign Affairs Reform and
Restructuring Act of 1998 (112 Stat.
2681, et seq.; 22 U.S.C. 6501 note, et
seq.), Delegation of Authority No. 234 of
October 1, 1999, and Delegation of
Authority No. 236–3 of August 28, 2000
(and, as appropriate, Delegation of
Authority No. 257 of April 15, 2003), I
hereby determine that the object to be
included in the exhibition ‘‘1763: A
Revolutionary Peace,’’ imported from
abroad for temporary exhibition within
the United States, is of cultural
significance. The object is imported
pursuant to a loan agreement with the
foreign owner or custodian. I also
SUMMARY:
E:\FR\FM\14MYN1.SGM
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]]>Agencies
[Federal Register Volume 78, Number 93 (Tuesday, May 14, 2013)]
[Notices]
[Pages 28273-28274]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: 2013-11431]
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SMALL BUSINESS ADMINISTRATION
[License No. 09/09-0461]
Alpine Investors IV SBIC, LP; Notice Seeking Exemption Under
Section 312 of the Small Business Investment Act, Conflicts of Interest
Notice is hereby given that Alpine Investors IV SBIC, LP, 3
Embarcadero Center, Suite 2330, San Francisco, CA, a Federal Licensee
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
[[Page 28274]]
Regulations (13 CFR 107.730). Alpine Investors IV SBIC, LP, proposes to
provide subordinate debt and equity security financing to GrowthFire,
LLC 4235 Foxberry Court, Minneapolis, MN 55340. The financing is
contemplated for the purchase of 100 percent of the stock of Great Bay
Software, Inc., to fund transaction fees, and for working capital
purposes.
The financing is brought within the purview of Sec. 107.730(a) of
the Regulations because an Associate of Alpine Investors IV SBIC, LP,
as defined in Sec. 105.50 of the regulations, has an ownership interest
in GrowthFire, LLC of 10 percent.
Notice is hereby given that any interested person may submit
written comments on the transaction to the Associate Administrator for
Investment and Innovation, U.S. Small Business Administration, 409
Third Street SW., Washington, DC 20416.
Harry Haskins,
Acting Associate Administrator for Investment and Innovation.
[FR Doc. 2013-11431 Filed 5-13-13; 8:45 am]
BILLING CODE 8025-01-P
