Sunshine Act Meetings, 40780-40781 [2013-16481]

Download as PDF 40780 Federal Register / Vol. 78, No. 130 / Monday, July 8, 2013 / Notices Filing Dates: The application was filed on February 25, 2013, and amended on June 13, 2013. Applicant’s Address: 546 Fifth Ave., New York, NY 10022. Empire Builder Tax Free Bond Fund [File No. 811–3907] Summary: Applicant seeks an order declaring that it has ceased to be an investment company. Applicant transferred its assets to Neuberger Berman New York Municipal Income Fund and, on March 8, 2013, made a final distribution to its shareholders based on net asset value. Expenses of $162,230 incurred in connection with the reorganization were paid by Neuberger Berman Management LLC, the investment adviser to the acquiring fund. Filing Date: The application was filed on May 30, 2013. Applicant’s Address: Neuberger Berman Income Funds, 605 Third Ave., 2nd Floor, New York, NY 10158. Jacob Funds II [File No. 811–7881] Summary: Applicant seeks an order declaring that it has ceased to be an investment company. Applicant transferred its assets to Jacob Funds Inc. and, on November 9, 2012, made a final distribution to its shareholders based on net asset value. Expenses of $372,095 incurred in connection with the reorganization were paid by applicant and Jacob Asset Management of New York LLC, applicant’s investment adviser. Filing Date: The application was filed on May 24, 2013. Applicant’s Address: 399 Park Ave., 4th Floor, New York, NY 10022. emcdonald on DSK67QTVN1PROD with NOTICES Salient Alternative Strategies Fund [File No. 811–22388] Summary: Applicant, a closed-end investment company, seeks an order declaring that it has ceased to be an investment company. Applicant transferred its assets to Salient Alternative Strategies I Fund and, on March 31, 2013, made a final distribution to its shareholders based on net asset value. Expenses of $16,244 incurred in connection with the reorganization were paid by applicant. Filing Date: The application was filed on May 21, 2013. Applicant’s Address: c/o Salient Advisors, L.P., 4265 San Felipe Rd., Suite 800, Houston, TX 77027. Armstrong Associates Inc. [File No. 811–1548] Summary: Applicant seeks an order declaring that it has ceased to be an investment company. On May 10, 2013, VerDate Mar<15>2010 16:27 Jul 05, 2013 Jkt 229001 applicant made a liquidating distribution to its shareholders, based on net asset value. Expenses of $99,804 incurred in connection with the liquidation were paid by applicant. Filing Date: The application was filed on May 23, 2013. Applicant’s Address: 750 North St. Paul St., Suite 1300, Dallas, TX 75201. Oppenheimer Transition 2010 Fund [File No. 811–21920] Oppenheimer Transition 2015 Fund [File No. 811–21921] Oppenheimer Transition 2020 Fund [File No. 811–21923] Oppenheimer Transition 2030 Fund [File No. 811–21924] Oppenheimer Transition 2050 Fund [File No. 811–22150] Oppenheimer Transition 2040 Fund [File No. 811–22151] Oppenheimer Transition 2025 Fund [File No. 811–22152] Summary: Each applicant seeks an order declaring that it has ceased to be an investment company. The applicants have transferred their assets to series of Oppenheimer Portfolio Series and, between October 5, 2012, and November 2, 2012, each applicant made a final distribution to its shareholders based on net asset value. Expenses of $39,605, $41,694, $45,138, $49,893, $43,318, $45,271, and $41,549, respectively, incurred in connection with the reorganizations were paid by each applicant. Filing Date: The applications were filed on May 31, 2013. Applicants’ Address: 6803 S. Tucson Way, Centennial, CO 80112. Madison Mosaic Equity Trust [File No. 811–3615] Summary: Applicant seeks an order declaring that it has ceased to be an investment company. The applicant has transferred its assets to corresponding series of Madison Funds and, on April 19, 2013, made a final distribution to its shareholders based on net asset value. Expenses of $176,003 incurred in connection with the reorganization were paid by Madison Investment Advisors, LLC, applicant’s investment adviser. Filing Date: The application was filed on May 2, 2013. Applicant’s Address: 500 Science Dr., Madison, WI 53711. Global Chartist Fund, LLC [File No. 811–22617] Summary: Applicant, a closed-end investment company, seeks an order declaring that it has ceased to be an investment company. Applicant has PO 00000 Frm 00093 Fmt 4703 Sfmt 4703 fewer than one hundred beneficial owners and does not propose to make a public offering of its securities. Applicant will continue to operate as a private investment fund in reliance on section 3(c)(1) of the Act. Filing Dates: The application was filed on May 29, 2013, and amended on June 6, 2013. Applicant’s Address: 85 Broad St., 24th Floor, New York, NY 10004. Lord Abbett Stock Appreciation Fund [File No. 811–9597] Summary: Applicant seeks an order declaring that it has ceased to be an investment company. Applicant transferred its assets to Lord Abbett Growth Leaders Fund, a series of Lord Abbett Securities Trust, and on March 22, 2013, made a distribution to its shareholders based on net asset value. Expenses of $138,196 incurred in connection with the reorganization were paid by Lord Abbett & Co. LLC, investment adviser to the applicant. Filing Date: The application was filed on June 5, 2013. Applicant’s Address: 90 Hudson St., Jersey City, NJ 07302. Persimmon Growth Partners Fund LP [File No. 811–22457] Persimmon Growth Partners Investor Fund [File No. 811–22458] Summary: Each applicant, a closedend investment company seeks an order declaring that it has ceased to be an investment company. On June 11, 2013, each applicant made final liquidating distributions to its shareholders, based on net asset value. Expenses of $31,498 and $52,742, respectively, incurred in connection with the liquidations were paid by each applicant. Filing Dates: The applications were filed on March 11, 2013, and amended on June 21, 2013. Applicants’ Address: 1777 Sentry Pkwy. West, Gwynedd Hall, Suite 102, Blue Bell, PA 19422. For the Commission, by the Division of Investment Management, pursuant to delegated authority. Elizabeth M. Murphy, Secretary. [FR Doc. 2013–16218 Filed 7–5–13; 8:45 am] BILLING CODE 8011–01–P SECURITIES AND EXCHANGE COMMISSION Sunshine Act Meetings Notice is hereby given, pursuant to the provisions of the Government in the Sunshine Act, Public Law 94–409, that the Securities and Exchange E:\FR\FM\08JYN1.SGM 08JYN1 Federal Register / Vol. 78, No. 130 / Monday, July 8, 2013 / Notices Commission will hold a Closed Meeting on Thursday, July 10, 2013 at 4:00 p.m. Commissioners, Counsel to the Commissioners, the Secretary to the Commission, and recording secretaries will attend the Closed Meeting. Certain staff members who have an interest in the matters also may be present. The General Counsel of the Commission, or her designee, has certified that, in her opinion, one or more of the exemptions set forth in 5 U.S.C. 552b(c)(3), (5), (7), 9(B) and (10) and 17 CFR 200.402(a)(3), (5), (7), 9(ii) and (10), permit consideration of the scheduled matters at the Closed Meeting. Commissioner Gallagher, as duty officer, voted to consider the items listed for the Closed Meeting in a closed session. The subject matter of the Closed Meeting will be: institution and settlement of injunctive actions; adjudicatory matters; and other matters relating to enforcement proceedings. 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: July 3, 2013. Elizabeth M. Murphy, Secretary. BILLING CODE 8011–01–P SECURITIES AND EXCHANGE COMMISSION [Release No. 34–69899; File No. SR–EDGX– 2013–24] Self-Regulatory Organizations; EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Amendments to the EDGX Exchange, Inc. Fee Schedule emcdonald on DSK67QTVN1PROD with NOTICES July 1, 2013. 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 June 26, 2013, EDGX Exchange, Inc. (the ‘‘Exchange’’ or ‘‘EDGX’’) filed with the Securities and Exchange Commission (‘‘Commission’’) the proposed rule change as described in Items I, II and III 2 17 U.S.C. 78s(b)(1). CFR 240.19b–4. VerDate Mar<15>2010 16:27 Jul 05, 2013 Jkt 229001 I. Self-Regulatory Organization’s Statement of the Terms of Substance of the Proposed Rule Change The Exchange proposes to amend its fees and rebates applicable to Members 3 and non-Members of the Exchange pursuant to EDGX Rule 15.1(a) and (c). All of the changes described herein are applicable to EDGX Members. The text of the proposed rule change is available on the Exchange’s Internet Web site at www.directedge.com, at the Exchange’s principal office, and at the Public Reference Room of the Commission. II. Self-Regulatory Organization’s Statement of the Purpose of, and Statutory Basis for, the Proposed Rule Change In its filing with the Commission, the self-regulatory organization included statements concerning the purpose of, and basis for, the proposed rule change and discussed any comments it received on the proposed rule change. The text of these statements may be examined at the places specified in Item IV below. The self-regulatory organization has prepared summaries, set forth in sections A, B and C below, of the most significant aspects of such statements. A. Self-Regulatory Organization’s Statement of the Purpose of, and the Statutory Basis for, the Proposed Rule Change [FR Doc. 2013–16481 Filed 7–3–13; 4:15 pm] 1 15 below, which items have been prepared by the self-regulatory organization. The Commission is publishing this notice to solicit comments on the proposed rule change from interested persons. 1. Purpose The Exchange maintains logical ports for order entry (FIX, HP–API), drop copies (DROP), EdgeRisk and market data (collectively, ‘‘Direct Logical Ports’’).4 In SR–EDGX–2012–36, the Exchange reduced the number of free Direct Logical Ports from ten (10) sessions to five (5) sessions.5 The 3 A Member is any registered broker or dealer, or any person associated with a registered broker or dealer that has been admitted to membership in the Exchange. 4 See Securities Exchange Act Release No. 69670 (May 30, 2013) 78 FR 33871 (June 5, 2013) (SR– EDGX–2013–18) (adding EdgeRisk ports to the list of logical ports offered by the Exchange); Securities and Exchange Act Release No. 64963 (July 26, 2011), 76 FR 45895 (August 1, 2011) (SR–EDGX– 2011–21) (discussing the Exchange’s proposal to include logical ports that receive market data among the types of logical ports that the Exchange assesses a monthly fee to Members and nonMembers). 5 See Securities and Exchange Act Release No. 67741 (August 28, 2012), 77 FR 53950 (September 4, 2012) (SR–EDGX–2012–36) (discussing the Exchange’s proposal to reduce its number of free logical ports from ten (10) to five (5)). PO 00000 Frm 00094 Fmt 4703 Sfmt 4703 40781 Exchange proposes to reduce the quantity of free Direct Logical Ports from five (5) sessions to two (2) sessions. The Exchange would assess a monthly fee per logical port for Members and non-Members that maintain three or more Direct Logical Ports. In addition, the Exchange, pursuant to an information circular dated June 4, 2013, communicated to Members and non-Members that the Exchange would propose these changes in a subsequent filing with the Securities and Exchange Commission.6 The Exchange further proposes to make a ministerial change to its fee schedule by changing the name of its HP–API logical ports from ‘‘HP–API’’ to ‘‘Edge XPRS (HP–API).’’ The Exchange proposes to implement these amendments to its fee schedule on July 1, 2013. 2. Statutory Basis The Exchange believes that the proposed rule changes are consistent with the objectives of Section 6 of the Act,7 in general, and furthers the objectives of Section 6(b)(4),8 in particular, as the proposed rule changes are designed to provide for the equitable allocation of reasonable dues, fees and other charges among Members and other persons using the Exchange’s facilities. The Exchange believes its proposal to amend its fee schedule to reduce the quantity of free Direct Logical Ports from five sessions to two sessions represents an equitable allocation of reasonable dues, fees and other charges because the Exchange has recently implemented several infrastructure enhancements that optimized processing speed and capacity per port, thereby requiring fewer ports to communicate the same information. In addition, the proposal to reduce the number of logical ports from five to two will offset the costs of necessary hardware, infrastructure expenses, maintenance fees and staff support costs in operating a national securities exchange. The revenue generated from its proposal will also pay for the technical infrastructure and operating expenses of logical ports along with administrative and infrastructure costs associated with allowing Members and non-Members to establish logical ports to connect to the Exchange’s systems. The Exchange also believes that reducing the quantity of free Direct Logical Ports from five to two sessions 6 See Direct Edge Trading Notice #13–23: Logical Port Fee Changes Effective July 1, 2013, https:// www.directedge.com/About/Announcements/ ViewNewsletterDetail.aspx?NewsletterID=1010. 7 15 U.S.C. 78f. 8 15 U.S.C. 78f(b)(4). E:\FR\FM\08JYN1.SGM 08JYN1

Agencies

[Federal Register Volume 78, Number 130 (Monday, July 8, 2013)]
[Notices]
[Pages 40780-40781]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: 2013-16481]


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SECURITIES AND EXCHANGE COMMISSION


Sunshine Act Meetings

    Notice is hereby given, pursuant to the provisions of the 
Government in the Sunshine Act, Public Law 94-409, that the Securities 
and Exchange

[[Page 40781]]

Commission will hold a Closed Meeting on Thursday, July 10, 2013 at 
4:00 p.m.
    Commissioners, Counsel to the Commissioners, the Secretary to the 
Commission, and recording secretaries will attend the Closed Meeting. 
Certain staff members who have an interest in the matters also may be 
present.
    The General Counsel of the Commission, or her designee, has 
certified that, in her opinion, one or more of the exemptions set forth 
in 5 U.S.C. 552b(c)(3), (5), (7), 9(B) and (10) and 17 CFR 
200.402(a)(3), (5), (7), 9(ii) and (10), permit consideration of the 
scheduled matters at the Closed Meeting.
    Commissioner Gallagher, as duty officer, voted to consider the 
items listed for the Closed Meeting in a closed session.
    The subject matter of the Closed Meeting will be:
    institution and settlement of injunctive actions;
    adjudicatory matters; and
    other matters relating to enforcement proceedings.
    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: July 3, 2013.
Elizabeth M. Murphy,
Secretary.
[FR Doc. 2013-16481 Filed 7-3-13; 4:15 pm]
BILLING CODE 8011-01-P
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