Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 1940, 65718-65719 [2013-26037]
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Federal Register / Vol. 78, No. 212 / Friday, November 1, 2013 / Notices
number of portfolios referenced in each
initial filing and post-effective
amendment is 1. The Commission
further estimates that the hour burden
for preparing and filing an initial
registration statement on Form N–2 is
515 hours per portfolio, and the hour
burden for preparing and filing a posteffective amendment on Form N–2 is
107 hours per portfolio. The estimated
annual hour burden for preparing and
filing initial registration statements is
83,430 hours (162 initial registration
statements × 1 portfolio × 515 hours per
portfolio). The estimated annual hour
burden for preparing and filing posteffective amendments is 3,103 hours (29
post-effective amendments × 1 portfolio
× 107 hours per portfolio). The
estimated total annual hour burden for
Form N–2, therefore, is estimated to be
86,533 hours (83,430 hours + 3,103
hours).
The information collection
requirements imposed by Form N–2 are
mandatory. Responses to the collection
of information will not be kept
confidential. An agency may not
conduct or sponsor, and a person is not
required to respond to a collection of
information unless it displays a
currently valid control number.
The public may view the background
documentation for this information
collection at the following Web site:
www.reginfo.gov. Comments should be
directed to: (i) Desk Officer for the
Securities and Exchange Commission,
Office of Information and Regulatory
Affairs, Office of Management and
Budget, Room 10102, New Executive
Office Building, Washington, DC 20503,
or by sending an email to: Shagufta_
Ahmed@omb.eop.gov; and (ii) Thomas
Bayer, Chief Information Officer,
Securities and Exchange Commission,
c/o Remi Pavlik-Simon, 100 F Street
NE., Washington, DC 20549 or by
sending an email to: PRA_Mailbox@
sec.gov. Comments must be submitted to
OMB within 30 days of this notice.
Dated: October 28, 2013.
Kevin M. O’Neill,
Deputy Secretary.
[FR Doc. 2013–26035 Filed 10–31–13; 8:45 am]
BILLING CODE 8011–01–P
emcdonald on DSK67QTVN1PROD with NOTICES
SECURITIES AND EXCHANGE
COMMISSION
Submission for OMB Review;
Comment Request
Upon Written Request, Copies Available
From: Securities and Exchange
Commission, Office of Investor
Education and Advocacy,
Washington, DC 20549–0213.
VerDate Mar<15>2010
17:40 Oct 31, 2013
Jkt 232001
Extension:
Rule 15c3–5, SEC File No. 270–601, OMB
Control No. 3235–0673.
Notice is hereby given that, pursuant
to the Paperwork Reduction Act of 1995
(44 U.S.C. 3501 et seq.) (‘‘PRA’’), the
Securities and Exchange Commission
(‘‘Commission’’) has submitted to the
Office of Management and Budget
(‘‘OMB’’) a request for approval of
extension of the previously approved
collection of information provided for in
Rule 15c3–5 (17 CFR 240.15c3–5) under
the Securities and Exchange Act of 1934
(15 U.S.C. 78a et seq.) (‘‘Exchange Act’’).
Rule 15c3–5 under the Exchange Act
requires brokers or dealers with access
to trading directly on an exchange or
alternative trading system (‘‘ATS’’),
including those providing sponsored or
direct market access to customers or
other persons, to implement risk
management controls and supervisory
procedures reasonably designed to
manage the financial, regulatory, and
other risks of this business activity.
The rule requires brokers or dealers to
establish, document, and maintain
certain risk management controls and
supervisory procedures as well as
regularly review such controls and
procedures, and document the review,
and remediate issues discovered to
assure overall effectiveness of such
controls and procedures. Each such
broker or dealer is required to preserve
a copy of its supervisory procedures and
a written description of its risk
management controls as part of its books
and records in a manner consistent with
Rule 17a–4(e)(7) under the Exchange
Act. Such regular review is required to
be conducted in accordance with
written procedures and is required to be
documented. The broker or dealer is
required to preserve a copy of such
written procedures, and documentation
of each such review, as part of its books
and records in a manner consistent with
Rule 17a–4(e)(7) under the Exchange
Act, and Rule 17a–4(b) under the
Exchange Act, respectively.
In addition, the Chief Executive
Officer (or equivalent officer) is required
to certify annually that the broker or
dealer’s risk management controls and
supervisory procedures comply with the
rule, and that the broker-dealer
conducted such review. Such
certifications are required to be
preserved by the broker or dealer as part
of its books and records in a manner
consistent with Rule 17a–4(b) under the
Exchange Act. Compliance with Rule
15c3–5 is mandatory.
Respondents consist of broker-dealers
with access to trading directly on an
exchange or ATS. The Commission
estimates that there are currently 870
PO 00000
Frm 00114
Fmt 4703
Sfmt 4703
respondents. To comply with Rule
15c3–5, these respondents will spend
approximately 139,200 hours per year
(160 hours per broker-dealer × 870
broker-dealers = 139,200 hours). At an
average internal cost per burden hour of
approximately $390.57, the resultant
total related internal cost of compliance
for these respondents is $54,367,170 per
year (139,200 burden hours multiplied
by approximately $390.57/hour). In
addition, for hardware and software
expenses, the Commission estimates
that the average annual external cost
would be approximately $20,500 per
broker-dealer, or $17,835,000 ($20,500
per broker-dealer × 870 broker-dealers =
$17,835,000)
An agency may not conduct or
sponsor, and a person is not required to
respond to, a collection of information
under the PRA unless it displays a
currently valid OMB control number.
The public may view background
documentation for this information
collection at the following Web site:
www.reginfo.gov. Comments should be
directed to: (i) Desk Officer for the
Securities and Exchange Commission,
Office of Information and Regulatory
Affairs, Office of Management and
Budget, Room 10102, New Executive
Office Building, Washington, DC 20503,
or by sending an email to: Shagufta_
Ahmed@omb.eop.gov; and (ii) Thomas
Bayer, Director/Chief Information
Officer, Securities and Exchange
Commission, c/o Remi Pavlik-Simon,
100 F Street NE., Washington, DC
20549, or by sending an email to: PRA_
Mailbox@sec.gov. Comments must be
submitted to OMB within 30 days of
this notice.
Dated: October 28, 2013.
Kevin M. O’Neill,
Deputy Secretary.
[FR Doc. 2013–26036 Filed 10–31–13; 8:45 am]
BILLING CODE 8011–01–P
SECURITIES AND EXCHANGE
COMMISSION
[Release No. IC–30765]
Notice of Applications for
Deregistration Under Section 8(f) of the
Investment Company Act of 1940
October 25, 2013.
The following is a notice of
applications for deregistration under
section 8(f) of the Investment Company
Act of 1940 for the month of October,
2013. A copy of each application may be
obtained via the Commission’s Web site
by searching for the file number, or for
an applicant using the Company name
box, at https://www.sec.gov/search/
E:\FR\FM\01NON1.SGM
01NON1
Federal Register / Vol. 78, No. 212 / Friday, November 1, 2013 / Notices
search.htm or by calling (202) 551–
8090. An order granting each
application will be issued unless the
SEC orders a hearing. Interested persons
may request a hearing on any
application by writing to the SEC’s
Secretary at the address below and
serving the relevant applicant with a
copy of the request, personally or by
mail. Hearing requests should be
received by the SEC by 5:30 p.m. on
November 19, 2013, and should be
accompanied by proof of service on the
applicant, in the form of an affidavit or,
for lawyers, a certificate of service.
Hearing requests should state the nature
of the writer’s interest, the reason for the
request, and the issues contested.
Persons who wish to be notified of a
hearing may request notification by
writing to the Secretary, U.S. Securities
and Exchange Commission, 100 F Street
NE., Washington, DC 20549–1090.
FOR FURTHER INFORMATION CONTACT:
Diane L. Titus at (202) 551–6810, SEC,
Division of Investment Management,
Exemptive Applications Office, 100 F
Street NE., Washington, DC 20549–
8010.
SEI Alpha Strategy Portfolios, LP [File
No. 811–22112]
Summary: Applicant seeks an order
declaring that it has ceased to be an
investment company. On August 30,
2013, applicant made a liquidating
distribution to its shareholder, based on
net asset value. Expenses of
approximately $3,500 incurred in
connection with the liquidation were
paid by SEI Investments Management
Corporation, applicant’s investment
adviser.
Filing Date: The application was filed
on September 27, 2013.
Applicant’s Address: One Freedom
Valley Dr., Oaks, PA 19456.
emcdonald on DSK67QTVN1PROD with NOTICES
John Hancock Series Trust [File No.
811–3392]
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Multi-Cap Growth Portfolio [File No.
811–8558]; Focused Growth Portfolio
[File No. 811–10607]; Global Dividend
Income Portfolio [File No. 811–21875]
Hwy., Building 8, Suite 150, Austin, TX
78746.
Summary: Each applicant seeks an
order declaring that it has ceased to be
an investment company. On July 25,
2012, July 20, 2012, and August 21,
2012, respectively, applicants made
final liquidating distributions to their
shareholders, based on net asset value.
Applicants incurred no expenses in
connection with the liquidations.
Filing Dates: The applications were
filed on September 20, 2013, and
amended on October 9, 2013.
Applicants’ Address: Two
International Place, Boston, MA 02110.
Summary: Applicant, a closed-end
investment company, seeks an order
declaring that it has ceased to be an
investment company. On June 18, 2013,
applicant made a liquidating
distribution to its shareholders, based
on net asset value. Expenses of $11,000
incurred in connection with the
liquidation were paid by applicant.
Filing Date: The application was filed
on October 9, 2013.
Applicant’s Address: c/o UBS
Alternative and Quantitative Investment
LLC, 677 Washington Blvd., Stamford,
CT 06901
Arden Macro Fund, L.L.C. [File No.
811–22702]; Arden Macro Master Fund,
L.L.C. [File No. 811–22703]
Summary: Each applicant seeks an
order declaring that it has ceased to be
an investment company. Applicants
have never made public offerings of
their securities and do not propose to
make public offerings or engage in
business of any kind.
Filing Dates: The applications were
filed on August 30, 2013, and amended
on October 7, 2013.
Applicants’ Address: 375 Park Ave.,
32nd Floor, New York, NY 10152.
Greater China Growth Portfolio [File
No. 811–7264]
Summary: Applicant seeks an order
declaring that it has ceased to be an
investment company. On July 31, 2012,
applicant made a liquidating
distribution to its shareholders, based
on net asset value. Applicant incurred
no expenses in connection with the
liquidation.
Filing Dates: The application was
filed on September 20, 2013, and
amended on October 9, 2013.
Applicant’s Address: Two
International Place, Boston, MA 02110.
Empiric Funds, Inc. [File No. 811–9088]
Summary: Applicant seeks an order
declaring that it has ceased to be an
investment company. On June 28, 2013,
applicant made a liquidating
distribution to its shareholders, based
on net asset value. Applicant paid
$9,454 in expenses incurred in
connection with the liquidation.
Applicant has retained $20,540 in cash,
which is being held in escrow, for
payment of specified unpaid liabilities.
Filing Date: The application was filed
on September 30, 2013.
Applicant’s Address: 601 Congress
St., Boston, MA 02210–2805.
65719
Summary: Applicant seeks an order
declaring that it has ceased to be an
investment company. Applicant has
transferred its assets to Mutual Fund
Series Trust, and on April 5, 2013,
applicant made a final distribution to its
shareholders based on net asset value.
Expenses of $61,000 incurred in
connection with the reorganization were
paid by the applicant and Empiric
Advisors, Inc., applicant’s investment
adviser.
Filing Date: The application was filed
on October 3, 2013.
Applicant’s Address: Empiric
Advisors, Inc., 500 N Capital of Texas
PO 00000
Frm 00115
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UBS Juniper Crossover Fund, LLC [File
No. 811–10113]
Separate Account I of Washington
National Insurance Company [File No.
811–3640]
Summary: Applicant, Separate
Account I of Washington National
Insurance Company, a unit investment
trust registered under the Investment
Company Act of 1940 (the ‘‘Act’’), seeks
an order declaring that it has ceased to
be an investment company. Washington
National Insurance Company
(‘‘Company’’), of which Applicant is a
separate account, terminated the
offering of Applicant’s variable annuity
contracts (‘‘Contracts’’) after 1996. The
Applicant no longer accepts new
purchase payments and the Company
has not engaged in any solicitation or
marketing activities with respect to the
Contracts for 17 years. The Applicant
has no securityholders other than the
current 95 beneficial owners of the
Contracts. Applicant is not making and
does not presently propose to make a
public offering of the Contracts. After
the deregistration order requested by the
Applicant is issued, securityholders
under the Contracts will be promptly
notified that certain legal protections
afforded to securityholders of an
investment company registered under
the Act will no longer apply. However,
after issuance of the order, the Company
will continue to be responsible for
satisfying all the obligations to
securityholders under the Contracts.
Filing Date: The application was filed
on September 3, 2013.
Applicant’s Address: 11815 N.
Pennsylvania Street, Carmel IN 46032.
For the Commission, by the Division of
Investment Management, pursuant to
delegated authority.
Kevin M. O’Neill,
Deputy Secretary.
[FR Doc. 2013–26037 Filed 10–31–13; 8:45 am]
BILLING CODE 8011–01–P
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]]>Agencies
[Federal Register Volume 78, Number 212 (Friday, November 1, 2013)]
[Notices]
[Pages 65718-65719]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: 2013-26037]
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SECURITIES AND EXCHANGE COMMISSION
[Release No. IC-30765]
Notice of Applications for Deregistration Under Section 8(f) of
the Investment Company Act of 1940
October 25, 2013.
The following is a notice of applications for deregistration under
section 8(f) of the Investment Company Act of 1940 for the month of
October, 2013. A copy of each application may be obtained via the
Commission's Web site by searching for the file number, or for an
applicant using the Company name box, at https://www.sec.gov/search/
[[Page 65719]]
search.htm or by calling (202) 551-8090. An order granting each
application will be issued unless the SEC orders a hearing. Interested
persons may request a hearing on any application by writing to the
SEC's Secretary at the address below and serving the relevant applicant
with a copy of the request, personally or by mail. Hearing requests
should be received by the SEC by 5:30 p.m. on November 19, 2013, and
should be accompanied by proof of service on the applicant, in the form
of an affidavit or, for lawyers, a certificate of service. Hearing
requests should state the nature of the writer's interest, the reason
for the request, and the issues contested. Persons who wish to be
notified of a hearing may request notification by writing to the
Secretary, U.S. Securities and Exchange Commission, 100 F Street NE.,
Washington, DC 20549-1090.
FOR FURTHER INFORMATION CONTACT: Diane L. Titus at (202) 551-6810, SEC,
Division of Investment Management, Exemptive Applications Office, 100 F
Street NE., Washington, DC 20549-8010.
SEI Alpha Strategy Portfolios, LP [File No. 811-22112]
Summary: Applicant seeks an order declaring that it has ceased to
be an investment company. On August 30, 2013, applicant made a
liquidating distribution to its shareholder, based on net asset value.
Expenses of approximately $3,500 incurred in connection with the
liquidation were paid by SEI Investments Management Corporation,
applicant's investment adviser.
Filing Date: The application was filed on September 27, 2013.
Applicant's Address: One Freedom Valley Dr., Oaks, PA 19456.
John Hancock Series Trust [File No. 811-3392]
Summary: Applicant seeks an order declaring that it has ceased to
be an investment company. On June 28, 2013, applicant made a
liquidating distribution to its shareholders, based on net asset value.
Applicant paid $9,454 in expenses incurred in connection with the
liquidation. Applicant has retained $20,540 in cash, which is being
held in escrow, for payment of specified unpaid liabilities.
Filing Date: The application was filed on September 30, 2013.
Applicant's Address: 601 Congress St., Boston, MA 02210-2805.
Multi-Cap Growth Portfolio [File No. 811-8558]; Focused Growth
Portfolio [File No. 811-10607]; Global Dividend Income Portfolio [File
No. 811-21875]
Summary: Each applicant seeks an order declaring that it has ceased
to be an investment company. On July 25, 2012, July 20, 2012, and
August 21, 2012, respectively, applicants made final liquidating
distributions to their shareholders, based on net asset value.
Applicants incurred no expenses in connection with the liquidations.
Filing Dates: The applications were filed on September 20, 2013,
and amended on October 9, 2013.
Applicants' Address: Two International Place, Boston, MA 02110.
Arden Macro Fund, L.L.C. [File No. 811-22702]; Arden Macro Master Fund,
L.L.C. [File No. 811-22703]
Summary: Each applicant seeks an order declaring that it has ceased
to be an investment company. Applicants have never made public
offerings of their securities and do not propose to make public
offerings or engage in business of any kind.
Filing Dates: The applications were filed on August 30, 2013, and
amended on October 7, 2013.
Applicants' Address: 375 Park Ave., 32nd Floor, New York, NY 10152.
Greater China Growth Portfolio [File No. 811-7264]
Summary: Applicant seeks an order declaring that it has ceased to
be an investment company. On July 31, 2012, applicant made a
liquidating distribution to its shareholders, based on net asset value.
Applicant incurred no expenses in connection with the liquidation.
Filing Dates: The application was filed on September 20, 2013, and
amended on October 9, 2013.
Applicant's Address: Two International Place, Boston, MA 02110.
Empiric Funds, Inc. [File No. 811-9088]
Summary: Applicant seeks an order declaring that it has ceased to
be an investment company. Applicant has transferred its assets to
Mutual Fund Series Trust, and on April 5, 2013, applicant made a final
distribution to its shareholders based on net asset value. Expenses of
$61,000 incurred in connection with the reorganization were paid by the
applicant and Empiric Advisors, Inc., applicant's investment adviser.
Filing Date: The application was filed on October 3, 2013.
Applicant's Address: Empiric Advisors, Inc., 500 N Capital of Texas
Hwy., Building 8, Suite 150, Austin, TX 78746.
UBS Juniper Crossover Fund, LLC [File No. 811-10113]
Summary: Applicant, a closed-end investment company, seeks an order
declaring that it has ceased to be an investment company. On June 18,
2013, applicant made a liquidating distribution to its shareholders,
based on net asset value. Expenses of $11,000 incurred in connection
with the liquidation were paid by applicant.
Filing Date: The application was filed on October 9, 2013.
Applicant's Address: c/o UBS Alternative and Quantitative
Investment LLC, 677 Washington Blvd., Stamford, CT 06901
Separate Account I of Washington National Insurance Company [File No.
811-3640]
Summary: Applicant, Separate Account I of Washington National
Insurance Company, a unit investment trust registered under the
Investment Company Act of 1940 (the ``Act''), seeks an order declaring
that it has ceased to be an investment company. Washington National
Insurance Company (``Company''), of which Applicant is a separate
account, terminated the offering of Applicant's variable annuity
contracts (``Contracts'') after 1996. The Applicant no longer accepts
new purchase payments and the Company has not engaged in any
solicitation or marketing activities with respect to the Contracts for
17 years. The Applicant has no securityholders other than the current
95 beneficial owners of the Contracts. Applicant is not making and does
not presently propose to make a public offering of the Contracts. After
the deregistration order requested by the Applicant is issued,
securityholders under the Contracts will be promptly notified that
certain legal protections afforded to securityholders of an investment
company registered under the Act will no longer apply. However, after
issuance of the order, the Company will continue to be responsible for
satisfying all the obligations to securityholders under the Contracts.
Filing Date: The application was filed on September 3, 2013.
Applicant's Address: 11815 N. Pennsylvania Street, Carmel IN 46032.
For the Commission, by the Division of Investment Management,
pursuant to delegated authority.
Kevin M. O'Neill,
Deputy Secretary.
[FR Doc. 2013-26037 Filed 10-31-13; 8:45 am]
BILLING CODE 8011-01-P
