Sunshine Act Meeting, 70368 [2013-28310]

Download as PDF sroberts on DSK5SPTVN1PROD with NOTICES 70368 Federal Register / Vol. 78, No. 227 / Monday, November 25, 2013 / Notices Agreement stating without limitation that their respective boards of directors or trustees and their investment advisers, or trustee and Sponsor, as applicable, understand the terms and conditions of the Order, and agree to fulfill their responsibilities under the Order. At the time of its investment in Shares of a Fund in excess of the limit in section 12(d)(1)(A)(i), a Fund of Funds will notify the Fund of the investment. At such time, the Fund of Funds will also transmit to the Fund a list of the names of each Fund of Funds Affiliate and Underwriting Affiliate. The Fund of Funds will notify the Fund of any changes to the list of the names as soon as reasonably practicable after a change occurs. The Fund and the Fund of Funds will maintain and preserve a copy of the Order, the FOF Participation Agreement, and the list with any updated information for the duration of the investment and for a period of not less than six years thereafter, the first two years in an easily accessible place. 10. Before approving any advisory contract under section 15 of the Act, the board of directors or trustees of each Investing Management Company, including a majority of the noninterested directors or trustees, will find that the advisory fees charged under such contract are based on services provided that will be in addition to, rather than duplicative of, the services provided under the advisory contract(s) of any Fund (or its respective Master Fund) in which the Investing Management Company may invest. These findings and their basis will be fully recorded in the minute books of the appropriate Investing Management Company. 11. Any sales charges and/or service fees charged with respect to shares of a Fund of Funds will not exceed the limits applicable to a fund of funds as set forth in NASD Conduct Rule 2830. 12. No Fund (or its respective Master Fund) will acquire securities of an investment company or company relying on section 3(c)(1) or 3(c)(7) of the Act in excess of the limits contained in section 12(d)(1)(A) of the Act, except to the extent (i) the Fund (or its respective Master Fund) acquires securities of another investment company pursuant to exemptive relief from the Commission permitting the Fund (or its respective Master Fund) to acquire securities of one or more investment companies for short-term cash management purposes or (ii) the Fund acquires securities of the Master Fund pursuant to the Master-Feeder Relief. VerDate Mar<15>2010 17:53 Nov 22, 2013 Jkt 232001 For the Commission, by the Division of Investment Management, under delegated authority. Kevin M. O’Neill, Deputy Secretary. Sunshine Act Meeting Notice is hereby given, pursuant to the provisions of the Government in the Sunshine Act, Public Law 94–409, that the Securities and Exchange Commission will hold a roundtable about proxy advisory firms on December 5, 2013 from 9:30 a.m. to 1:30 p.m. The roundtable panel will be asked to discuss topics including the current state of proxy advisory firm use by investment advisers and institutional investors and potential changes that have been suggested by market participants. Panelists will also be invited to discuss any new ideas. The roundtable discussion will be held at SEC headquarters at 100 F Street NE in Washington, DC The roundtable will be webcast on the Commission’s Web site at www.sec.gov and will be archived for later viewing. Seating for the public will be available. For further information, please contact the Office of the Secretary at (202) 551–5400. and 17 CFR 200.402(a)(3), (5), (7), 9(ii) and (10), permit consideration of the scheduled matter at the Closed Meeting. Commissioner Gallagher, as duty officer, voted to consider the items listed for the Closed Meeting in a closed session and determined that no earlier notice thereof was possible. The subject matter of the Closed Meeting will be: institution and settlement of injunctive actions; institution and settlement of administrative proceedings; 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: November 20, 2013. Elizabeth M. Murphy, Secretary. [FR Doc. 2013–28219 Filed 11–22–13; 8:45 am] BILLING CODE 8011–01–P SECURITIES AND EXCHANGE COMMISSION [FR Doc. 2013–28275 Filed 11–21–13; 11:15 am] BILLING CODE 8011–01–P SECURITIES AND EXCHANGE COMMISSION [Release No. 34–70901; File No. SR–CME– 2013–30] SECURITIES AND EXCHANGE COMMISSION Self-Regulatory Organizations; Chicago Mercantile Exchange Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Corrections to Chicago Mercantile Exchange Inc. Rule 274H.02.A. Regarding Timing of Determination of the Spot Exchange Rate of Chilean Peso per United States Dollar for Use in Settlement of Cleared Spot, Forward and Swap Contracts Sunshine Act Meeting November 19, 2013. Dated: November 21, 2013. Elizabeth M. Murphym Secretary. [FR Doc. 2013–28310 Filed 11–21–13; 4:15 pm] BILLING CODE 8011–01–P Notice is hereby given, pursuant to the provisions of the Government in the Sunshine Act, Public Law 94–409, that the Securities and Exchange Commission will hold a Closed Meeting on Tuesday, November 26, 2013 at 2:00 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) PO 00000 Frm 00112 Fmt 4703 Sfmt 4703 Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (‘‘Act’’),1 and Rule 19b–4 thereunder,2 notice is hereby given that on November 12, 2013, Chicago Mercantile Exchange Inc. (‘‘CME’’) filed with the Securities and Exchange Commission (‘‘Commission’’) the proposed rule change described in Items I, II and III below, which Items have been prepared primarily by CME. CME filed the proposal pursuant to Section 19(b)(3)(A)(iii) of the Act 3 and Rule 19b–4(f)(4)(ii) 4 thereunder so that the 1 15 U.S.C. 78s(b)(1). CFR 240.19b–4. 3 15 U.S.C. 78s(b)(3)(A)(iii). 4 17 CFR 240.19b–4(f)(4)(ii). 2 17 E:\FR\FM\25NON1.SGM 25NON1

Agencies

[Federal Register Volume 78, Number 227 (Monday, November 25, 2013)]
[Notices]
[Page 70368]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: 2013-28310]


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SECURITIES AND EXCHANGE COMMISSION


Sunshine Act Meeting

    Notice is hereby given, pursuant to the provisions of the 
Government in the Sunshine Act, Public Law 94-409, that the Securities 
and Exchange Commission will hold a roundtable about proxy advisory 
firms on December 5, 2013 from 9:30 a.m. to 1:30 p.m.
    The roundtable panel will be asked to discuss topics including the 
current state of proxy advisory firm use by investment advisers and 
institutional investors and potential changes that have been suggested 
by market participants. Panelists will also be invited to discuss any 
new ideas.
    The roundtable discussion will be held at SEC headquarters at 100 F 
Street NE in Washington, DC The roundtable will be webcast on the 
Commission's Web site at www.sec.gov and will be archived for later 
viewing. Seating for the public will be available.
    For further information, please contact the Office of the Secretary 
at (202) 551-5400.

    Dated: November 21, 2013.
Elizabeth M. Murphym
Secretary.
[FR Doc. 2013-28310 Filed 11-21-13; 4:15 pm]
BILLING CODE 8011-01-P