Sunshine Act Meeting, 6951 [2014-02600]

Download as PDF mstockstill on DSK4VPTVN1PROD with NOTICES Federal Register / Vol. 79, No. 24 / Wednesday, February 5, 2014 / Notices purchases of securities in Affiliated Underwritings are in the best interest of shareholders of the Fund. 8. Each Fund, or its respective Master Fund, will maintain and preserve permanently in an easily accessible place a written copy of the procedures described in the preceding condition, and any modifications to such procedures, and will maintain and preserve for a period of not less than six years from the end of the fiscal year in which any purchase in an Affiliated Underwriting occurred, the first two years in an easily accessible place, a written record of each purchase of securities in Affiliated Underwritings once an investment by a Fund of Funds in the securities of the Fund exceeds the limit of section 12(d)(1)(A)(i) of the Act, setting forth from whom the securities were acquired, the identity of the underwriting syndicate’s members, the terms of the purchase, and the information or materials upon which the Board’s determinations were made. 9. Before investing in a Fund in excess of the limit in section 12(d)(1)(A), a Fund of Funds and the Trust will execute a FOF Participation 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 disinterested 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 VerDate Mar<15>2010 16:50 Feb 04, 2014 Jkt 232001 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. For the Commission, by the Division of Investment Management, under delegated authority. Kevin M. O’Neill, Deputy Secretary. [FR Doc. 2014–02383 Filed 2–4–14; 8:45 am] BILLING CODE 8011–01–P SECURITIES AND EXCHANGE COMMISSION FEDERAL REGISTER CITATION OF PREVIOUS ANNOUNCEMENT: [79 FR 6244, February 3, 2014]. STATUS: Open Meeting. PLACE: 100 F Street NW., Washington, DC. DATE AND TIME OF PREVIOUSLY ANNOUNCED MEETING: February 5, 2014 at 3:00 p.m. Deletion of an Item. The following item will not be considered during the Commission’s Open Meeting on February 5, 2014 at 3:00 p.m.: CHANGE IN THE MEETING: The Commission will consider whether to adopt rules revising the disclosure, reporting, and offering process for asset-backed securities. The revisions would require assetbacked issuers to provide enhanced disclosures including information for certain asset classes about each asset in the underlying pool in a standardized, tagged format and revise the shelf offering process and eligibility criteria for asset-backed securities. At times, changes in Commission priorities require alterations in the Frm 00071 Fmt 4703 Sfmt 4703 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: February 3, 2014. Elizabeth M. Murphy, Secretary. [FR Doc. 2014–02600 Filed 2–3–14; 4:15 pm] BILLING CODE 8011–01–P SECURITIES AND EXCHANGE COMMISSION Sunshine Act Meeting FEDERAL REGISTER CITATION OF PREVIOUS ANNOUNCEMENT: 79 FR 6243 (February 3, 2014). Closed Meeting. 100 F Street NE., Washington, STATUS: PLACE: DC. DATE AND TIME OF PREVIOUSLY ANNOUNCED MEETING: Thursday, February 6, 2014. Cancellation of Meeting. The Closed Meeting scheduled for Thursday, February 6, 2014 at 2:00 p.m. has been cancelled. For further information please contact the Office of the Secretary at (202) 551– 5400. CHANGE IN THE MEETING: Dated: January 31, 2014. Elizabeth M. Murphy, Secretary. [FR Doc. 2014–02508 Filed 2–3–14; 4:15 pm] BILLING CODE 8011–01–P Sunshine Act Meeting PO 00000 6951 SECURITIES AND EXCHANGE COMMISSION [Release No. 34–71446; File No. SR–ISE– 2014–04] Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Market Maker Risk Parameters January 30, 2014. 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 January 17, 2014, the International Securities Exchange, LLC (the ‘‘Exchange’’ or the ‘‘ISE’’) filed with the Securities and Exchange Commission (‘‘Commission’’) the proposed rule change as described in Items I and II below, which items have been prepared by the Exchange. 1 15 2 17 E:\FR\FM\05FEN1.SGM U.S.C. 78s(b)(1). CFR 240.19b–4. 05FEN1

Agencies

[Federal Register Volume 79, Number 24 (Wednesday, February 5, 2014)]
[Notices]
[Page 6951]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: 2014-02600]


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SECURITIES AND EXCHANGE COMMISSION


Sunshine Act Meeting

FEDERAL REGISTER CITATION OF PREVIOUS ANNOUNCEMENT: [79 FR 6244, 
February 3, 2014].

STATUS: Open Meeting.

PLACE: 100 F Street NW., Washington, DC.

DATE AND TIME OF PREVIOUSLY ANNOUNCED MEETING: February 5, 2014 at 3:00 
p.m.

CHANGE IN THE MEETING: Deletion of an Item.
    The following item will not be considered during the Commission's 
Open Meeting on February 5, 2014 at 3:00 p.m.:

    The Commission will consider whether to adopt rules revising the 
disclosure, reporting, and offering process for asset-backed 
securities. The revisions would require asset-backed issuers to 
provide enhanced disclosures including information for certain asset 
classes about each asset in the underlying pool in a standardized, 
tagged format and revise the shelf offering process and eligibility 
criteria for asset-backed securities.

    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: February 3, 2014.
Elizabeth M. Murphy,
Secretary.
[FR Doc. 2014-02600 Filed 2-3-14; 4:15 pm]
BILLING CODE 8011-01-P
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