Sunshine Act Meeting, 16071-16072 [2014-06523]

Download as PDF WREIER-AVILES on DSK5TPTVN1PROD with NOTICES Federal Register / Vol. 79, No. 56 / Monday, March 24, 2014 / Notices 12. The expenses, if any, associated with acquiring, holding or disposing of any securities acquired in a CoInvestment Transaction (including, without limitation, the expenses of the distribution of any such securities registered for sale under the 1933 Act) will, to the extent not payable by the Advisers under an Investing BDC’s investment advisory agreements, be shared by the Investing BDCs with respect to a Co-Investment Transaction, in proportion to the relative amounts of the securities to be acquired or disposed of, as the case may be. 13. Any transaction fee (including break-up or commitment fees but excluding broker’s fees contemplated by section 57(k) of the Act) received in connection with a Co-Investment Transaction will be distributed to the Investing BDCs on a pro rata basis based on the amount they invested or committed, as the case may be, in such Co-Investment Transaction. If any transaction fee is to be held by an Adviser pending consummation of the transaction, the fee will be deposited into an account maintained by the Adviser at a bank or banks having the qualifications prescribed in section 26(a)(1) of the Act, and the account will earn a competitive rate of interest that will also be divided pro rata between the Investing BDCs based on the amount they invest in the Co-Investment Transaction. No Investing BDC or any affiliated person of the Investing BDC will receive additional compensation or remuneration of any kind as a result of or in connection with a Co-Investment Transaction (other than (a) in the case of the Investing BDCs, the pro rata transaction fees described above and fees or other compensation described in condition 2(c)(iii)(C) and (b) in the case of the Advisers, investment advisory fees paid in accordance with the Investing BDC’s investment advisory agreements). 14. The Advisers will each maintain written policies and procedures reasonably designed to ensure compliance with the foregoing conditions. These policies and procedures will require, among other things, that HMS Adviser will be notified of all Potential Co-Investment Transactions that fall within the Company’s then-current Objectives and Strategies and will be given sufficient information to make its independent determination and recommendations under conditions 1, 2(a), 7 and 8. VerDate Mar<15>2010 14:29 Mar 21, 2014 Jkt 232001 For the Commission, by the Division of Investment Management, under delegated authority. Kevin M. O’Neill, Deputy Secretary. [FR Doc. 2014–06306 Filed 3–21–14; 8:45 am] BILLING CODE 8011–01–P SECURITIES AND EXCHANGE COMMISSION [Release No. 33–9562; 34–71742; IA–3799; File No. 4–673] Cybersecurity Roundtable Securities and Exchange Commission. ACTION: Notice of roundtable discussion; request for comment. AGENCY: The Securities and Exchange Commission will host a cybersecurity roundtable. Roundtable panelists will discuss the cybersecurity landscape and cybersecurity issues faced by exchanges and other key market systems, brokerdealers, investment advisers, transfer agents, and public companies. Panelists also will be invited to discuss industry and public-private sector coordination efforts relating to assessing and responding to cybersecurity issues. The roundtable discussion will be held in the auditorium of the Securities and Exchange Commission headquarters at 100 F Street NE., Washington, DC on March 26, 2014 from 9:30 a.m. to approximately 3:00 p.m. The public is invited to observe the roundtable discussion. Seating will be available on a first-come, first-serve basis. The roundtable discussion will also be available via webcast on the Commission’s Web site at www.sec.gov. DATES: The roundtable discussion will take place on March 26, 2014. The Commission will accept comments regarding issues addressed at the roundtable until May 2, 2014. ADDRESSES: Comments may be submitted by any of the following methods: SUMMARY: Electronic Comments • Use the Commission’s Internet comment form (https://sec.gov/rules/ other.shtml); or • Send an email to rule-comments@ sec.gov. Please include File Number 4– 673 on the subject line. Paper Comments • Send paper comments in triplicate to Secretary, Securities and Exchange Commission, 100 F Street NE., Washington, DC 20549–1090. All submissions should refer to File Number 4–673. This file number should PO 00000 Frm 00139 Fmt 4703 Sfmt 4703 16071 be included on the subject line if email is used. To help us process and review your comments more efficiently, please only use one method. The Commission will post all comments on the Commission’s Internet Web site (https:// www.sec.gov/rules/other.shtml). Comments are also 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. All comments received will be posted without change; we do not edit personal identifying information from submissions. You should submit only information that you wish to make available publicly. FOR FURTHER INFORMATION CONTACT: Cristie March, Senior Special Counsel, Division of Trading and Markets, at 202–551–5574, David Joire, Senior Counsel, Division of Investment Management, at 202–551–6866, or Jennifer Riegel, Senior Special Counsel, Division of Corporation Finance, at 202– 551–3575, Securities and Exchange Commission, 100 F Street NE., Washington, DC 20549. By the Commission. Dated: March 19, 2014. Kevin M. O’Neill, Deputy Secretary. [FR Doc. 2014–06336 Filed 3–21–14; 8:45 am] BILLING CODE 8011–01–P 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 Closed Meeting on Thursday, March 27, 2014 at 10:30 a.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 matter at the Closed Meeting. Commissioner Piwowar, as duty officer, voted to consider the items listed for the Closed Meeting in closed session. E:\FR\FM\24MRN1.SGM 24MRN1 16072 Federal Register / Vol. 79, No. 56 / Monday, March 24, 2014 / Notices The subject matter of the Closed Meeting will be: Institution and settlement of injunctive actions; institution and settlement of administrative proceedings; 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: March 20, 2014. Kevin M. O’Neill, Deputy Secretary. [FR Doc. 2014–06523 Filed 3–20–14; 4:15 pm] BILLING CODE 8011–01–P 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 cybersecurity roundtable on March 26, 2014 from 9:30 a.m. to 3:00 p.m. Roundtable panelists will discuss the cybersecurity landscape and cybersecurity issues faced by exchanges and other key market systems, brokerdealers, investment advisers, transfer agents, and public companies. Panelists also will be invited to discuss industry and public-private sector coordination efforts relating to assessing and responding to cybersecurity issues. 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: March 19, 2014. Kevin M. O’Neill, Deputy Secretary. WREIER-AVILES on DSK5TPTVN1PROD with NOTICES [FR Doc. 2014–06467 Filed 3–20–14; 11:15 am] BILLING CODE 8011–01–P SECURITIES AND EXCHANGE COMMISSION Closed Meeting. 100 F Street NE., Washington, STATUS: PLACE: DC. DATE AND TIME OF PREVIOUSLY ANNOUNCED MEETING: March 20, 2014 at 2:00 p.m. Additional Item. The following matter will also be considered during the 2:00 p.m. Closed Meeting scheduled for Thursday, March 20: An adjudicatory matter. The General Counsel of the Commission, or her designee, has certified that, in her opinion, one or more of the exemptions as set forth in 5 U.S.C. 552b(c)(2) and (6) and 17 CFR 200.402(a)(2) and (6), permit consideration of the scheduled matter at the Closed Meeting. Commissioner Piwowar, as duty officer, voted to consider the item listed for the Closed Meeting in closed session, and determined that no earlier notice thereof was possible. 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. CHANGE IN THE MEETING: Dated: March 19, 2014. Kevin M. O’Neill, Deputy Secretary. [FR Doc. 2014–06466 Filed 3–20–14; 11:15 am] BILLING CODE 8011–01–P SECURITIES AND EXCHANGE COMMISSION [Release No. 34–71733; File No. SR– NYSEArca–2014–04] Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Designation of Longer Period for Commission Action on Proposed Rule Change To Amend Its Rules by Revising the Order of Priority of Bids and Offers When Executing Orders in Open Outcry March 18, 2014. On January 15, 2014, NYSE Arca, Inc. (‘‘NYSE Arca’’ or ‘‘Exchange’’) filed with the Securities and Exchange Commission (‘‘Commission’’), pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (‘‘Act’’) 1 and Rule 19b–4 thereunder,2 a proposed rule change to amend its rules by revising the order of priority of bids and offers when executing orders in open outcry. The proposed rule change was published for comment in the Federal Register on February 3, 2014.3 The Sunshine Act Meeting Federal Register Citation of Previous Announcement: [79 FR 15163, March 18, 2014] VerDate Mar<15>2010 14:29 Mar 21, 2014 Jkt 232001 1 15 U.S.C. 78s(b)(1). CFR 240.19b–4. 3 See Securities Exchange Act Release No. 71425 (January 28, 2014), 79 FR 6258. 2 17 PO 00000 Frm 00140 Fmt 4703 Sfmt 9990 Commission received nine comment letters from seven commenters.4 Section 19(b)(2) of the Act 5 provides that within 45 days of the publication of notice of the filing of a proposed rule change, or within such longer period up to 90 days as the Commission may designate if it finds such longer period to be appropriate and publishes its reasons for so finding or as to which the self-regulatory organization consents, the Commission shall either approve the proposed rule change, disapprove the proposed rule change, or institute proceedings to determine whether these proposed rule changes should be disapproved. The 45th day for this filing is March 20, 2014. The Commission is extending the 45day time period for Commission action on the proposed rule change. The Commission finds that it is appropriate to designate a longer period within which to take action on the proposed rule change so that it has sufficient time to consider and take action on the Exchange’s proposed rule change. Accordingly, pursuant to Section 19(b)(2)(A)(ii)(I) of the Act 6 and for the reasons stated above, the Commission designates May 2, 2014, as the date by which the Commission should either approve or disapprove, or institute proceedings to determine whether to disapprove, the proposed rule change (File No. SR–NYSEArca–2014–04). For the Commission, by the Division of Trading and Markets, pursuant to delegated authority.7 Kevin M. O’Neill, Deputy Secretary. [FR Doc. 2014–06303 Filed 3–21–14; 8:45 am] BILLING CODE 8011–01–P 4 See Letter from Darren Story, dated January 29, 2014 (‘‘Story Letter’’); Letter from Abraham Kohen, AK FE Consultants, dated January 31, 2014 (‘‘Kohen Letter I’’); Letter from David Spack, Chief Compliance Officer, Casey Securities, LLC, dated February 3, 2014 (‘‘Casey Letter’’); Letter from Abraham Kohen, AK FE Consultants, dated February 4, 2014 (‘‘Kohen Letter II’’); Letter from Angel Alvira, dated February 12, 2014 (‘‘Alvira Letter’’); Letter from Donald Hart, dated February 12, 2014 (‘‘Hart Letter I’’); Letter from Doug Patterson, Chief Compliance Officer, Cutler Group, LP, dated February 13, 2014 (‘‘Cutler Letter’’); Letter from Donald Hart, dated February 18, 2014 (‘‘Hart Letter II’’); and Letter from Gerald D. O’Connell, Chief Regulatory Officer, Susquehanna International Group, LLP, dated March 14, 2014 (‘‘SIG Letter’’). 5 15 U.S.C. 78s(b)(2). 6 15 U.S.C. 78s(b)(2)(A)(ii)(I). 7 17 CFR 200.30–3(a)(31). E:\FR\FM\24MRN1.SGM 24MRN1

Agencies

[Federal Register Volume 79, Number 56 (Monday, March 24, 2014)]
[Notices]
[Pages 16071-16072]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: 2014-06523]


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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 Closed Meeting on Thursday, March 
27, 2014 at 10:30 a.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 matter at the Closed Meeting.
    Commissioner Piwowar, as duty officer, voted to consider the items 
listed for the Closed Meeting in closed session.

[[Page 16072]]

    The subject matter of the Closed Meeting will be: Institution and 
settlement of injunctive actions; institution and settlement of 
administrative proceedings; 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: March 20, 2014.
Kevin M. O'Neill,
Deputy Secretary.
[FR Doc. 2014-06523 Filed 3-20-14; 4:15 pm]
BILLING CODE 8011-01-P
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