Sunshine Act Meeting, 28985 [2014-11706]
Download as PDF
<![CDATA[
Federal Register / Vol. 79, No. 97 / Tuesday, May 20, 2014 / Notices
investment company. Applicants further
state that, in the event it imposes
CDSCs, the Fund will apply the CDSCs
(and any waivers or scheduled
variations of the CDSCs) uniformly to all
Members of a given class and
consistently with the requirements of
rule 22d–1 under the Act. Finally, to the
extent the Fund determines to waive,
impose scheduled variations of, or
eliminate the Early Repurchase Fee, it
will do so consistently with the
requirements of Rule 22d–1 under the
1940 Act and the Fund’s waiver of,
scheduled variation in, or elimination
of, the Early Repurchase Fee will apply
uniformly to all classes of shares of the
Fund.
emcdonald on DSK67QTVN1PROD with NOTICES
Asset-based Service and Distribution
Fees
1. Section 17(d) of the Act and rule
17d–1 under the Act prohibit an
affiliated person of a registered
investment company or an affiliated
person of such person, acting as
principal, from participating in or
effecting any transaction in connection
with any joint enterprise or joint
arrangement in which the investment
company participates unless the
Commission issues an order permitting
the transaction. In reviewing
applications submitted under section
17(d) and rule 17d–1, the Commission
considers whether the participation of
the investment company in a joint
enterprise or joint arrangement is
consistent with the provisions, policies
and purposes of the Act, and the extent
to which the participation is on a basis
different from or less advantageous than
that of other participants.
2. Rule 17d–3 under the Act provides
an exemption from section 17(d) and
rule 17d–1 to permit open-end
investment companies to enter into
distribution arrangements pursuant to
rule 12b–1 under the Act. Applicants
request an order pursuant to Section
17(d) of the Act and Rule 17d–1
thereunder to the extent necessary for
the Fund to pay asset-based distribution
and/or service fees. Applicants have
agreed to comply with rules 12b–1 and
17d–3 as if those rules applied to
closed-end investment companies.
Applicants’ Condition
Applicants agree that any order
granting the requested relief will be
subject to the following condition:
Applicants will comply with the
provisions of rules 6c–10, 12b–1, 17d–
3, 18f–3, and 22d–1 under the Act, as
amended from time to time or replaced,
as if those rules applied to closed-end
management investment companies,
and will comply with NASD Conduct
VerDate Mar<15>2010
17:09 May 19, 2014
Jkt 232001
Rule 2830, as amended from time to
time or replaced, as if that rule applied
to all closed-end management
investment companies.
For the Commission, by the Division of
Investment Management, under delegated
authority.
Kevin M. O’Neill,
Deputy Secretary.
[FR Doc. 2014–11571 Filed 5–19–14; 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 Wednesday, May 21, 2014 at 10 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 Stein, as duty officer,
voted to consider the items listed for the
Closed Meeting in 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;
an adjudicatory matter; 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: May 15, 2014.
Kevin M. O’Neill,
Deputy Secretary.
SECURITIES AND EXCHANGE
COMMISSION
[Release No. 34–72163; File No. SR–ISE–
2014–27]
Self-Regulatory Organizations;
International Securities Exchange,
LLC; Notice of Filing and Immediate
Effectiveness of Proposed Rule
Change To Amend the Schedule of
Fees
May 14, 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 May 2,
2014, the International Securities
Exchange, LLC (the ‘‘Exchange’’ or the
‘‘ISE’’) filed with the Securities and
Exchange Commission the proposed
rule change, as described in Items I, II,
and III 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.
I. Self-Regulatory Organization’s
Statement of the Terms of Substance of
the Proposed Rule Change
The ISE proposes to amend its
Schedule of Fees to introduce a new
Market Maker Plus rebate for Market
Makers that quote certain symbols in
size, and to update the definition of
Mini Option to reflect the recent Google
stock split. The text of the proposed rule
change is available on the Exchange’s
Web site (https://www.ise.com), at the
principal office of the Exchange, and at
the Commission’s Public Reference
Room.
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.
[FR Doc. 2014–11706 Filed 5–16–14; 11:15 am]
1 15
BILLING CODE 8011–01–P
2 17
PO 00000
Frm 00104
Fmt 4703
Sfmt 4703
28985
U.S.C. 78s(b)(1).
CFR 240.19b–4.
E:\FR\FM\20MYN1.SGM
20MYN1
]]>Agencies
[Federal Register Volume 79, Number 97 (Tuesday, May 20, 2014)]
[Notices]
[Page 28985]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: 2014-11706]
-----------------------------------------------------------------------
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 Wednesday, May
21, 2014 at 10 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 Stein, as duty officer, voted to consider the items
listed for the Closed Meeting in 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;
an adjudicatory matter; 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: May 15, 2014.
Kevin M. O'Neill,
Deputy Secretary.
[FR Doc. 2014-11706 Filed 5-16-14; 11:15 am]
BILLING CODE 8011-01-P
