Sunshine Act Meeting, 35598 [2014-14695]

Download as PDF emcdonald on DSK67QTVN1PROD with NOTICES 35598 Federal Register / Vol. 79, No. 120 / Monday, June 23, 2014 / Notices Fund 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 limits in section 12(d)(1)(A), an Investing Fund will execute a FOF Participation Agreement with the Fund stating 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), an Investing Fund will notify the Fund of the investment. At such time, the Investing Fund will also transmit to the Fund a list of the names of each Investing Fund Affiliate and Underwriting Affiliate. The Investing Fund will notify the Fund of any changes to the list as soon as reasonably practicable after a change occurs. The Fund and the Investing Fund 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 independent 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 in which the Investing Management Company may invest. These findings and their basis will be recorded fully in the minute books of the appropriate Investing Management Company. 11. Any sales charges and/or service fees charged with respect to shares of an Investing Fund will not exceed the limits applicable to a fund of funds as set forth in NASD Conduct Rule 2830. 12. No Fund relying on the section 12(d)(1) relief will acquire securities of any 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 permitted by exemptive relief from the Commission permitting VerDate Mar<15>2010 17:33 Jun 20, 2014 Jkt 232001 the Fund to purchase shares of other investment companies for short-term cash management purposes. For the Commission, by the Division of Investment Management, under delegated authority. Kevin M. O’Neill, Deputy Secretary. [FR Doc. 2014–14533 Filed 6–20–14; 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 an Open Meeting on Wednesday, June 25, 2014 at 10:00 a.m., in the Auditorium, Room L–002. The subject matter of the Open Meeting will be: The Commission will consider whether to adopt rules regarding the Application of ‘‘Security-based Swap Dealer’’ and ‘‘Major Security-based Swap Participant’’ Definitions to CrossBorder Security-Based Swap Activities under the Securities Exchange Act of 1934 and Title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act. 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: June 18, 2014. Kevin M. O’Neill, Deputy Secretary. [FR Doc. 2014–14695 Filed 6–19–14; 4:15 pm] BILLING CODE 8011–01–P PO 00000 SECURITIES AND EXCHANGE COMMISSION [Release No. 34–72411; File No. SR– NASDAQ–2014–040] Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Order Granting Approval of a Proposed Rule Change Relating to the Listing and Trading of the Shares of the Calamos Focus Growth ETF of the Calamos ETF Trust June 17, 2014. I. Introduction On April 21, 2014, The NASDAQ Stock Market LLC (‘‘Nasdaq’’ or the ‘‘Exchange’’) filed with the Securities and Exchange Commission (‘‘Commission’’), pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (‘‘Act’’ or ‘‘Exchange Act’’) 1 and Rule 19b–4 thereunder,2 a proposed rule change to list and trade the shares (‘‘Shares’’) of the Calamos Focus Growth ETF (‘‘Fund’’) under Nasdaq Rule 5735. The proposed rule change was published for comment in the Federal Register on May 9, 2014.3 The Commission received no comments on the proposal. This order grants approval of the proposed rule change. II. Description of the Proposed Rule Change A. The Exchange’s Proposal The Exchange proposes to list and trade Shares of the Fund under Nasdaq Rule 5735, which governs the listing and trading of Managed Fund Shares on the Exchange. The Shares will be offered by Calamos ETF Trust (‘‘Trust’’), which is registered with the Commission as an investment company.4 The Fund is a series of the Trust. Calamos Advisors LLC will be the investment adviser (‘‘Adviser’’) to the Fund. Foreside Fund Services, LLC will be the principal underwriter and distributor of the Fund’s Shares, and State Street Bank and Trust will act as the administrator, accounting agent, custodian, and transfer agent to the Fund. 1 15 U.S.C.78s(b)(1). CFR 240.19b–4. 3 See Securities Exchange Act Release No. 72096 (May 5, 2014), 79 FR 26789 (‘‘Notice’’). 4 The Trust has filed a registration statement on Form N–1A (‘‘Registration Statement’’) with the Commission. See Initial Registration Statement on Form N–1A for the Trust, dated September 13, 2013 (File Nos. 333–191151 and 811–22887). In addition, the Exchange states that the Trust has obtained certain exemptive relief under the 1940. Act See Investment Company Act Release No. 30653 (August 20, 2013) (File No. 812–14169) (‘‘Exemptive Order’’). 2 17 Frm 00087 Fmt 4703 Sfmt 4703 E:\FR\FM\23JNN1.SGM 23JNN1

Agencies

[Federal Register Volume 79, Number 120 (Monday, June 23, 2014)]
[Notices]
[Page 35598]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: 2014-14695]


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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 an Open Meeting on Wednesday, June 
25, 2014 at 10:00 a.m., in the Auditorium, Room L-002.
    The subject matter of the Open Meeting will be:
    The Commission will consider whether to adopt rules regarding the 
Application of ``Security-based Swap Dealer'' and ``Major Security-
based Swap Participant'' Definitions to Cross-Border Security-Based 
Swap Activities under the Securities Exchange Act of 1934 and Title VII 
of the Dodd-Frank Wall Street Reform and Consumer Protection Act.
    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: June 18, 2014.
Kevin M. O'Neill,
Deputy Secretary.
[FR Doc. 2014-14695 Filed 6-19-14; 4:15 pm]
BILLING CODE 8011-01-P
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