Investor Advisory Committee Meeting, 36349 [2014-15013]

Download as PDF Federal Register / Vol. 79, No. 123 / Thursday, June 26, 2014 / Notices 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 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 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 the Fund acquires securities of another investment company pursuant to exemptive relief from the Commission permitting the Fund to acquire securities of one or more investment companies for shortterm cash management purposes. For the Commission, by the Division of Investment Management, under delegated authority. Kevin M. O’Neill, Deputy Secretary. [FR Doc. 2014–14944 Filed 6–25–14; 8:45 am] BILLING CODE 8011–01–P tkelley on DSK3SPTVN1PROD with NOTICES SECURITIES AND EXCHANGE COMMISSION [Release Nos. 33–9603; 34–72448; File No. 265–28] Investor Advisory Committee Meeting Securities and Exchange Commission. AGENCY: VerDate Mar<15>2010 16:51 Jun 25, 2014 Jkt 232001 Notice of Meeting of Securities and Exchange Commission Dodd-Frank Investor Advisory Committee. ACTION: The Securities and Exchange Commission Investor Advisory Committee, established pursuant to Section 911 of the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010, is providing notice that it will hold a public meeting. The public is invited to submit written statements to the Committee. DATES: The meeting will be held on Thursday, July 10, 2014 from 10:00 a.m. until 4:00 p.m. (EDT). Written statements should be received on or before July 10, 2014. ADDRESSES: The meeting will be held in Multi-Purpose Room LL–006 at the Commission’s headquarters, 100 F Street NE., Washington, DC 20549. The meeting will be webcast on the Commission’s Web site at www.sec.gov. Written statements may be submitted by any of the following methods: SUMMARY: 36349 Committee’s subcommittees. Persons needing special accommodations to take part because of a disability should notify the contact person listed in FOR FURTHER INFORMATION CONTACT. The agenda for the meeting includes: Remarks from Commissioners; a public administrative session; a discussion of the definition of accredited investor (which may include a recommendation of the Investor as Purchaser subcommittee); a discussion of elder fraud; a briefing by Commission staff on market structure and the proposed Market Structure Advisory Committee; and nonpublic subcommittee meetings. Dated: June 23, 2014. Kevin M. O’Neill, Deputy Secretary. [FR Doc. 2014–15013 Filed 6–25–14; 8:45 am] BILLING CODE 8011–01–P SECURITIES AND EXCHANGE COMMISSION Electronic Statements [Release No. 34–72442; File No. SR– NASDAQ–2014–066] D Use the Commission’s Internet submission form (https://www.sec.gov/ rules/other.shtml); or D Send an email message to rulescomments@sec.gov. Please include File No. 265–28 on the subject line; or Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Delay Implementation of the Nasdaq Opening Cross Contingency Paper Statements June 20, 2014. D Send paper statements to Kevin M. O’Neill, Deputy Secretary, Securities and Exchange Commission, 100 F Street NE., Washington, DC 20549–1090. All submissions should refer to File No. 265–28. This file number should be included on the subject line if email is used. To help us process and review your statement more efficiently, please use only one method. Statements also will be available for Web site viewing and printing in the Commission’s Public Reference Room, 100 F Street NE., Room 1580, Washington, DC 20549, on official business days between the hours of 10:00 a.m. and 3:00 p.m. All statements 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: Marc Sharma, Senior Special Counsel, Office of the Investor Advocate, at (202) 551–3302, Securities and Exchange Commission, 100 F Street NE., Washington, DC 20549. SUPPLEMENTARY INFORMATION: The meeting will be open to the public, except during portions of the meeting reserved for meetings of the PO 00000 Frm 00064 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 June 13, 2014, The NASDAQ Stock Market LLC (‘‘NASDAQ’’ or the ‘‘Exchange’’) filed with the Securities and Exchange Commission (‘‘Commission’’) a proposed rule change as described in Items I and II below, which Items have been prepared by the Exchange. 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 the Substance of the Proposed Rule Change NASDAQ proposes a rule change to delay implementation of the Opening Cross Contingency. II. Self-Regulatory Organization’s Statement of the Purpose of, and Statutory Basis for, the Proposed Rule Change In its filing with the Commission, NASDAQ included statements concerning the purpose of, and basis for, the proposed rule change and discussed 1 15 2 17 E:\FR\FM\26JNN1.SGM U.S.C. 78s(b)(1). CFR 240.19b–4. 26JNN1

Agencies

[Federal Register Volume 79, Number 123 (Thursday, June 26, 2014)]
[Notices]
[Page 36349]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: 2014-15013]


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SECURITIES AND EXCHANGE COMMISSION

[Release Nos. 33-9603; 34-72448; File No. 265-28]


Investor Advisory Committee Meeting

AGENCY: Securities and Exchange Commission.

ACTION: Notice of Meeting of Securities and Exchange Commission Dodd-
Frank Investor Advisory Committee.

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SUMMARY: The Securities and Exchange Commission Investor Advisory 
Committee, established pursuant to Section 911 of the Dodd-Frank Wall 
Street Reform and Consumer Protection Act of 2010, is providing notice 
that it will hold a public meeting. The public is invited to submit 
written statements to the Committee.

DATES: The meeting will be held on Thursday, July 10, 2014 from 10:00 
a.m. until 4:00 p.m. (EDT). Written statements should be received on or 
before July 10, 2014.

ADDRESSES: The meeting will be held in Multi-Purpose Room LL-006 at the 
Commission's headquarters, 100 F Street NE., Washington, DC 20549. The 
meeting will be webcast on the Commission's Web site at www.sec.gov. 
Written statements may be submitted by any of the following methods:

Electronic Statements

    [ssquf] Use the Commission's Internet submission form (https://www.sec.gov/rules/other.shtml); or
    [ssquf] Send an email message to rules-comments@sec.gov. Please 
include File No. 265-28 on the subject line; or

Paper Statements

    [ssquf] Send paper statements to Kevin M. O'Neill, Deputy 
Secretary, Securities and Exchange Commission, 100 F Street NE., 
Washington, DC 20549-1090.

All submissions should refer to File No. 265-28. This file number 
should be included on the subject line if email is used. To help us 
process and review your statement more efficiently, please use only one 
method.
    Statements also will be available for Web site viewing and printing 
in the Commission's Public Reference Room, 100 F Street NE., Room 1580, 
Washington, DC 20549, on official business days between the hours of 
10:00 a.m. and 3:00 p.m. All statements 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: Marc Sharma, Senior Special Counsel, 
Office of the Investor Advocate, at (202) 551-3302, Securities and 
Exchange Commission, 100 F Street NE., Washington, DC 20549.

SUPPLEMENTARY INFORMATION: The meeting will be open to the public, 
except during portions of the meeting reserved for meetings of the 
Committee's subcommittees. Persons needing special accommodations to 
take part because of a disability should notify the contact person 
listed in FOR FURTHER INFORMATION CONTACT.
    The agenda for the meeting includes: Remarks from Commissioners; a 
public administrative session; a discussion of the definition of 
accredited investor (which may include a recommendation of the Investor 
as Purchaser subcommittee); a discussion of elder fraud; a briefing by 
Commission staff on market structure and the proposed Market Structure 
Advisory Committee; and nonpublic subcommittee meetings.

    Dated: June 23, 2014.
Kevin M. O'Neill,
Deputy Secretary.
[FR Doc. 2014-15013 Filed 6-25-14; 8:45 am]
BILLING CODE 8011-01-P
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