Sunshine Act Meeting, 65437 [2014-26235]
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Federal Register / Vol. 79, No. 213 / Tuesday, November 4, 2014 / Notices
a new fee should provide the
Participants more flexibility to change
fees. Current voting requirements for
reducing or eliminating an existing fee
or for establishing a new fee vary widely
under the CTA and CQ Plans.9 The
proposed Amendments harmonize
requirements under the Plans for
effecting fee-related changes. As a result
of the proposed Amendments, both
Plans would require a two-thirds vote to
establish or increase a fee or to
eliminate or reduce a fee. These changes
would provide Participants with greater
flexibility with respect to the Plans’ fee
schedule. The changes would also
harmonize voting requirements under
the CTA Plan and the CQ Plan with
corresponding requirements under the
OPRA Plan.
IV. Conclusion
It is therefore ordered, pursuant to
Section 11A of the Act,10 and the rules
thereunder, that the proposed
Amendments to the CTA and CQ Plans
are approved.
For the Commission, by the Division of
Trading and Markets, pursuant to delegated
authority.11
Kevin M. O’Neil,
Deputy Secretary.
[FR Doc. 2014–26119 Filed 11–3–14; 8:45 am]
BILLING CODE 8011–01–P
SECURITIES AND EXCHANGE
COMMISSION
rmajette on DSK3VPTVN1PROD with NOTICES
listed for the Closed Meeting in closed
session.
The subject matter of the Closed
Meeting will be:
Institution and settlement of
injunctive actions;
Institution settlement of
administrative proceedings;
Adjudicatory matter;
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.
the Exchange, and at the Commission’s
Public Reference Room.
Dated: October 30, 2014.
Brent J. Fields,
Secretary.
[FR Doc. 2014–26235 Filed 10–31–14; 11:15 am]
A. Self-Regulatory Organization’s
Statement of the Purpose of, and
Statutory Basis for, the Proposed Rule
Change
BILLING CODE 8011–01–P
1. Purpose
SECURITIES AND EXCHANGE
COMMISSION
[Release No. 34–73464; File No. SR–
NYSEArca–2014–120]
Self-Regulatory Organizations; NYSE
Arca, Inc.; Notice of Filing of Proposed
Rule Change Relating to Listing and
Trading Shares of the Sit Rising Rate
Fund Under NYSE Arca Equities Rule
8.200
October 29, 2014.
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, November 6, 2014 at 2:00
p.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
Notice at 60555.
U.S.C. 78k–1.
11 17 CFR 200.30–3(a)(27).
Pursuant to Section 19(b)(1) 1 of the
Securities Exchange Act of 1934 (the
‘‘Act’’) 2 and Rule 19b–4 thereunder,3
notice is hereby given that, on October
16, 2014, NYSE Arca, Inc. (the
‘‘Exchange’’ or ‘‘NYSE Arca’’) filed with
the Securities and Exchange
Commission (the ‘‘Commission’’) the
proposed rule change as described in
Items I, II, and III below, which Items
have been prepared by the selfregulatory 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 Exchange proposes to list and
trade shares of the Sit Rising Rate Fund
under NYSE Arca Equities Rule 8.200.
The text of the proposed rule change is
available on the Exchange’s Web site at
www.nyse.com, at the principal office of
9 See
1 15
10 15
2 15
VerDate Sep<11>2014
15:39 Nov 03, 2014
U.S.C. 78s(b)(1).
U.S.C. 78a.
3 17 CFR 240.19b–4.
Jkt 235001
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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 those statements may be examined at
the places specified in Item IV below.
The Exchange has prepared summaries,
set forth in sections A, B, and C below,
of the most significant parts of such
statements.
NYSE Arca Equities Rule 8.200,
Commentary .02 permits the trading of
Trust Issued Receipts (‘‘TIRs’’) either by
listing or pursuant to unlisted trading
privileges (‘‘UTP’’).4 The Exchange
proposes to list and trade shares
(‘‘Shares’’) of the Sit Rising Rate Fund
(‘‘Fund’’) pursuant to NYSE Arca
Equities Rule 8.200. The Fund is a series
of the ETF Managers Group Commodity
Trust I (the ‘‘Trust’’), a Delaware
statutory trust.5
The Exchange notes that the
Commission has previously approved
the listing and trading of other issues of
TIRs on the American Stock Exchange
LLC,6 trading on NYSE Arca pursuant to
UTP,7 and listing on NYSE Arca.8 In
4 Commentary .02 to NYSE Arca Equities Rule
8.200 applies to Trust Issued Receipts that invest
in ‘‘Financial Instruments.’’ The term ‘‘Financial
Instruments,’’ as defined in Commentary .02(b)(4) to
NYSE Arca Equities Rule 8.200, means any
combination of investments, including cash;
securities; options on securities and indices; futures
contracts; options on futures contracts; forward
contracts; equity caps, collars and floors; and swap
agreements.
5 The Trust submitted a registration statement
with respect to the Fund on Form S–1 under the
Securities Act of 1933 (‘‘1933 Act’’) on October 7,
2014 (File No. 333–199190) (the ‘‘Registration
Statement’’). The description of the Fund and the
Shares contained herein are based, in part, on the
Registration Statement.
6 See, e.g., Securities Exchange Act Release No.
58161 (July 15, 2008), 73 FR 42380 (July 21, 2008)
(SR–Amex–2008–39).
7 See, e.g., Securities Exchange Act Release No.
58163 (July 15, 2008), 73 FR 42391 (July 21, 2008)
(SR–NYSEArca–2008–73).
8 See, e.g., Securities Exchange Act Release No.
70209 (August 15, 2013), 78 FR 51269 (June 24,
2013) (SR–NYSEArca–2013–60); Securities
Exchange Act Release No. 58457 (September 3,
2008), 73 FR 52711 (September 10, 2008) (SR–
NYSEArca–2008–91).
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[Federal Register Volume 79, Number 213 (Tuesday, November 4, 2014)]
[Notices]
[Page 65437]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: 2014-26235]
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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,
November 6, 2014 at 2:00 p.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.
The subject matter of the Closed Meeting will be:
Institution and settlement of injunctive actions;
Institution settlement of administrative proceedings;
Adjudicatory matter;
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: October 30, 2014.
Brent J. Fields,
Secretary.
[FR Doc. 2014-26235 Filed 10-31-14; 11:15 am]
BILLING CODE 8011-01-P
