Sunshine Act Meetings, 46768 [2018-20179]

Download as PDF 46768 Federal Register / Vol. 83, No. 179 / Friday, September 14, 2018 / Notices For the Commission, by the Division of Trading and Markets, pursuant to delegated authority.22 Eduardo A. Aleman, Assistant Secretary. certain names or titles; a discussion regarding the Commission’s proposed Form CRS Relationship Summary, including effective disclosure and design. [FR Doc. 2018–19970 Filed 9–13–18; 8:45 am] CONTACT PERSON FOR MORE INFORMATION: BILLING CODE 8011–01–P For further information, please contact Brent J. Fields from the Office of the Secretary at (202) 551–5400. SECURITIES AND EXCHANGE COMMISSION Dated: September 12, 2018. Brent J. Fields, Secretary. Sunshine Act Meetings Notice is hereby given, pursuant to the provisions of the Government in the Sunshine Act, Public Law 94–409, that a public roundtable will be held in Baltimore, MD on Thursday, September 20, 2018 from 6:00–7:30 p.m. (ET). PLACE: The roundtable will be held at the Reginald F. Lewis Museum of Maryland African American History & Culture, 830 E Pratt Street, Baltimore, MD 21202. STATUS: The roundtable will be open to the public. Seating for public observers will be on a first-come, first-served basis. Doors will open at 5:30 p.m. and the event will begin at 6:00 p.m. Visitors will be subject to security checks. A transcript of the roundtable will be made available in the comment file for the Commission’s proposed rulemaking package regarding the standards of conduct for investment professionals. MATTERS TO BE CONSIDERED: On April 18, 2018, the Commission voted to propose a package of rulemakings and interpretations designed to enhance the quality and transparency of investors’ relationships with investment advisers and broker-dealers while preserving access to a variety of types of advice relationships and investment products. On April 24, 2018, Chairman Jay Clayton issued a statement announcing that he had asked SEC staff to put together a series of roundtables focused on the retail investor to be held in different cities across the country. The roundtables are intended to gather information directly from those investors most affected by the Commission’s rulemaking. The Baltimore roundtable is open to the public. This Sunshine Act notice is being issued because a quorum of the Commission may attend the roundtable. The agenda for the meeting includes a discussion with Chairman Clayton, Commissioners Kara Stein, Robert Jackson and Elad Roisman, and senior SEC staff regarding the Commission’s proposed Regulation Best Interest and the proposed restriction on the use of daltland on DSKBBV9HB2PROD with NOTICES TIME AND DATE: 22 17 CFR 200.30–3(a)(12). VerDate Sep<11>2014 17:06 Sep 13, 2018 Jkt 244001 [FR Doc. 2018–20179 Filed 9–12–18; 4:15 pm] BILLING CODE 8011–01–P SECURITIES AND EXCHANGE COMMISSION [Investment Company Act Release No. 33223; 812–14919] Wealthn LLC and TigerShares Trust September 11, 2018. Securities and Exchange Commission (‘‘Commission’’). ACTION: Notice. AGENCY: Notice of an application for an order under section 6(c) of the Investment Company Act of 1940 (the ‘‘Act’’) for an exemption from sections 2(a)(32), 5(a)(1), 22(d), and 22(e) of the Act and rule 22c–1 under the Act, under sections 6(c) and 17(b) of the Act for an exemption from sections 17(a)(1) and 17(a)(2) of the Act, and under section 12(d)(1)(J) for an exemption from sections 12(d)(1)(A) and 12(d)(1)(B) of the Act. The requested order would permit (a) index-based series of certain open-end management investment companies (‘‘Funds’’) to issue shares redeemable in large aggregations only (‘‘Creation Units’’); (b) secondary market transactions in Fund shares to occur at negotiated market prices rather than at net asset value (‘‘NAV’’); (c) certain Funds to pay redemption proceeds, under certain circumstances, more than seven days after the tender of shares for redemption; (d) certain affiliated persons of a Fund to deposit securities into, and receive securities from, the Fund in connection with the purchase and redemption of Creation Units; (e) certain registered management investment companies and unit investment trusts outside of the same group of investment companies as the Funds (‘‘Funds of Funds’’) to acquire shares of the Funds; and (f) certain Funds (‘‘Feeder Funds’’) to create and redeem Creation Units in-kind in a master-feeder structure. APPLICANTS: TigerShares Trust (the ‘‘Trust’’), a Delaware statutory trust, which will register under the Act as an PO 00000 Frm 00071 Fmt 4703 Sfmt 4703 open-end management investment company with multiple series, and Wealthn LLC (the ‘‘Initial Adviser’’), a Delaware limited liability company, which will register as an investment adviser under the Investment Advisers Act of 1940. FILING DATES: The application was filed on June 11, 2018 and amended on August 15, 2018. HEARING OR NOTIFICATION OF HEARING: An order granting the requested relief will be issued unless the Commission orders a hearing. Interested persons may request a hearing by writing to the Commission’s Secretary and serving applicants with a copy of the request, personally or by mail. Hearing requests should be received by the Commission by 5:30 p.m. on October 8, 2018, and should be accompanied by proof of service on applicants, in the form of an affidavit, or for lawyers, a certificate of service. Pursuant to rule 0–5 under the Act, hearing requests should state the nature of the writer’s interest, any facts bearing upon the desirability of a hearing on the matter, the reason for the request, and the issues contested. Persons who wish to be notified of a hearing may request notification by writing to the Commission’s Secretary. ADDRESSES: Secretary, Securities and Exchange Commission, 100 F Street, NE, Washington, DC 20549–1090; Applicants: 3532 Muirwood Drive, Newtown Square, PA 19073. FOR FURTHER INFORMATION CONTACT: Laura L. Solomon, Senior Counsel, at (202) 551–6915, or Kaitlin C. Bottock, Branch Chief, at (202) 551–6821 (Division of Investment Management, Chief Counsel’s Office). SUPPLEMENTARY INFORMATION: The following is a summary of the application. The complete application may be obtained via the Commission’s website by searching for the file number, or for an applicant using the Company name box, at http:// www.sec.gov/search/search.htm or by calling (202) 551–8090. Summary of the Application 1. Applicants request an order that would allow Funds to operate as index exchange traded funds (‘‘ETFs’’).1 Fund 1 Applicants request that the order apply to the Initial Fund and any additional series of the Trust, and any other existing or future open-end management investment company or existing or future series thereof (each, included in the term ‘‘Fund’’), each of which will operate as an ETF and will track a specified index comprised of domestic and/or foreign equity securities and/or domestic and/or foreign fixed income securities (each, an ‘‘Underlying Index’’). Any Fund will (a) be advised by the Initial Adviser or an entity controlling, controlled by, or under common control with the E:\FR\FM\14SEN1.SGM 14SEN1

Agencies

[Federal Register Volume 83, Number 179 (Friday, September 14, 2018)]
[Notices]
[Page 46768]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2018-20179]


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SECURITIES AND EXCHANGE COMMISSION


Sunshine Act Meetings

TIME AND DATE: Notice is hereby given, pursuant to the provisions of 
the Government in the Sunshine Act, Public Law 94-409, that a public 
roundtable will be held in Baltimore, MD on Thursday, September 20, 
2018 from 6:00-7:30 p.m. (ET).

PLACE: The roundtable will be held at the Reginald F. Lewis Museum of 
Maryland African American History & Culture, 830 E Pratt Street, 
Baltimore, MD 21202.

STATUS: The roundtable will be open to the public. Seating for public 
observers will be on a first-come, first-served basis. Doors will open 
at 5:30 p.m. and the event will begin at 6:00 p.m. Visitors will be 
subject to security checks. A transcript of the roundtable will be made 
available in the comment file for the Commission's proposed rulemaking 
package regarding the standards of conduct for investment 
professionals.

MATTERS TO BE CONSIDERED: On April 18, 2018, the Commission voted to 
propose a package of rulemakings and interpretations designed to 
enhance the quality and transparency of investors' relationships with 
investment advisers and broker-dealers while preserving access to a 
variety of types of advice relationships and investment products. On 
April 24, 2018, Chairman Jay Clayton issued a statement announcing that 
he had asked SEC staff to put together a series of roundtables focused 
on the retail investor to be held in different cities across the 
country. The roundtables are intended to gather information directly 
from those investors most affected by the Commission's rulemaking.
    The Baltimore roundtable is open to the public. This Sunshine Act 
notice is being issued because a quorum of the Commission may attend 
the roundtable.
    The agenda for the meeting includes a discussion with Chairman 
Clayton, Commissioners Kara Stein, Robert Jackson and Elad Roisman, and 
senior SEC staff regarding the Commission's proposed Regulation Best 
Interest and the proposed restriction on the use of certain names or 
titles; a discussion regarding the Commission's proposed Form CRS 
Relationship Summary, including effective disclosure and design.

CONTACT PERSON FOR MORE INFORMATION: For further information, please 
contact Brent J. Fields from the Office of the Secretary at (202) 551-
5400.

    Dated: September 12, 2018.
Brent J. Fields,
Secretary.
[FR Doc. 2018-20179 Filed 9-12-18; 4:15 pm]
BILLING CODE 8011-01-P