Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 1940, 66702-66703 [2019-26230]
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66702
Federal Register / Vol. 84, No. 234 / Thursday, December 5, 2019 / Notices
Filing Dates: The application was
filed on September 18, 2019, and
amended on November 13, 2019.
Applicant’s Address: 50 South
LaSalle Street, Chicago, Illinois 60603.
SECURITIES AND EXCHANGE
COMMISSION
[Investment Company Act Release No.
33706]
Notice of Applications for
Deregistration Under Section 8(f) of the
Investment Company Act of 1940
November 29, 2019.
The following is a notice of
applications for deregistration under
section 8(f) of the Investment Company
Act of 1940 for the month of November
2019. A copy of each 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 https://www.sec.gov/search/
search.htm or by calling (202) 551–
8090. An order granting each
application will be issued unless the
SEC orders a hearing. Interested persons
may request a hearing on any
application by writing to the SEC’s
Secretary at the address below and
serving the relevant applicant with a
copy of the request, personally or by
mail. Hearing requests should be
received by the SEC by 5:30 p.m. on
December 24, 2019, 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: The Commission: Secretary,
U.S. Securities and Exchange
Commission, 100 F Street NE,
Washington, DC 20549–1090.
FOR FURTHER INFORMATION CONTACT:
Shawn Davis, Assistant Director, at
(202) 551–6413 or Chief Counsel’s
Office at (202) 551–6821; SEC, Division
of Investment Management, Chief
Counsel’s Office, 100 F Street NE,
Washington, DC 20549–8010.
jbell on DSKJLSW7X2PROD with NOTICES
Equity/Long Short Opportunities Fund
[File No. 811–22611]
Summary: Applicant, a closed-end
investment company, seeks an order
declaring that it has ceased to be an
investment company. On July 11, 2019,
applicant made a final liquidating
distribution to its shareholders based on
net asset value. Expenses of $285,369
incurred in connection with the
liquidation were paid by applicant’s
investment adviser.
VerDate Sep<11>2014
17:38 Dec 04, 2019
Jkt 250001
John Hancock Investment Trust III [File
No. 811–04630]
Summary: Applicant seeks an order
declaring that it has ceased to be an
investment company. Applicant has
never made a public offering of its
securities and does not propose to make
a public offering or engage in business
of any kind.
Filing Dates: The application was
filed on August 20, 2019, and amended
on November 1, 2019.
Applicant’s Address: 3 Canal Plaza,
Portland, Maine 04101–4080.
Summary: Applicant seeks an order
declaring that it has ceased to be an
investment company. On May 17, 2019,
applicant made a liquidating
distribution to its shareholders based on
net asset value. Expenses of
approximately $2,000 incurred in
connection with the liquidation were
paid by applicant’s investment adviser.
Applicant has also retained $9,675 for
the purpose of paying final accrued
expenses and outstanding liabilities.
Filing Dates: The application was
filed on September 6, 2019, and
amended on November 14, 2019.
Applicant’s Address: 200 Berkeley
Street, Boston, Massachusetts 02116.
Guggenheim Floating Rate & Income
Fund [File No. 811–22914]
MarketShares ETF Trust [File No. 811–
22817]
Summary: Applicant, a closed-end
investment company, seeks an order
declaring that it has ceased to be an
investment company. Applicant has
never made a public offering of its
securities and does not propose to make
a public offering or engage in business
of any kind.
Filing Dates: The application was
filed July 23, 2019, and amended on
October 31, 2019.
Applicant’s Address: 227 West
Monroe Street, Chicago, Illinois 60606.
Summary: Applicant seeks an order
declaring that it has ceased to be an
investment company. Applicant has
never made a public offering of its
securities and does not propose to make
a public offering or engage in business
of any kind.
Filing Dates: The application was
filed July 15, 2019, and amended on
October 31, 2019.
Applicant’s Address: 4265 San Felipe,
8th Floor, Houston, Texas 77027.
Guggenheim Global Equity Fund [File
No. 811–23070]
Summary: Applicant seeks an order
declaring that it has ceased to be an
investment company. On September 17,
2018, applicant made liquidating
distributions to its shareholders based
on net asset value. Expenses of $16,591
incurred in connection with the
liquidation were paid by Oaktree High
Yield Bond Fund, the sole series of the
applicant.
Filing Dates: The application was
filed on July 23, 2019, and amended on
November 18, 2019.
Applicant’s Address: 333 South
Grand Avenue, 28th Floor, Los Angeles,
California 90071.
Forum ETF Trust [File No. 811–22679]
Summary: Applicant, a closed-end
investment company, seeks an order
declaring that it has ceased to be an
investment company. Applicant has
never made a public offering of its
securities and does not propose to make
a public offering or engage in business
of any kind.
Filing Dates: The application was
filed July 23, 2019, and amended on
October 31, 2019.
Applicant’s Address: 227 West
Monroe Street, Chicago, Illinois 60606.
Guggenheim Middle Market & Income
Fund [File No. 811–23021]
Summary: Applicant, a closed-end
investment company, seeks an order
declaring that it has ceased to be an
investment company. Applicant has
never made a public offering of its
securities and does not propose to make
a public offering or engage in business
of any kind.
Filing Dates: The application was
filed July 23, 2019, and amended on
October 31, 2019.
Applicant’s Address: 227 West
Monroe Street, Chicago, Illinois 60606.
PO 00000
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Fmt 4703
Sfmt 4703
Oaktree Funds [File No. 811–22997]
Olstein Funds [File No. 811–09038]
Summary: Applicant seeks an order
declaring that it has ceased to be an
investment company. The applicant has
transferred its assets to Managed
Portfolio Series, and on September 14,
2018, made a final distribution to its
shareholders based on net asset value.
Expenses of $428,352 incurred in
connection with the reorganization were
paid by the applicant and the
applicant’s investment adviser.
Filing Dates: The application was
filed on August 26, 2019, and amended
on October 30, 2019.
E:\FR\FM\05DEN1.SGM
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Federal Register / Vol. 84, No. 234 / Thursday, December 5, 2019 / Notices
Applicant’s Address: 4
Manhattanville Road, Purchase, New
York 10577.
Oppenheimer Portfolio Series [File No.
811–21686]
Summary: Applicant seeks an order
declaring that it has ceased to be an
investment company. The applicant has
transferred its assets to AIM Growth
Series (Invesco Growth Series), and on
May 24, 2019 made a final distribution
to its shareholders based on net asset
value. Expenses of $1,300,306.94
incurred in connection with the
reorganization were paid by the
applicant’s investment adviser and the
acquiring fund’s investment adviser,
and/or their affiliates.
Filing Dates: The application was
filed on September 12, 2019, and
amended on October 30, 2019.
Applicant’s Address: 6803 South
Tucson Way, Centennial, Colorado
80112.
PSG Capital Management Trust [File
No. 811–22657]
Summary: Applicant seeks an order
declaring that it has ceased to be an
investment company. On July 29, 2019,
applicant made a liquidating
distribution to its shareholders based on
net asset value. Expenses of $8,074
incurred in connection with the
liquidation were paid by applicant’s
investment adviser.
Filing Dates: The application was
filed on August 22, 2019, and amended
on November 4, 2019.
Applicant’s Address: 8161 Maple
Lawn Boulevard, Suite 400, Maple Law,
Maryland 20759.
jbell on DSKJLSW7X2PROD with NOTICES
Trust for Advisor Solutions [File No.
811–21079]
Underlying Funds Trust [File No. 811–
21895]
VerDate Sep<11>2014
17:38 Dec 04, 2019
Jkt 250001
Vanguard Morgan Growth Fund [File
No. 811–01685]
Summary: Applicant seeks an order
declaring that it has ceased to be an
investment company. The applicant has
transferred its assets to Vanguard U.S.
Growth Fund, a series of Vanguard
World Fund, and on April 4, 2019,
made a final distribution to its
shareholders based on net asset value.
Expenses of $223,115.83 incurred in
connection with the reorganization were
paid by the applicant.
Filing Dates: The application was
filed on July 16, 2019, and amended on
November 8, 2019.
Applicant’s Address: P.O. Box 2600,
Valley Forge, Pennsylvania 19482.
For the Commission, by the Division
of Investment Management, pursuant to
delegated authority.
Jill M. Peterson,
Assistant Secretary.
[FR Doc. 2019–26230 Filed 12–4–19; 8:45 am]
BILLING CODE 8011–01–P
SMALL BUSINESS ADMINISTRATION
Information Collection for STEP Grant
Program
Summary: Applicant seeks an order
declaring that it has ceased to be an
investment company. The applicant has
transferred its assets to Staar
Disciplined Strategies Fund, a series of
the Staar Investment Trust, and on
March 28, 2019, made a final
distribution to its shareholders based on
net asset value. Expenses of $12,447.25
incurred in connection with the
reorganization were paid by the
applicant’s investment adviser.
Filing Dates: The application was
filed on September 6, 2019, and
amended on November 6, 2019.
Applicant’s Address: 8510 Colonnade
Center Drive, Suite 150, Raleigh, North
Carolina 27615.
Summary: Applicant seeks an order
declaring that it has ceased to be an
investment company. On April 26,
2017, applicant made a liquidating
distribution to its shareholders based on
net asset value. Expenses of $2,348
incurred in connection with the
liquidation were paid by applicant’s
investment adviser.
Filing Dates: The application was
filed on September 6, 2019, and
amended on November 6, 2019.
Applicant’s Address: 8510 Colonnade
Center Drive, Suite 150, Raleigh, North
Carolina 27615.
U.S. Small Business
Administration.
ACTION: 60-Day notice and request for
comments.
AGENCY:
The Small Business
Administration (SBA) intends to request
approval from the Office of Management
and Budget (OMB) for the collection of
information described below. The
Paperwork Reduction Act (PRA) of 1995
requires federal agencies to publish a
notice in the Federal Register
concerning each proposed collection of
information before submission to OMB,
and to allow 60 days for public
comment in response to the notice. This
notice complies with that requirement.
DATES: Submit comments on or before
February 3, 2020.
ADDRESSES: Send all comments to James
Parker, STEP Program Director, Office of
SUMMARY:
PO 00000
Frm 00055
Fmt 4703
Sfmt 4703
66703
International Trade, Small Business
Administration, 409 3rd Street, 2nd
Floor, Washington, DC 20416.
FOR FURTHER INFORMATION CONTACT:
James Parker, STEP Program Director,
Office of International Trade, Small
Business Administration, james.parker@
sba.gov, 202–205–3644, or Curtis B.
Rich, Management Analyst, 202–205–
7030, curtis.rich@sba.gov.
SUPPLEMENTARY INFORMATION: The
primary objective of the STEP Client
Report form is to collect data on the
quarterly progress of grantees of the
SBA’s State Trade and Export
Promotion (STEP) program. These data
will be used to understand how states
have improved their trade and export
activities and revenue. The STEP
program has two primary objectives: (1)
Increase the number of small businesses
that are exporting and (2) increase the
value of exports for small businesses
that are currently exporting. To achieve
these objectives, SBA provides statelevel grant recipients with funding for
nine activities, including participation
in foreign trade missions, design of
marketing media, and trade show
exhibitions.
Data from the STEP Client Report will
provide SBA with critical information
about the impact of various strategies
used to advance trade and export
activities in each state. These data will
also provide an understanding of the
specific ways in which funded activities
meet SBA’s goal of improving small
business trade and export productivity.
These data may inform strategies that
can be replicated by other small
businesses. These data are not currently
being collected elsewhere and are
critical to understanding the outcomes
of STEP grantee activities.
Solicitation of Public Comments
SBA is requesting comments on (a)
whether the collection of information is
necessary for the agency to properly
perform its functions; (b) whether the
burden estimates are accurate; (c)
whether there are ways to minimize the
burden, including through the use of
automated techniques or other forms of
information technology; and (d) whether
there are ways to enhance the quality,
utility, and clarity of the information.
Summary of Information Collection
Title: STEP Program Quarterly Client
Reporting Form.
Description of Respondents: State
administrators in states that receive an
SBA STEP grant.
Form Number: N/A.
Total Estimated Annual Responses:
90.
E:\FR\FM\05DEN1.SGM
05DEN1
]]>Agencies
[Federal Register Volume 84, Number 234 (Thursday, December 5, 2019)]
[Notices]
[Pages 66702-66703]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2019-26230]
[[Page 66702]]
-----------------------------------------------------------------------
SECURITIES AND EXCHANGE COMMISSION
[Investment Company Act Release No. 33706]
Notice of Applications for Deregistration Under Section 8(f) of
the Investment Company Act of 1940
November 29, 2019.
The following is a notice of applications for deregistration under
section 8(f) of the Investment Company Act of 1940 for the month of
November 2019. A copy of each 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 https://www.sec.gov/search/search.htm or by calling (202) 551-8090. An order granting each
application will be issued unless the SEC orders a hearing. Interested
persons may request a hearing on any application by writing to the
SEC's Secretary at the address below and serving the relevant applicant
with a copy of the request, personally or by mail. Hearing requests
should be received by the SEC by 5:30 p.m. on December 24, 2019, 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: The Commission: Secretary, U.S. Securities and Exchange
Commission, 100 F Street NE, Washington, DC 20549-1090.
FOR FURTHER INFORMATION CONTACT: Shawn Davis, Assistant Director, at
(202) 551-6413 or Chief Counsel's Office at (202) 551-6821; SEC,
Division of Investment Management, Chief Counsel's Office, 100 F Street
NE, Washington, DC 20549-8010.
Equity/Long Short Opportunities Fund [File No. 811-22611]
Summary: Applicant, a closed-end investment company, seeks an order
declaring that it has ceased to be an investment company. On July 11,
2019, applicant made a final liquidating distribution to its
shareholders based on net asset value. Expenses of $285,369 incurred in
connection with the liquidation were paid by applicant's investment
adviser.
Filing Dates: The application was filed on September 18, 2019, and
amended on November 13, 2019.
Applicant's Address: 50 South LaSalle Street, Chicago, Illinois
60603.
Forum ETF Trust [File No. 811-22679]
Summary: Applicant seeks an order declaring that it has ceased to
be an investment company. Applicant has never made a public offering of
its securities and does not propose to make a public offering or engage
in business of any kind.
Filing Dates: The application was filed on August 20, 2019, and
amended on November 1, 2019.
Applicant's Address: 3 Canal Plaza, Portland, Maine 04101-4080.
Guggenheim Floating Rate & Income Fund [File No. 811-22914]
Summary: Applicant, a closed-end investment company, seeks an order
declaring that it has ceased to be an investment company. Applicant has
never made a public offering of its securities and does not propose to
make a public offering or engage in business of any kind.
Filing Dates: The application was filed July 23, 2019, and amended
on October 31, 2019.
Applicant's Address: 227 West Monroe Street, Chicago, Illinois
60606.
Guggenheim Global Equity Fund [File No. 811-23070]
Summary: Applicant, a closed-end investment company, seeks an order
declaring that it has ceased to be an investment company. Applicant has
never made a public offering of its securities and does not propose to
make a public offering or engage in business of any kind.
Filing Dates: The application was filed July 23, 2019, and amended
on October 31, 2019.
Applicant's Address: 227 West Monroe Street, Chicago, Illinois
60606.
Guggenheim Middle Market & Income Fund [File No. 811-23021]
Summary: Applicant, a closed-end investment company, seeks an order
declaring that it has ceased to be an investment company. Applicant has
never made a public offering of its securities and does not propose to
make a public offering or engage in business of any kind.
Filing Dates: The application was filed July 23, 2019, and amended
on October 31, 2019.
Applicant's Address: 227 West Monroe Street, Chicago, Illinois
60606.
John Hancock Investment Trust III [File No. 811-04630]
Summary: Applicant seeks an order declaring that it has ceased to
be an investment company. On May 17, 2019, applicant made a liquidating
distribution to its shareholders based on net asset value. Expenses of
approximately $2,000 incurred in connection with the liquidation were
paid by applicant's investment adviser. Applicant has also retained
$9,675 for the purpose of paying final accrued expenses and outstanding
liabilities.
Filing Dates: The application was filed on September 6, 2019, and
amended on November 14, 2019.
Applicant's Address: 200 Berkeley Street, Boston, Massachusetts
02116.
MarketShares ETF Trust [File No. 811-22817]
Summary: Applicant seeks an order declaring that it has ceased to
be an investment company. Applicant has never made a public offering of
its securities and does not propose to make a public offering or engage
in business of any kind.
Filing Dates: The application was filed July 15, 2019, and amended
on October 31, 2019.
Applicant's Address: 4265 San Felipe, 8th Floor, Houston, Texas
77027.
Oaktree Funds [File No. 811-22997]
Summary: Applicant seeks an order declaring that it has ceased to
be an investment company. On September 17, 2018, applicant made
liquidating distributions to its shareholders based on net asset value.
Expenses of $16,591 incurred in connection with the liquidation were
paid by Oaktree High Yield Bond Fund, the sole series of the applicant.
Filing Dates: The application was filed on July 23, 2019, and
amended on November 18, 2019.
Applicant's Address: 333 South Grand Avenue, 28th Floor, Los
Angeles, California 90071.
Olstein Funds [File No. 811-09038]
Summary: Applicant seeks an order declaring that it has ceased to
be an investment company. The applicant has transferred its assets to
Managed Portfolio Series, and on September 14, 2018, made a final
distribution to its shareholders based on net asset value. Expenses of
$428,352 incurred in connection with the reorganization were paid by
the applicant and the applicant's investment adviser.
Filing Dates: The application was filed on August 26, 2019, and
amended on October 30, 2019.
[[Page 66703]]
Applicant's Address: 4 Manhattanville Road, Purchase, New York
10577.
Oppenheimer Portfolio Series [File No. 811-21686]
Summary: Applicant seeks an order declaring that it has ceased to
be an investment company. The applicant has transferred its assets to
AIM Growth Series (Invesco Growth Series), and on May 24, 2019 made a
final distribution to its shareholders based on net asset value.
Expenses of $1,300,306.94 incurred in connection with the
reorganization were paid by the applicant's investment adviser and the
acquiring fund's investment adviser, and/or their affiliates.
Filing Dates: The application was filed on September 12, 2019, and
amended on October 30, 2019.
Applicant's Address: 6803 South Tucson Way, Centennial, Colorado
80112.
PSG Capital Management Trust [File No. 811-22657]
Summary: Applicant seeks an order declaring that it has ceased to
be an investment company. On July 29, 2019, applicant made a
liquidating distribution to its shareholders based on net asset value.
Expenses of $8,074 incurred in connection with the liquidation were
paid by applicant's investment adviser.
Filing Dates: The application was filed on August 22, 2019, and
amended on November 4, 2019.
Applicant's Address: 8161 Maple Lawn Boulevard, Suite 400, Maple
Law, Maryland 20759.
Trust for Advisor Solutions [File No. 811-21079]
Summary: Applicant seeks an order declaring that it has ceased to
be an investment company. The applicant has transferred its assets to
Staar Disciplined Strategies Fund, a series of the Staar Investment
Trust, and on March 28, 2019, made a final distribution to its
shareholders based on net asset value. Expenses of $12,447.25 incurred
in connection with the reorganization were paid by the applicant's
investment adviser.
Filing Dates: The application was filed on September 6, 2019, and
amended on November 6, 2019.
Applicant's Address: 8510 Colonnade Center Drive, Suite 150,
Raleigh, North Carolina 27615.
Underlying Funds Trust [File No. 811-21895]
Summary: Applicant seeks an order declaring that it has ceased to
be an investment company. On April 26, 2017, applicant made a
liquidating distribution to its shareholders based on net asset value.
Expenses of $2,348 incurred in connection with the liquidation were
paid by applicant's investment adviser.
Filing Dates: The application was filed on September 6, 2019, and
amended on November 6, 2019.
Applicant's Address: 8510 Colonnade Center Drive, Suite 150,
Raleigh, North Carolina 27615.
Vanguard Morgan Growth Fund [File No. 811-01685]
Summary: Applicant seeks an order declaring that it has ceased to
be an investment company. The applicant has transferred its assets to
Vanguard U.S. Growth Fund, a series of Vanguard World Fund, and on
April 4, 2019, made a final distribution to its shareholders based on
net asset value. Expenses of $223,115.83 incurred in connection with
the reorganization were paid by the applicant.
Filing Dates: The application was filed on July 16, 2019, and
amended on November 8, 2019.
Applicant's Address: P.O. Box 2600, Valley Forge, Pennsylvania
19482.
For the Commission, by the Division of Investment Management,
pursuant to delegated authority.
Jill M. Peterson,
Assistant Secretary.
[FR Doc. 2019-26230 Filed 12-4-19; 8:45 am]
BILLING CODE 8011-01-P
