Self-Regulatory Organizations; Cboe EDGA Exchange, Inc.; Notice of Withdrawal of a Proposed Rule Change To Introduce a Small Retail Broker Distribution Program, 22216-22217 [2020-08380]
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Federal Register / Vol. 85, No. 77 / Tuesday, April 21, 2020 / Notices
public interest, for the protection of
investors, or otherwise in furtherance of
the purposes of the Act. If the
Commission takes such action, the
Commission will institute proceedings
to determine whether the proposed rule
change should be approved or
disapproved.
IV. Solicitation of Comments
Interested persons are invited to
submit written data, views, and
arguments concerning the foregoing,
including whether the proposed rule
change is consistent with the Act.
Comments may be submitted by any of
the following methods:
lotter on DSKBCFDHB2PROD with NOTICES
Electronic Comments
• Use the Commission’s internet
comment form (https://www.sec.gov/
rules/sro.shtml); or
• Send an email to rule-comments@
sec.gov. Please include File Number SR–
CBOE–2020–032 on the subject line.
Paper Comments
• Send paper comments in triplicate
to Secretary, Securities and Exchange
Commission, 100 F Street NE,
Washington, DC 20549–1090.
All submissions should refer to File
Number SR–CBOE–2020–032. This file
number should be included on the
subject line if email is used. To help the
Commission process and review your
comments more efficiently, please use
only one method. The Commission will
post all comments on the Commission’s
internet website (https://www.sec.gov/
rules/sro.shtml). Copies of the
submission, all subsequent
amendments, all written statements
with respect to the proposed rule
change that are filed with the
Commission, and all written
communications relating to the
proposed rule change between the
Commission and any person, other than
those that may be withheld from the
public in accordance with the
provisions of 5 U.S.C. 552, will be
available for website viewing and
printing in the Commission’s Public
Reference Room, 100 F Street NE,
Washington, DC 20549, on official
business days between the hours of
10:00 a.m. and 3:00 p.m. Copies of the
filing also will be available for
inspection and copying at the principal
office of the Exchange. All comments
received will be posted without change.
Persons submitting comments are
cautioned that we do not redact or edit
personal identifying information from
comment submissions. You should
submit only information that you wish
to make available publicly. All
submissions should refer to File
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Number SR–CBOE–2020–032 and
should be submitted on or before May
12, 2020.
For the Commission, by the Division of
Trading and Markets, pursuant to delegated
authority.12
J. Matthew DeLesDernier,
Assistant Secretary.
[FR Doc. 2020–08368 Filed 4–20–20; 8:45 am]
BILLING CODE 8011–01–P
SECURITIES AND EXCHANGE
COMMISSION
[Release No. 34–88641; File No. SR–
CboeBYX–2019–015]
Self-Regulatory Organizations; Cboe
BYX Exchange, Inc.; Notice of
Withdrawal of a Proposed Rule Change
To Introduce a Small Retail Broker
Distribution Program
April 15, 2020.
On October 1, 2019, Cboe BYX
Exchange, Inc. (‘‘Exchange’’ or ‘‘BYX’’)
filed with the Securities and Exchange
Commission (‘‘Commission’’), pursuant
to Section 19(b)(1) of the Securities
Exchange Act of 1934 (‘‘Act’’),1 and
Rule 19b–4 thereunder,2 a proposed rule
change to amend the BYX fee schedule
to introduce a Small Retail Broker
Distribution Program. The proposed rule
change was immediately effective upon
filing with the Commission pursuant to
Section 19(b)(3)(A) of the Act.3 The
proposed rule change was published for
comment in the Federal Register on
October 21, 2019.4 The Commission
received no comment letters regarding
the proposed rule change. On December
10, 2019, the Commission issued an
order temporarily suspending the
proposed rule change pursuant to
Section 19(b)(3)(C) of the Act 5 and
simultaneously instituting proceedings
under Section 19(b)(2)(B) of the Act 6 to
determine whether to approve or
disapprove the proposed rule change
(‘‘OIP’’).7 The Commission received no
comment letters in response to the OIP.
On April 9, 2020, the Exchange
withdrew the proposed rule change
(SR–CboeBYX–2019–015).
12 17
CFR 200.30–3(a)(12).
U.S.C. 78s(b)(1).
2 17 CFR 240.19b–4.
3 15 U.S.C. 78s(b)(3)(A).
4 See Securities Exchange Act Release No. 87305
(October 15, 2019), 84 FR 56210 (October 21, 2019).
5 15 U.S.C. 78s(b)(3)(C).
6 15 U.S.C. 78s(b)(2)(B).
7 See Securities Exchange Act Release No. 87713
(December 10, 2019), 84 FR 68530 (December 16,
2019).
1 15
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For the Commission, by the Division of
Trading and Markets, pursuant to delegated
authority.8
J. Matthew DeLesDernier,
Assistant Secretary.
[FR Doc. 2020–08371 Filed 4–20–20; 8:45 am]
BILLING CODE 8011–01–P
SECURITIES AND EXCHANGE
COMMISSION
[Release No. 34–88643; File No. SR–
CboeEDGA–2019–013]
Self-Regulatory Organizations; Cboe
EDGA Exchange, Inc.; Notice of
Withdrawal of a Proposed Rule Change
To Introduce a Small Retail Broker
Distribution Program
April 15, 2020.
On August 1, 2019, Cboe EDGA
Exchange, Inc. (‘‘Exchange’’ or ‘‘EDGA’’)
filed with the Securities and Exchange
Commission (‘‘Commission’’), pursuant
to Section 19(b)(1) of the Securities
Exchange Act of 1934 (‘‘Act’’),1 and
Rule 19b–4 thereunder,2 a proposed rule
change to amend the EDGA fee schedule
to introduce a Small Retail Broker
Distribution Program. The proposed rule
change was immediately effective upon
filing with the Commission pursuant to
Section 19(b)(3)(A) of the Act.3 The
proposed rule change was published for
comment in the Federal Register on
August 20, 2019.4 The Commission
received no comment letters regarding
the proposed rule change. On
September 30, 2019, the Commission
issued an order temporarily suspending
the proposed rule change pursuant to
Section 19(b)(3)(C) of the Act 5 and
simultaneously instituting proceedings
under Section 19(b)(2)(B) of the Act 6 to
determine whether to approve or
disapprove the proposed rule change
(‘‘OIP’’).7 The Commission received no
comment letters in response to the OIP.
On February 12, 2020, pursuant to
Section 19(b)(2) of the Act,8 the
Commission designated a longer period
within which to approve or disapprove
the proposed rule change.9 On April 9,
2020, the Exchange withdrew the
8 17
CFR 200.30–3(a)(57) and (58).
U.S.C. 78s(b)(1).
2 17 CFR 240.19b–4.
3 15 U.S.C. 78s(b)(3)(A).
4 See Securities Exchange Act Release No. 86676
(August 14, 2019), 84 FR 43218 (August 20, 2019).
5 15 U.S.C. 78s(b)(3)(C).
6 15 U.S.C. 78s(b)(2)(B).
7 See Securities Exchange Act Release No. 87165
(September 30, 2019), 84 FR 53205 (October 4,
2019).
8 15 U.S.C. 78s(b)(2).
9 See Securities Exchange Act Release No. 88177
(February 12, 2020), 85 FR 9493 (February 19,
2020).
1 15
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Federal Register / Vol. 85, No. 77 / Tuesday, April 21, 2020 / Notices
proposed rule change (SR–CboeEDGA–
2019–013).
For the Commission, by the Division of
Trading and Markets, pursuant to delegated
authority.10
J. Matthew DeLesDernier,
Assistant Secretary.
[FR Doc. 2020–08380 Filed 4–20–20; 8:45 am]
BILLING CODE 8011–01–P
the proposed rule change.9 On April 9,
2020, the Exchange withdrew the
proposed rule change (SR–CboeBZX–
2019–069).
For the Commission, by the Division of
Trading and Markets, pursuant to delegated
authority.10
J. Matthew DeLesDernier,
Assistant Secretary.
[FR Doc. 2020–08383 Filed 4–20–20; 8:45 am]
BILLING CODE 8011–01–P
SECURITIES AND EXCHANGE
COMMISSION
SECURITIES AND EXCHANGE
COMMISSION
[Release No. 34–88646; File No. SR–
CboeBZX–2019–069]
Self-Regulatory Organizations; Cboe
BZX Exchange, Inc.; Notice of
Withdrawal of a Proposed Rule Change
To Introduce a Small Retail Broker
Distribution Program
April 15, 2020.
On August 1, 2019, Cboe BZX
Exchange, Inc. (‘‘Exchange’’ or ‘‘BZX’’)
filed with the Securities and Exchange
Commission (‘‘Commission’’), pursuant
to Section 19(b)(1) of the Securities
Exchange Act of 1934 (‘‘Act’’),1 and
Rule 19b–4 thereunder,2 a proposed rule
change to amend the BZX fee schedule
to introduce a Small Retail Broker
Distribution Program. The proposed rule
change was immediately effective upon
filing with the Commission pursuant to
Section 19(b)(3)(A) of the Act.3 The
proposed rule change was published for
comment in the Federal Register on
August 20, 2019.4 The Commission
received no comment letters regarding
the proposed rule change. On
September 30, 2019, the Commission
issued an order temporarily suspending
the proposed rule change pursuant to
Section 19(b)(3)(C) of the Act 5 and
simultaneously instituting proceedings
under Section 19(b)(2)(B) of the Act 6 to
determine whether to approve or
disapprove the proposed rule change
(‘‘OIP’’).7 The Commission received no
comment letters in response to the OIP.
On February 12, 2020, pursuant to
Section 19(b)(2) of the Act,8 the
Commission designated a longer period
within which to approve or disapprove
10 17
CFR 200.30–3(a)(57) and (58).
U.S.C. 78s(b)(1).
2 17 CFR 240.19b–4.
3 15 U.S.C. 78s(b)(3)(A).
4 See Securities Exchange Act Release No. 86667
(August 14, 2019), 84 FR 43233 (August 20, 2019).
5 15 U.S.C. 78s(b)(3)(C).
6 15 U.S.C. 78s(b)(2)(B).
7 See Securities Exchange Act Release No. 87164
(September 30, 2019), 84 FR 53208 (October 4,
2019).
8 15 U.S.C. 78s(b)(2).
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[Investment Company Act Release No.
33839; File No. 812–15019]
Great Elm Capital Corp., et al.
April 15, 2020.
Securities and Exchange
Commission (‘‘Commission’’).
ACTION: Notice.
AGENCY:
Notice of application for an order
under sections 17(d) and 57(i) of the
Investment Company Act of 1940 (the
‘‘Act’’) and rule 17d–1 under the Act to
permit certain joint transactions
otherwise prohibited by sections 17(d)
and 57(a)(4) of the Act and rule 17d–1
under the Act.
SUMMARY OF APPLICATION: Applicants
request an order to permit certain
business development companies
(‘‘BDCs’’) and closed-end management
investment companies to co-invest in
portfolio companies with each other and
with affiliated investment funds.
APPLICANTS: Great Elm Capital Corp.
(‘‘GECC’’), Great Elm Capital
Management, Inc. (‘‘Great Elm
Adviser’’), each on behalf of itself and
its successors,1 and Great Elm
Opportunities Fund I, LP (‘‘Existing
Affiliated Fund’’).
FILING DATES: The application was filed
on April 11, 2019, and amended on
October 2, 2019 and January 16, 2020.
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 emailing the
Commission’s Secretary at SecretarysOffice@sec.gov and serving applicants
with a copy of the request by email.
Hearing requests should be received by
the Commission by 5:30 p.m. on May
9 See Securities Exchange Act Release No. 88180
(February 12, 2020), 85 FR 9504 (February 19,
2020).
10 17 CFR 200.30–3(a)(57) and (58).
1 For the purposes of the requested order, a
‘‘successor’’ includes an entity or entities that result
from a reorganization into another jurisdiction or a
change in the type of business organization.
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22217
11, 2020 and should be accompanied by
proof of service on the 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
emailing the Commission’s Secretary at
Secretarys-Office@sec.gov.
ADDRESSES: The
Commission: Secretarys-Office@sec.gov.
Applicants: Great Elm Capital Corp.
geccoperations@greatelmcap.com.
ADDRESSES:
Jill
Ehrlich, Senior Counsel, at (202) 551–
6819, or Andrea Ottomanelli Magovern,
Branch Chief, at (202) 551–6821
(Division of Investment Management,
Chief Counsel’s Office).
FOR FURTHER INFORMATION CONTACT:
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 https://
www.sec.gov/search/search.htm or by
calling (202) 551–8090.
SUPPLEMENTARY INFORMATION:
Applicants’ Representations
1. GECC is a Maryland corporation
organized as a closed-end management
investment company that has elected to
be regulated as a BDC under section
54(a) of the Act.2 GECC’s Objectives and
Strategies 3 are to seek to generate both
current income and capital
appreciation, while seeking to protect
against risk of capital loss, by investing
predominantly in the debt securities of
middle market companies, which GECC
defines as companies with enterprise
values between $100.0 million and $2.0
billion. The business and affairs of
GECC are managed under the direction
of a Board,4 a majority of whose
2 Section 2(a)(48) defines a BDC to be any closedend investment company that operates for the
purpose of making investments in securities
described in sections 55(a)(1) through 55(a)(3) of the
Act and makes available significant managerial
assistance with respect to the issuers of such
securities.
3 ‘‘Objectives and Strategies’’ means the
investment objectives and strategies of a Regulated
Fund (as defined below), as described in the
Regulated Fund’s registration statement, other
filings the Regulated Fund has made with the
Commission under the Securities Act of 1933 (the
‘‘Securities Act’’), or under the Securities Exchange
Act of 1934, and the Regulated Fund’s reports to
shareholders.
4 The term ‘‘Board’’ means, with respect to any
Regulated Fund, the board of directors of that
Regulated Fund.
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]]>Agencies
[Federal Register Volume 85, Number 77 (Tuesday, April 21, 2020)]
[Notices]
[Pages 22216-22217]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2020-08380]
-----------------------------------------------------------------------
SECURITIES AND EXCHANGE COMMISSION
[Release No. 34-88643; File No. SR-CboeEDGA-2019-013]
Self-Regulatory Organizations; Cboe EDGA Exchange, Inc.; Notice
of Withdrawal of a Proposed Rule Change To Introduce a Small Retail
Broker Distribution Program
April 15, 2020.
On August 1, 2019, Cboe EDGA Exchange, Inc. (``Exchange'' or
``EDGA'') filed with the Securities and Exchange Commission
(``Commission''), pursuant to Section 19(b)(1) of the Securities
Exchange Act of 1934 (``Act''),\1\ and Rule 19b-4 thereunder,\2\ a
proposed rule change to amend the EDGA fee schedule to introduce a
Small Retail Broker Distribution Program. The proposed rule change was
immediately effective upon filing with the Commission pursuant to
Section 19(b)(3)(A) of the Act.\3\ The proposed rule change was
published for comment in the Federal Register on August 20, 2019.\4\
The Commission received no comment letters regarding the proposed rule
change. On September 30, 2019, the Commission issued an order
temporarily suspending the proposed rule change pursuant to Section
19(b)(3)(C) of the Act \5\ and simultaneously instituting proceedings
under Section 19(b)(2)(B) of the Act \6\ to determine whether to
approve or disapprove the proposed rule change (``OIP'').\7\ The
Commission received no comment letters in response to the OIP. On
February 12, 2020, pursuant to Section 19(b)(2) of the Act,\8\ the
Commission designated a longer period within which to approve or
disapprove the proposed rule change.\9\ On April 9, 2020, the Exchange
withdrew the
[[Page 22217]]
proposed rule change (SR-CboeEDGA-2019-013).
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\1\ 15 U.S.C. 78s(b)(1).
\2\ 17 CFR 240.19b-4.
\3\ 15 U.S.C. 78s(b)(3)(A).
\4\ See Securities Exchange Act Release No. 86676 (August 14,
2019), 84 FR 43218 (August 20, 2019).
\5\ 15 U.S.C. 78s(b)(3)(C).
\6\ 15 U.S.C. 78s(b)(2)(B).
\7\ See Securities Exchange Act Release No. 87165 (September 30,
2019), 84 FR 53205 (October 4, 2019).
\8\ 15 U.S.C. 78s(b)(2).
\9\ See Securities Exchange Act Release No. 88177 (February 12,
2020), 85 FR 9493 (February 19, 2020).
For the Commission, by the Division of Trading and Markets,
pursuant to delegated authority.\10\
---------------------------------------------------------------------------
\10\ 17 CFR 200.30-3(a)(57) and (58).
---------------------------------------------------------------------------
J. Matthew DeLesDernier,
Assistant Secretary.
[FR Doc. 2020-08380 Filed 4-20-20; 8:45 am]
BILLING CODE 8011-01-P
