Sunshine Act Meetings, 26506-26507 [2020-09626]
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Federal Register / Vol. 85, No. 86 / Monday, May 4, 2020 / Notices
through BrokerCheck. The economic
impact of this aspect of the proposed
rule change, therefore, is expected to be
limited.
The proposed rule change is not
expected to harm or hinder competition
among individuals currently registered
as brokers who were previously
registered as investment adviser
representatives. Under the proposed
rule change, similar past employment
information as an investment adviser
representative would be displayed
through BrokerCheck regardless of
whether that previous employment was
at (1) a firm dually registered as a
broker-dealer and an investment
adviser, or (2) a firm solely registered as
an investment adviser. Information is
also currently available through IAPD
describing the investment adviser firms
at which the individuals were
previously employed.
Alternatives Considered
No alternatives were considered for
this proposed rule change.
C. Self-Regulatory Organization’s
Statement on Comments on the
Proposed Rule Change Received From
Members, Participants, or Others
Written comments were neither
solicited nor received.
III. Date of Effectiveness of the
Proposed Rule Change and Timing for
Commission Action
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Because the foregoing proposed rule
change does not: (i) Significantly affect
the protection of investors or the public
interest; (ii) impose any significant
burden on competition; and (iii) become
operative for 30 days from the date on
which it was filed, or such shorter time
as the Commission may designate, it has
become effective pursuant to Section
19(b)(3)(A) of the Act 24 and Rule 19b–
4(f)(6) thereunder.25
At any time within 60 days of the
filing of the proposed rule change, the
Commission summarily may
temporarily suspend such rule change if
it appears to the Commission that such
action is necessary or appropriate in the
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 shall institute proceedings
to determine whether the proposed rule
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:
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–
FINRA–2020–012 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–FINRA–2020–012. 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
a.m. and 3 p.m. Copies of such filing
also will be available for inspection and
copying at the principal office of
FINRA. 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 Number SR–FINRA–
2020–012 and should be submitted on
or before May 26, 2020.
For the Commission, by the Division of
Trading and Markets, pursuant to delegated
authority.26
J. Matthew DeLesDernier,
Assistant Secretary.
[FR Doc. 2020–09374 Filed 5–1–20; 8:45 am]
BILLING CODE 8011–01–P
24 15
U.S.C. 78s(b)(3)(A).
25 17 CFR 240.19b–4(f)(6).
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SECURITIES AND EXCHANGE
COMMISSION
Sunshine Act Meetings
Notice is hereby given,
pursuant to the provisions of the
Government in the Sunshine Act, Public
Law 94–409, the Securities and
Exchange Commission will hold an
Open Meeting on Wednesday, May 6,
2020 at 1:00 p.m.
PLACE: The meeting will be held via
remote means and/or at the
Commission’s headquarters, 100 F
Street NE, Washington, DC 20549.
STATUS: This meeting will begin at 1:00
p.m. (ET) and will be open to the public
via audio webcast only on the
Commission’s website at www.sec.gov.
MATTER TO BE CONSIDERED: Whether to
adopt a final order, following the
issuance of a proposed order on January
8, 2020 for public comment, that would
require the national securities
exchanges for equities and FINRA to
propose a single, new national market
system (NMS) plan to increase
transparency and address inefficiencies,
conflicts of interest and other issues
presented by the current governance
structure of the three NMS plans that
govern the public dissemination of realtime, consolidated equity market data
for NMS stocks.
CONTACT PERSON FOR MORE INFORMATION:
For further information and to ascertain
what, if any, matters have been added,
deleted or postponed, please contact
Vanessa A. Countryman, Office of the
Secretary, at (202) 551–5400.
TIME AND DATE:
Dated: April 29, 2020.
Vanessa A. Countryman,
Secretary.
[FR Doc. 2020–09560 Filed 4–30–20; 11:15 am]
BILLING CODE 8011–01–P
SECURITIES AND EXCHANGE
COMMISSION
Sunshine Act Meetings
FEDERAL REGISTER CITATION OF PREVIOUS
ANNOUNCEMENT: To Be Published.
PREVIOUSLY ANNOUNCED TIME AND DATE OF
THE MEETING: Wednesday, May 6, 2020
at 1:00 p.m.
The Closed
Meeting scheduled for Wednesday, May
6, 2020 at 1:00 p.m. has been changed
to Wednesday, May 6, 2020 at 10:00
a.m.
CONTACT PERSON FOR MORE INFORMATION:
For further information and to ascertain
what, if any, matters have been added,
deleted or postponed, please contact the
CHANGES IN THE MEETING:
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Federal Register / Vol. 85, No. 86 / Monday, May 4, 2020 / Notices
Dated: April 29, 2020.
Vanessa A. Countryman,
Secretary.
Office of the Secretary at (202) 551–
5400.
Dated: April 30, 2020.
Vanessa A. Countryman,
Secretary.
[FR Doc. 2020–09529 Filed 4–30–20; 11:15 am]
BILLING CODE 8011–01–P
[FR Doc. 2020–09626 Filed 4–30–20; 4:15 pm]
BILLING CODE 8011–01–P
SECURITIES AND EXCHANGE
COMMISSION
SECURITIES AND EXCHANGE
COMMISSION
[Investment Company Act Release No.
33857; File No. 812–15075]
Sunshine Act Meetings
TIME AND DATE:
First Trust Series Fund, et. al.
1:00 p.m. on Wednesday,
May 6, 2020.
Securities and Exchange
Commission (‘‘Commission’’).
AGENCY:
The meeting will be held via
remote means and/or at the
Commission’s headquarters, 100 F
Street NE, Washington, DC 20549.
PLACE:
ACTION:
This meeting will be closed to
the public.
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STATUS:
MATTERS TO BE CONSIDERED:
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.
In the event that the time, date, or
location of this meeting changes, an
announcement of the change, along with
the new time, date, and/or place of the
meeting will be posted on the
Commission’s website at https://
www.sec.gov.
The General Counsel of the
Commission, or his designee, has
certified that, in his opinion, one or
more of the exemptions set forth in 5
U.S.C. 552b(c)(3), (5), (6), (7), (8), 9(B)
and (10) and 17 CFR 200.402(a)(3),
(a)(5), (a)(6), (a)(7), (a)(8), (a)(9)(ii) and
(a)(10), permit consideration of the
scheduled matters at the closed meeting.
The subject matter of the closed
meeting will consist of the following
topic:
Institution and settlement of
injunctive actions;
Institution and settlement of
administrative proceedings;
Resolution of litigation claims; and
Other matters relating to enforcement
proceedings.
At times, changes in Commission
priorities require alterations in the
scheduling of meeting agenda items that
may consist of adjudicatory,
examination, litigation, or regulatory
matters.
CONTACT PERSON FOR MORE INFORMATION:
For further information; please contact
Vanessa A. Countryman from the Office
of the Secretary at (202) 551–5400.
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April 28, 2020.
Notice.
Notice of an application for an order
pursuant to: (a) Section 6(c) of the
Investment Company Act of 1940
(‘‘Act’’) granting an exemption from
sections 18(f) and 21(b) of the Act; (b)
section 12(d)(1)(J) of the Act granting an
exemption from section 12(d)(1) of the
Act; (c) sections 6(c) and 17(b) of the
Act granting an exemption from sections
17(a)(1), 17(a)(2) and 17(a)(3) of the Act;
and (d) section 17(d) of the Act and rule
17d–1 under the Act to permit certain
joint arrangements and transactions.
Applicants request an order that would
permit certain registered open-end
management investment companies to
participate in a joint lending and
borrowing facility.
Applicants: First Trust Series Fund,
First Trust Variable Insurance Trust,
First Trust Exchange-Traded Fund, First
Trust Exchange-Traded Fund II, First
Trust Exchange-Traded Fund III, First
Trust Exchange-Traded Fund IV, First
Trust Exchange-Traded Fund V, First
Trust Exchange-Traded Fund VI, First
Trust Exchange-Traded Fund VII, First
Trust Exchange-Traded Fund VIII, First
Trust Exchange-Traded AlphaDEX®
Fund, and First Trust Exchange-Traded
AlphaDEX® Fund II, each an investment
company organized as a Massachusetts
business trust and registered under the
Act as an open-end management
investment company, and on behalf of
each of their respective series 1, and
First Trust Advisors L.P. (the
‘‘Adviser’’), an Illinois limited
partnership registered as an investment
adviser under the Investment Advisers
Act of 1940.
1 Certain of the Funds (defined below) may be
money market funds that comply with Rule 2a–7
under the Act (each a ‘‘Money Market Fund Money
Market Funds typically will not participate as
borrowers under the interfund lending facility
because they rarely need to borrow cash to meet
redemptions.
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Filing Dates: The application was
filed on October 22, 2019 and amended
on February 13, 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 emailing the
Commission’s Secretary at SecretarysOffice@sec.gov and serving applicants
with a copy of the request, personally,
by mail, or by email. Hearing requests
should be received by the Commission
by 5:30 p.m. on May 25, 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: Secretary, U.S. Securities
and Exchange Commission, SecretarysOffice@sec.gov; Applicants: Attention:
W. Scott Jardine, 120 East Liberty Drive,
Suite 400, Wheaton, IL 60187, sjardine@
ftportfolios.com.
FOR FURTHER INFORMATION CONTACT: Lily
D. Vo, Senior Counsel, at (202) 551–
5431, or Kaitlin 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 an applicant using the
Company name box, at https://
www.sec.gov/search/search.htm or by
calling (202) 551–8090.
Summary of the Application
1. Applicants request an order that
would permit the applicants to
participate in an interfund lending
facility where each Fund could lend
money directly to and borrow money
directly from other Funds to cover
unanticipated cash shortfalls, such as
unanticipated redemptions or sales
fails.2 The Funds will not borrow under
2 Applicants request that the order apply to the
applicants and to any existing or future registered
open-end management investment company or
series thereof for which the Adviser or any
successor thereto or an investment adviser
controlling, controlled by, or under common
control with the Adviser or any successor thereto
serves as investment adviser (each a ‘‘Fund’’ and
collectively the ‘‘Funds’’ and each such investment
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[Federal Register Volume 85, Number 86 (Monday, May 4, 2020)]
[Notices]
[Pages 26506-26507]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2020-09626]
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SECURITIES AND EXCHANGE COMMISSION
Sunshine Act Meetings
FEDERAL REGISTER CITATION OF PREVIOUS ANNOUNCEMENT: To Be Published.
PREVIOUSLY ANNOUNCED TIME AND DATE OF THE MEETING: Wednesday, May 6,
2020 at 1:00 p.m.
CHANGES IN THE MEETING: The Closed Meeting scheduled for Wednesday, May
6, 2020 at 1:00 p.m. has been changed to Wednesday, May 6, 2020 at
10:00 a.m.
CONTACT PERSON FOR MORE INFORMATION: For further information and to
ascertain what, if any, matters have been added, deleted or postponed,
please contact the
[[Page 26507]]
Office of the Secretary at (202) 551-5400.
Dated: April 30, 2020.
Vanessa A. Countryman,
Secretary.
[FR Doc. 2020-09626 Filed 4-30-20; 4:15 pm]
BILLING CODE 8011-01-P
