Sunshine Act Meetings, 26506-26507 [2020-09626]

Download as PDF 26506 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 jbell on DSKJLSW7X2PROD with NOTICES 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). VerDate Sep<11>2014 19:03 May 01, 2020 26 17 Jkt 250001 PO 00000 CFR 200.30–3(a)(12). Frm 00067 Fmt 4703 Sfmt 4703 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: E:\FR\FM\04MYN1.SGM 04MYN1 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. jbell on DSKJLSW7X2PROD with NOTICES 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. VerDate Sep<11>2014 19:03 May 01, 2020 Jkt 250001 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. PO 00000 Frm 00068 Fmt 4703 Sfmt 4703 26507 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 E:\FR\FM\04MYN1.SGM Continued 04MYN1

Agencies

[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
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