Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 1940, 17226-17227 [2021-06654]

Download as PDF 17226 Federal Register / Vol. 86, No. 61 / Thursday, April 1, 2021 / Notices 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 No. SR–ISE–2021–04, and should be submitted on or before April 22, 2021. For the Commission, by the Division of Trading and Markets, pursuant to delegated authority.23 J. Matthew DeLesDernier, Assistant Secretary. [FR Doc. 2021–06673 Filed 3–31–21; 8:45 am] BILLING CODE 8011–01–P SECURITIES AND EXCHANGE COMMISSION [Investment Company Act Release No. 34236] Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 1940 jbell on DSKJLSW7X2PROD with NOTICES March 26, 2021. The following is a notice of applications for deregistration under section 8(f) of the Investment Company Act of 1940 for the month of March 2021. 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 http://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 emailing the SEC’s Secretary at Secretarys-Office@sec.gov and serving the relevant applicant with a copy of the request by email, if an email address is listed for the relevant applicant below, or personally or by mail, if a physical address is listed for the relevant applicant below. Hearing requests should be received by the SEC by 5:30 p.m. on April 20, 2021, 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 23 17 CFR 200.30–3(a)(12). VerDate Sep<11>2014 19:02 Mar 31, 2021 Jkt 253001 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 at Secretarys-Office@sec.gov. ADDRESSES: The Commission: Secretarys-Office@sec.gov. 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. Atlas U.S. Tactical Income Fund, Inc. [File No. 811–23623] 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 under the Investment Company Act of 1940. Filing Date: The application was filed on February 22, 2021, and amended on March 25, 2021. Applicant’s Address: kevin.bettsteller@dlapiper.com. Broadview Funds Trust [File No. 811– 22885] Summary: Applicant seeks an order declaring that it has ceased to be an investment company. The applicant has transferred its assets to Madison Small Cap Fund, a series of Madison Funds, and on August 30, 2019 made a final distribution to its shareholders based on net asset value. Expenses of $289,892 incurred in connection with the reorganization were paid by the applicant’s investment adviser and the acquiring fund’s investment adviser. Filing Dates: The application was filed on September 19, 2019, and amended on February 4, 2021, and March 12, 2021. Applicant’s Address: stevef@ madisonadv.com. City National Rochdale Structured Claims Fixed Income Fund LLC [File No. 811–22358] Summary: Applicant, a closed-end investment company, seeks an order declaring that it has ceased to be an investment company. On June 19, 2020, applicant made a liquidating distribution to its shareholders based on net asset value. Expenses of $56,216 incurred in connection with the liquidation were paid by the applicant’s members on a pro-rata basis. Filing Date: The application was filed on December 9, 2020. Applicant’s Address: laurie.dee@ morganlewis.com. PO 00000 Frm 00115 Fmt 4703 Sfmt 4703 FS Global Credit Opportunities Fund-A [811–22798] Summary: Applicant, a closed-end investment company, seeks an order declaring that it has ceased to be an investment company. The applicant has transferred its assets to FS Global Credit Opportunities Fund, and on December 14, 2020 made a final distribution to its shareholders based on net asset value. Expenses of $587,027 incurred in connection with the reorganization were paid by the acquiring fund. Filing Date: The application was filed on February 24, 2021. Applicant’s Address: legalnotices@ fsinvestments.com. FS Global Credit Opportunities FundADV [811–23138] Summary: Applicant, a closed-end investment company, seeks an order declaring that it has ceased to be an investment company. The applicant has transferred its assets to FS Global Credit Opportunities Fund, and on December 14, 2020 made a final distribution to its shareholders based on net asset value. Expenses of $587,027 incurred in connection with the reorganization were paid by the acquiring fund. Filing Date: The application was filed on February 24, 2021. Applicant’s Address: legalnotices@ fsinvestments.com. FS Global Credit Opportunities Fund-D [811–22797] Summary: Applicant, a closed-end investment company, seeks an order declaring that it has ceased to be an investment company. The applicant has transferred its assets to FS Global Credit Opportunities Fund, and on December 14, 2020 made a final distribution to its shareholders based on net asset value. Expenses of $587,027 incurred in connection with the reorganization were paid by the acquiring fund. Filing Date: The application was filed on February 24, 2021. Applicant’s Address: legalnotices@ fsinvestments.com. FS Global Credit Opportunities Fund-T [811–23139] Summary: Applicant, a closed-end investment company, seeks an order declaring that it has ceased to be an investment company. The applicant has transferred its assets to FS Global Credit Opportunities Fund, and on December 14, 2020 made a final distribution to its shareholders based on net asset value. Expenses of $587,027 incurred in connection with the reorganization were paid by the acquiring fund. Filing Date: The application was filed on February 24, 2021. E:\FR\FM\01APN1.SGM 01APN1 Federal Register / Vol. 86, No. 61 / Thursday, April 1, 2021 / Notices Applicant’s Address: legalnotices@ fsinvestments.com. SECURITIES AND EXCHANGE COMMISSION FS Global Credit Opportunities FundT2 [811–23243] [Release No. 34–91421; File No. SR– NASDAQ–2021–012] Summary: Applicant, a closed-end investment company, seeks an order declaring that it has ceased to be an investment company. The applicant has transferred its assets to FS Global Credit Opportunities Fund, and on December 14, 2020 made a final distribution to its shareholders based on net asset value. Expenses of $587,027 incurred in connection with the reorganization were paid by the acquiring fund. Filing Date: The application was filed on February 24, 2021. Applicant’s Address: legalnotices@ fsinvestments.com. Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Waive the Entry Fee and the All-Inclusive Annual Listing Fee for Any Company Not Listed on a National Securities Exchange That Is Listing Upon Closing of Its Acquisition of a Special Purpose Acquisition Company Listed on Nasdaq Man FRM Alternative Multi-Strategy Fund LLC [811–10083] Summary: Applicant, a closed-end investment company, seeks an order declaring that it has ceased to be an investment company. On July 30, 2019, November 1, 2019, and July 14, 2020, applicant made liquidating distributions to its shareholders based on net asset value. Expenses of approximately $162,000 incurred in connection with the liquidation were paid by the applicant. Applicant also has retained $151,195.40 for the purpose of paying outstanding liquidation expenses. Filing Dates: The application was filed on December 11, 2020 and amended on March 4, 2021. Applicant’s Address: Karen.Spiegel@ srz.com. Putnam High Yield Trust [811–02796] jbell on DSKJLSW7X2PROD with NOTICES Summary: Applicant seeks an order declaring that it has ceased to be an investment company. The applicant has transferred its assets to Putnam High Yield Fund, and on May 8, 2017 made a final distribution to its shareholders based on net asset value. Expenses of $309,330 incurred in connection with the reorganization were paid by the applicant and the acquiring fund. Filing Date: The application was filed on February 2, 2021. Applicant’s Address: Bryan.Chegwidden@ropesgray.com. For the Commission, by the Division of Investment Management, pursuant to delegated authority. J. Matthew DeLesDernier, Assistant Secretary. [FR Doc. 2021–06654 Filed 3–31–21; 8:45 am] 19:02 Mar 31, 2021 Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (‘‘Act’’),1 and Rule 19b–4 thereunder,2 notice is hereby given that on March 16, 2021, The Nasdaq Stock Market LLC (‘‘Nasdaq’’ or ‘‘Exchange’’) filed with the Securities and Exchange Commission (‘‘SEC’’ or ‘‘Commission’’) the proposed rule change as described in Items I, II, and III, below, which Items have been prepared by the Exchange. The Commission is publishing this notice to solicit comments on the proposed rule change from interested persons. I. Self-Regulatory Organization’s Statement of the Terms of Substance of the Proposed Rule Change The Exchange proposes to waive the Entry Fee and the All-Inclusive Annual Listing Fee for any company not listed on a national securities exchange that is listing upon closing of its acquisition of a special purpose acquisition company listed on Nasdaq. The text of the proposed rule change is available on the Exchange’s website at https://listingcenter.nasdaq.com/ rulebook/nasdaq/rules, at the principal office of the Exchange, and at the Commission’s Public Reference Room. II. Self-Regulatory Organization’s Statement of the Purpose of, and Statutory Basis for, the Proposed Rule Change In its filing with the Commission, the Exchange included statements concerning the purpose of and basis for the proposed rule change and discussed any comments it received on the proposed rule change. The text of these statements may be examined at the places specified in Item IV below. The Exchange has prepared summaries, set forth in sections A, B, and C below, of the most significant aspects of such statements. 1 15 2 17 BILLING CODE 8011–01–P VerDate Sep<11>2014 March 26, 2021. Jkt 253001 PO 00000 U.S.C. 78s(b)(1). CFR 240.19b–4. Frm 00116 Fmt 4703 Sfmt 4703 17227 A. Self-Regulatory Organization’s Statement of the Purpose of, and Statutory Basis for, the Proposed Rule Change 1. Purpose Nasdaq proposes to amend Listing Rules 5910 and 5920 to waive the Entry Fees and Listing Rule IM–5900–4 to waive the All-Inclusive Annual Listing Fee for any company not listed on a national securities exchange that is listing upon closing of its acquisition of a special purpose acquisition company (‘‘Acquisition Company’’) listed on Nasdaq. When an Acquisition Company consummates its business combination, it is typically the legal acquirer in the transaction and, provided it meets the continued listing standards applied in connection with a business combination by a listed Acquisition Company, it can remain listed on the Exchange.3 Following the business combination, the company is not required to pay any additional listing fees for any shares issued in connection with its business combination, so there are no listing fees payable in connection with a business combination between a Nasdaq-listed Acquisition Company and a company which is not listed on a national securities exchange where the Nasdaqlisted Acquisition Company is the acquirer in the transaction. Similarly, Nasdaq does not have any provision for charging prorated annual fees with respect to shares of currently listed companies issued during the course of a calendar year (such shares are reflected in the full year annual fee bill for the next subsequent calendar year). As such, there are no fees imposed upon the consummation of a business combination by a Nasdaq-listed Acquisition Company in which it is the surviving legal entity. By contrast, if a company that is not listed on Nasdaq or another national securities exchange merges with a Nasdaq-listed Acquisition Company and the non-listed company is the acquirer in the transaction, the nonlisted company is treated as a new listing and must pay the Entry Fees and the prorated All-Inclusive Annual Listing Fee, subject to certain credits.4 Nasdaq does not believe that this disparate treatment of two substantially identical transactions is appropriate. 3 Among the continued listing requirements applicable to an Acquisition Company under IM– 5101–2 is the requirement that the combined company must meet all initial listing requirements following a business combination. 4 Listing Rule IM–5900–1(b) provides for certain credits that benefit a non-Nasdaq company that lists in connection with its acquisition of a Nasdaq listed company. E:\FR\FM\01APN1.SGM 01APN1

Agencies

[Federal Register Volume 86, Number 61 (Thursday, April 1, 2021)]
[Notices]
[Pages 17226-17227]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2021-06654]


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SECURITIES AND EXCHANGE COMMISSION

[Investment Company Act Release No. 34236]


Notice of Applications for Deregistration Under Section 8(f) of 
the Investment Company Act of 1940

March 26, 2021.
    The following is a notice of applications for deregistration under 
section 8(f) of the Investment Company Act of 1940 for the month of 
March 2021. 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 http://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 emailing the SEC's 
Secretary at [email protected] and serving the relevant 
applicant with a copy of the request by email, if an email address is 
listed for the relevant applicant below, or personally or by mail, if a 
physical address is listed for the relevant applicant below. Hearing 
requests should be received by the SEC by 5:30 p.m. on April 20, 2021, 
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 at 
[email protected].

ADDRESSES: The Commission: [email protected].

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.

Atlas U.S. Tactical Income Fund, Inc. [File No. 811-23623]

    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 under the Investment Company Act of 1940.
    Filing Date: The application was filed on February 22, 2021, and 
amended on March 25, 2021.
    Applicant's Address: [email protected].

Broadview Funds Trust [File No. 811-22885]

    Summary: Applicant seeks an order declaring that it has ceased to 
be an investment company. The applicant has transferred its assets to 
Madison Small Cap Fund, a series of Madison Funds, and on August 30, 
2019 made a final distribution to its shareholders based on net asset 
value. Expenses of $289,892 incurred in connection with the 
reorganization were paid by the applicant's investment adviser and the 
acquiring fund's investment adviser.
    Filing Dates: The application was filed on September 19, 2019, and 
amended on February 4, 2021, and March 12, 2021.
    Applicant's Address: [email protected].

City National Rochdale Structured Claims Fixed Income Fund LLC [File 
No. 811-22358]

    Summary: Applicant, a closed-end investment company, seeks an order 
declaring that it has ceased to be an investment company. On June 19, 
2020, applicant made a liquidating distribution to its shareholders 
based on net asset value. Expenses of $56,216 incurred in connection 
with the liquidation were paid by the applicant's members on a pro-rata 
basis.
    Filing Date: The application was filed on December 9, 2020.
    Applicant's Address: [email protected].

FS Global Credit Opportunities Fund-A [811-22798]

    Summary: Applicant, a closed-end investment company, seeks an order 
declaring that it has ceased to be an investment company. The applicant 
has transferred its assets to FS Global Credit Opportunities Fund, and 
on December 14, 2020 made a final distribution to its shareholders 
based on net asset value. Expenses of $587,027 incurred in connection 
with the reorganization were paid by the acquiring fund.
    Filing Date: The application was filed on February 24, 2021.
    Applicant's Address: [email protected].

FS Global Credit Opportunities Fund-ADV [811-23138]

    Summary: Applicant, a closed-end investment company, seeks an order 
declaring that it has ceased to be an investment company. The applicant 
has transferred its assets to FS Global Credit Opportunities Fund, and 
on December 14, 2020 made a final distribution to its shareholders 
based on net asset value. Expenses of $587,027 incurred in connection 
with the reorganization were paid by the acquiring fund.
    Filing Date: The application was filed on February 24, 2021.
    Applicant's Address: [email protected].

FS Global Credit Opportunities Fund-D [811-22797]

    Summary: Applicant, a closed-end investment company, seeks an order 
declaring that it has ceased to be an investment company. The applicant 
has transferred its assets to FS Global Credit Opportunities Fund, and 
on December 14, 2020 made a final distribution to its shareholders 
based on net asset value. Expenses of $587,027 incurred in connection 
with the reorganization were paid by the acquiring fund.
    Filing Date: The application was filed on February 24, 2021.
    Applicant's Address: [email protected].

FS Global Credit Opportunities Fund-T [811-23139]

    Summary: Applicant, a closed-end investment company, seeks an order 
declaring that it has ceased to be an investment company. The applicant 
has transferred its assets to FS Global Credit Opportunities Fund, and 
on December 14, 2020 made a final distribution to its shareholders 
based on net asset value. Expenses of $587,027 incurred in connection 
with the reorganization were paid by the acquiring fund.
    Filing Date: The application was filed on February 24, 2021.

[[Page 17227]]

    Applicant's Address: [email protected].

FS Global Credit Opportunities Fund-T2 [811-23243]

    Summary: Applicant, a closed-end investment company, seeks an order 
declaring that it has ceased to be an investment company. The applicant 
has transferred its assets to FS Global Credit Opportunities Fund, and 
on December 14, 2020 made a final distribution to its shareholders 
based on net asset value. Expenses of $587,027 incurred in connection 
with the reorganization were paid by the acquiring fund.
    Filing Date: The application was filed on February 24, 2021.
    Applicant's Address: [email protected].

Man FRM Alternative Multi-Strategy Fund LLC [811-10083]

    Summary: Applicant, a closed-end investment company, seeks an order 
declaring that it has ceased to be an investment company. On July 30, 
2019, November 1, 2019, and July 14, 2020, applicant made liquidating 
distributions to its shareholders based on net asset value. Expenses of 
approximately $162,000 incurred in connection with the liquidation were 
paid by the applicant. Applicant also has retained $151,195.40 for the 
purpose of paying outstanding liquidation expenses.
    Filing Dates: The application was filed on December 11, 2020 and 
amended on March 4, 2021.
    Applicant's Address: [email protected].

Putnam High Yield Trust [811-02796]

    Summary: Applicant seeks an order declaring that it has ceased to 
be an investment company. The applicant has transferred its assets to 
Putnam High Yield Fund, and on May 8, 2017 made a final distribution to 
its shareholders based on net asset value. Expenses of $309,330 
incurred in connection with the reorganization were paid by the 
applicant and the acquiring fund.
    Filing Date: The application was filed on February 2, 2021.
    Applicant's Address: [email protected].

    For the Commission, by the Division of Investment Management, 
pursuant to delegated authority.
J. Matthew DeLesDernier,
Assistant Secretary.
[FR Doc. 2021-06654 Filed 3-31-21; 8:45 am]
BILLING CODE 8011-01-P