The Optima Dynamic Alternatives Fund, et al;, 54005-54006 [2021-21187]

Download as PDF Federal Register / Vol. 86, No. 186 / Wednesday, September 29, 2021 / Notices credits and fees to remain competitive with other exchanges and with alternative trading systems that have been exempted from compliance with the statutory standards applicable to exchanges. Because competitors are free to modify their own credits and fees in response, and because market participants may readily adjust their order routing practices, the Exchange believes that the degree to which credit or fee changes in this market may impose any burden on competition is extremely limited. If the change proposed herein is unattractive to market participants, it is likely that the Exchange will lose market share as a result. Accordingly, the Exchange does not believe that the proposed change will impair the ability of members or competing order execution venues to maintain their competitive standing in the financial markets. C. Self-Regulatory Organization’s Statement on Comments on the Proposed Rule Change Received From Members, Participants, or Others No written comments were either solicited or received. III. Date of Effectiveness of the Proposed Rule Change and Timing for Commission Action The foregoing rule change has become effective pursuant to Section 19(b)(3)(A)(ii) of the Act.7 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: (i) Necessary or appropriate in the public interest; (ii) for the protection of investors; or (iii) 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 lotter on DSK11XQN23PROD with NOTICES1 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: • Send an email to rule-comments@ sec.gov. Please include File Number SR– Phlx–2021–55 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–Phlx–2021–55. 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 Number SR–Phlx–2021–55 and should be submitted on or before October 20, 2021. For the Commission, by the Division of Trading and Markets, pursuant to delegated authority.8 J. Matthew DeLesDernier, Assistant Secretary. [FR Doc. 2021–21112 Filed 9–28–21; 8:45 am] BILLING CODE 8011–01–P Electronic Comments • Use the Commission’s internet comment form (https://www.sec.gov/ rules/sro.shtml); or 7 15 U.S.C. 78s(b)(3)(A)(ii). VerDate Sep<11>2014 18:22 Sep 28, 2021 8 17 Jkt 253001 PO 00000 CFR 200.30–3(a)(12). Frm 00064 Fmt 4703 Sfmt 4703 54005 SECURITIES AND EXCHANGE COMMISSION [Investment Company Act Release No. 34381; 812–15250] The Optima Dynamic Alternatives Fund, et al; September 24, 2021. Securities and Exchange Commission (‘‘Commission’’). ACTION: Notice. AGENCY: Notice of an application under section 6(c) of the Investment Company Act of 1940 (the ‘‘Act’’) for an exemption from sections 18(a)(2), 18(c) and 18(i) of the Act and for an order pursuant to section 17(d) of the Act and rule 17d–1 under the Act. Summary of Application: Applicants request an order to permit certain registered closed end investment companies to issue multiple classes of shares of beneficial interest with varying sales loads and to impose asset-based distribution and/or service fees. Applicants: The Optima Dynamic Alternatives Fund (the ‘‘Initial Fund’’), and Optima Asset Management LLC (the ‘‘Adviser’’). Filing Dates: The application was filed on July 23, 2021 and amended on September 7, 2021. 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 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 Commission by 5:30 p.m. on October 19, 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 emailing the Commission’s Secretary. ADDRESSES: joshua.deringer@ faegredrinker.com and geoffrey.lewis@ optima.com. FOR FURTHER INFORMATION CONTACT: Lisa Reid Ragen, Branch Chief, at (202) 551– 6825 (Division of Investment Management, Chief Counsel’s Office). E:\FR\FM\29SEN1.SGM 29SEN1 54006 Federal Register / Vol. 86, No. 186 / Wednesday, September 29, 2021 / Notices For Applicants’ representations, legal analysis, and condition, please refer to Applicants’ application, dated September 7, 2021, which may be obtained via the Commission’s website by searching for the file number, using the Company name box, at https:// www.sec.gov/search/search.htm, or by calling (202) 551–8090. SUPPLEMENTARY INFORMATION: For the Commission, by the Division of Investment Management, under delegated authority. J. Matthew DeLesDernier, Assistant Secretary. [FR Doc. 2021–21187 Filed 9–28–21; 8:45 am] BILLING CODE 8011–01–P SMALL BUSINESS ADMINISTRATION Reporting and Recordkeeping Requirements Under OMB Review U.S. Small Business Administration. ACTION: 30-Day notice; request for comments. AGENCY: The Small Business Administration will submit the information collection described below to the Office of Management and Budget (OMB) for review and clearance in accordance with the Paperwork Reduction Act of 1995, on or after the date of publication of this notice. SBA is publishing this notice to allow all interested member of the public an additional 30 days to provide comments on the collection of information. DATES: Submit comments on or before October 29, 2021. ADDRESSES: Written comments and recommendations for this information collection request should be sent within 30 days of publication of this notice to www.reginfo.gov/public/do/PRAMain. Find this particular information collection request by selecting ‘‘Small Business Administration’’; ‘‘Currently Under Review,’’ then select the ‘‘Only Show ICR for Public Comment’’ checkbox. This information collection can be identified by title and/or OMB Control Number, which are provided below. FOR FURTHER INFORMATION CONTACT: You may obtain a copy of the information collection and supporting documents from the Agency Clearance Office by contacting Curtis Rich at Curtis.Rich@ sba.gov; (202) 205–7030, or from www.reginfo.gov/public/do/PRAMain. SUPPLEMENTARY INFORMATION: Section 1102 of the Coronavirus Aid, Relief, and Economic Security (CARES) Act, Public Law 116–136, authorized SBA to lotter on DSK11XQN23PROD with NOTICES1 SUMMARY: VerDate Sep<11>2014 18:22 Sep 28, 2021 Jkt 253001 guarantee loans made by banks or other financial institutions under a temporary program titled the ‘‘Paycheck Protection Program’’ (PPP). These loans were available to eligible small businesses, certain non-profit organizations, veterans’ organizations, Tribal business concerns, independent contractors, and self-employed individuals adversely impacted by the COVID–19 Emergency. SBA’s authority to guarantee PPP loans expired on August 8, 2020. On December 27, 2020, SBA received reauthorization under the Economic Aid Act, Public Law 116–260, to resume guaranteeing PPP loans through March 31, 2021. The Economic Aid Act authorized certain borrowers that previously received a PPP loan to receive a second draw PPP loan (‘‘Second Draw PPP Loan Program’’). On March 11, 2021, the American Rescue Plan Act, Public Law 117–2, was enacted, amending various PPP statutory provisions. On March 30, 2021, the PPP Extension Act of 2021 extended the SBA’s PPP program authority through June 30, 2021. This information collection is currently approved for the Second Draw PPP Loan Program under the emergency procedures authorized by 5 U.S.C. 3507(j) and 5 CFR 1320.13. This approval will expire on September 30, 2021. Therefore, as required by the Paperwork Reduction Act, SBA is publishing this notice as a prerequisite to seeking OMB’s approval to ensure this information collection is available for use beyond September 30, 2021, if necessary. Summary of Information Collection Title: Paycheck Protection Loan Program—Second Draw. OMB Control Number: 3245–0417. (I) SBA Form 2483–D, Paycheck Protection Program Second Draw Application Estimated Number of Respondents: 1,795,000. Estimated Annual Responses: 1,795,000. Estimated Annual Hour Burden: 239,393. (II) SBA Form 2483–SD–C—Paycheck Protection Program Second Draw Application for Schedule C Filers Using Gross Income Estimated Number of Respondents: 1,118,000. Estimated Annual Responses: 1,118,000. Estimated Annual Hour Burden: 149,061. (III) SBA Form 2484–SD—Paycheck Protection Program Second Draw PO 00000 Frm 00065 Fmt 4703 Sfmt 4703 Lender’s Application for 7(A) Guaranty Estimated Number of Respondents: 5,506. Estimated Annual Responses: 2,913,000. Estimated Annual Hour Burden: 1,213,919. Solicitation of Public Comments SBA invites the public to submit comments, including specific and detailed suggestions on ways to improve the collection and reduce the burden on respondents. Commenters should also address (i) whether the information collection is necessary for the proper performance of SBA’s functions, including whether it has any practical utility; (ii) the accuracy of the estimated burdens; (iii) ways to enhance the quality, utility, and clarity of the information to be collected; and (iv) the use of automated collection techniques or other forms of information technology to minimize the information collection burden on those who are required to respond. Curtis Rich, Management Analyst. [FR Doc. 2021–21083 Filed 9–28–21; 8:45 am] BILLING CODE 8026–03–P SMALL BUSINESS ADMINISTRATION [Disaster Declaration #17054 and #17055; PENNSYLVANIA Disaster Number PA– 00111] Administrative Declaration Amendment of a Disaster for the Commonwealth of Pennsylvania Small Business Administration. Amendment 1. AGENCY: ACTION: This is an amendment of the Administrative declaration of a disaster for the Commonwealth of Pennsylvania dated 07/29/2021. Incident: Flash Flooding. Incident Period: 07/12/2021. DATES: Issued on 09/22/2021. Physical Loan Application Deadline Date: 10/27/2021. Economic Injury (EIDL) Loan Application Deadline Date: 04/29/2022. ADDRESSES: Submit completed loan applications to: U.S. Small Business Administration, Processing and Disbursement Center, 14925 Kingsport Road, Fort Worth, TX 76155. FOR FURTHER INFORMATION CONTACT: A. Escobar, Office of Disaster Assistance, U.S. Small Business Administration, 409 3rd Street SW, Suite 6050, Washington, DC 20416, (202) 205–6734. SUMMARY: E:\FR\FM\29SEN1.SGM 29SEN1

Agencies

[Federal Register Volume 86, Number 186 (Wednesday, September 29, 2021)]
[Notices]
[Pages 54005-54006]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2021-21187]


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SECURITIES AND EXCHANGE COMMISSION

[Investment Company Act Release No. 34381; 812-15250]


The Optima Dynamic Alternatives Fund, et al;

September 24, 2021.
AGENCY: Securities and Exchange Commission (``Commission'').

ACTION:  Notice.

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    Notice of an application under section 6(c) of the Investment 
Company Act of 1940 (the ``Act'') for an exemption from sections 
18(a)(2), 18(c) and 18(i) of the Act and for an order pursuant to 
section 17(d) of the Act and rule 17d-1 under the Act.
    Summary of Application: Applicants request an order to permit 
certain registered closed end investment companies to issue multiple 
classes of shares of beneficial interest with varying sales loads and 
to impose asset-based distribution and/or service fees.
    Applicants: The Optima Dynamic Alternatives Fund (the ``Initial 
Fund''), and Optima Asset Management LLC (the ``Adviser'').
    Filing Dates: The application was filed on July 23, 2021 and 
amended on September 7, 2021.
    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 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 Commission by 5:30 p.m. 
on October 19, 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 emailing the Commission's Secretary.

ADDRESSES:  [email protected] and 
[email protected].

FOR FURTHER INFORMATION CONTACT:  Lisa Reid Ragen, Branch Chief, at 
(202) 551-6825 (Division of Investment Management, Chief Counsel's 
Office).

[[Page 54006]]


SUPPLEMENTARY INFORMATION:  For Applicants' representations, legal 
analysis, and condition, please refer to Applicants' application, dated 
September 7, 2021, which may be obtained via the Commission's website 
by searching for the file number, using the Company name box, at https://www.sec.gov/search/search.htm, or by calling (202) 551-8090.

    For the Commission, by the Division of Investment Management, 
under delegated authority.
J. Matthew DeLesDernier,
Assistant Secretary.
[FR Doc. 2021-21187 Filed 9-28-21; 8:45 am]
BILLING CODE 8011-01-P
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