DoubleLine ETF Trust, et al., 8620-8621 [2022-03153]
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8620
Federal Register / Vol. 87, No. 31 / Tuesday, February 15, 2022 / Notices
applicant in person or by telephone, for
example, the applicant lives in another
country, a manual version of Form AA–
3 is used. One response is requested of
each respondent. Completion of the
form is required to obtain a benefit.
The RRB proposes no changes to
Forms AA–3cert and AA–3sum.
ESTIMATE OF ANNUAL RESPONDENT BURDEN
Annual
responses
Form No.
Time
(minutes)
Burden
(hours)
Form AA–3cert (Ink Signature) ....................................................................................................
Form AA–3sum (Attestation) .......................................................................................................
6,180
3,520
30
29
3,090
1,701
Total ......................................................................................................................................
9,700
........................
4,791
4. Title and purpose of information
collection: Statement of Claimant or
Other Person; OMB 3220–0183.
To support an application for an
annuity under Section 2 of the Railroad
Retirement Act (RRA) (45 U.S.C. 231a)
or for unemployment benefits under
Section 2 of the Railroad
Unemployment Insurance Act (RUIA)
(45 U.S.C. 352), pertinent information
and proofs must be furnished for the
RRB to determine benefit entitlement.
Circumstances may require an applicant
or other person(s) having knowledge of
facts relevant to the applicant’s
eligibility for an annuity or benefits to
provide written statements
supplementing or changing statements
previously provided by the applicant.
Under the railroad retirement program
these statements may relate to a change
in an annuity beginning date(s), date of
marriage(s), birth(s), prior railroad or
non-railroad employment, an
applicant’s request for reconsideration
of an unfavorable RRB eligibility
determination for an annuity or various
other matters. The statements may also
be used by the RRB to secure a variety
of information needed to determine
eligibility to unemployment and
sickness benefits. Procedures related to
providing information needed for RRA
annuity or RUIA benefit eligibility
determinations are prescribed in 20 CFR
217 and 320 respectively.
The RRB utilizes Form G–93,
Statement of Claimant or Other Person,
to obtain from applicants or other
persons, the supplemental or corrective
information needed to determine
applicant eligibility for an RRA annuity
or RUIA benefits. Completion is
voluntary. One response is requested of
each respondent. The RRB proposes no
changes to Form G–93.
ESTIMATE OF ANNUAL RESPONDENT BURDEN
Form No.
Annual
responses
Time
(minutes) 1
Burden
(hours)
G–93 ............................................................................................................................................
1,300
15
325
Additional Information or Comments:
To request more information or to
obtain a copy of the information
collection justification, forms, and/or
supporting material, contact Kennisha
Tucker at (312) 469–2591 or
Kennisha.Tucker@rrb.gov. Comments
regarding the information collection
should be addressed to Brian Foster,
Railroad Retirement Board, 844 North
Rush Street, Chicago, Illinois 60611–
1275 or emailed to Brian.Foster@rrb.gov.
Written comments should be received
within 60 days of this notice.
Brian Foster,
Clearance Officer.
[FR Doc. 2022–03164 Filed 2–14–22; 8:45 am]
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SECURITIES AND EXCHANGE
COMMISSION
[Investment Company Act Release No.
34499; 812–15273]
DoubleLine ETF Trust, et al.
February 9, 2022.
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 2(a)(32), 5(a)(1) and 22(d) of the
Act and rule 22c–1 under the Act and
under sections 6(c) and 17(b) of the Act
for an exemption from sections 17(a)(1)
and 17(a)(2) of the Act.
SUMMARY OF APPLICATION: Applicants
request an order (‘‘Order’’) that permits:
(a) ActiveShares ETFs (as described in
the Reference Order (as defined below))
to issue shares (‘‘Shares’’) redeemable in
large aggregations only (‘‘creation
units’’); (b) secondary market
transactions in Shares to occur at
negotiated market prices rather than at
net asset value; and (c) certain affiliated
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persons of an ActiveShares ETF to
deposit securities into, and receive
securities from, the ActiveShares ETF in
connection with the purchase and
redemption of creation units. The relief
in the Order would incorporate by
reference terms and conditions of the
same relief of a previous order granting
the same relief sought by applicants, as
that order may be amended from time to
time (‘‘Reference Order’’).1
APPLICANTS: DoubleLine ETF Trust,
DoubleLine ETF Adviser LP and
Foreside Fund Services, LLC.
FILING DATES: The application was filed
on October 15, 2021, and amended on
December 30, 2021, January 31, 2022
and February 2, 2022.
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 Commission’s Secretary at
Secretarys-Office@sec.gov and serving
applicants with a copy of the request by
1 Precidian ETFs Trust, et al., Investment
Company Act Rel. Nos. 33440 (April 8, 2019)
(notice) and 33477 (May 20, 2019) (order).
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Federal Register / Vol. 87, No. 31 / Tuesday, February 15, 2022 / Notices
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 March 7, 2022, 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: The Commission:
Secretarys-Office@sec.gov. Applicants:
John J. O’Brien, Morgan Lewis &
Bockius LLP, john.obrien@
morganlewis.com; Earl A. Lariscy,
DoubleLine ETF Trust, earl.lariscy@
doubleline.com.
FOR FURTHER INFORMATION CONTACT:
Christopher D. Carlson, Senior Counsel,
or Trace W. Rakestraw, Branch Chief, at
(202) 551–6825 (Division of Investment
Management, Chief Counsel’s Office).
SUPPLEMENTARY INFORMATION: For
applicants’ representations, legal
analysis, and conditions, please refer to
applicants’ amended application, dated
February 2, 2022, 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.
BILLING CODE 8011–01–P
SECURITIES AND EXCHANGE
COMMISSION
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Self-Regulatory Organizations; Cboe
Exchange, Inc.; Notice of Filing and
Immediate Effectiveness of a Proposed
Rule Change To Amend Its Fees
Schedule
1 15
U.S.C. 78s(b)(1).
2 17 CFR 240.19b–4.
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Cboe Exchange, Inc. (the ‘‘Exchange’’
or ‘‘Cboe Options’’) proposes to amend
its Fees Schedule. The text of the
proposed rule change is provided in
Exhibit 5.
The text of the proposed rule change
is also available on the Exchange’s
website (https://www.cboe.com/
AboutCBOE/CBOELegal
RegulatoryHome.aspx), at the
Exchange’s Office of the Secretary, 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. Purpose
[Release No. 34–94201; File No. SR–CBOE–
2022–004]
Pursuant to Section 19(b)(1) of the
Securities Exchange Act of 1934 (the
‘‘Act’’),1 and Rule 19b–4 thereunder,2
I. Self-Regulatory Organization’s
Statement of the Terms of Substance of
the Proposed Rule Change
A. Self-Regulatory Organization’s
Statement of the Purpose of, and
Statutory Basis for, the Proposed Rule
Change
[FR Doc. 2022–03153 Filed 2–14–22; 8:45 am]
February 9, 2022.
notice is hereby given that on February
1, 2022, Cboe Exchange, Inc. (the
‘‘Exchange’’ or ‘‘Cboe Options’’) filed
with the Securities and Exchange
Commission (the ‘‘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.
The Exchange proposes to amend its
Fees Schedule to update the Index
License Surcharge fee for transactions in
Dow Jones Industrial Average Index
(‘‘DJX’’) options and to make certain
clarifying and corrective changes in the
Fees Schedule, effective February 1,
2022.
The Exchange proposes to increase
the Index License Surcharge fee
currently applicable to orders executed
in DJX options in Rate Table—
Underlying Symbol List A. The
Exchange currently assesses an Index
License Surcharge fee of $0.10 per
contract for non-Customer orders
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8621
executed in DJX options. The proposed
rule change increases the Index License
Surcharge fee applicable to orders
executed in DJX options from $0.10 per
contract to $0.12 per contract. The
Exchange notes that the Index License
Surcharge fee in place for DJX options
is designed to recoup some of the costs
associated with the licenses for this
index.3 The Exchange has recently
renewed its license arrangements for its
DJX index license and, as a result, the
proposed rule change amends the Index
License Surcharge fee for DJX options in
order to continue to offset some of the
costs associated with the license for the
index in light of the renewal of the
license.
The proposed rule change also makes
certain clarifying and corrective changes
to the Fees Schedule. The proposed rule
change removes language in the Floor
Broker Trading Surcharge table related
to the requirement that a Floor Broker
Trading Permit Holder submit the SPX
Tier Appointment Fee Exclusion for
Multi-Class Broad-Based Index Spread
Transactions Form within three
business days of execution of the
applicable spread transaction(s) in order
to receive the SPX Surcharge waiver for
Floor Broker Trading Permit Holders
who only execute SPX (including
SPXW) options transactions as part of
multi-class broad-based index spread
transactions. Manual submission of
such form by Floor Broker Trading
Permit Holders is no longer necessary as
the Exchange has automated the process
for documenting such transactions for
Floor Broker Trading Permit Holders.
The proposed rule change makes a
clarifying change regarding MarketMaker Floor Permit Holders that execute
contracts in SPX/SPXW in the MarketMaker Tier Appointment Fees table.
Specifically, the proposed rule change
adds that the SPX Surcharge will not be
assessed to a Market-Maker Floor Permit
Holder who only executes SPX
(including SPXW) options transactions
as part of multi-class broad-based index
spread transactions. In 2019, the
Exchange restructured its Fees Schedule
in connection with a technology
migration. The SPX Surcharge waiver
provision in connection with MarketMaker Floor Permit Holders existed in
the Fees Schedule prior to its 2019
restructuring; however, the Exchange
inadvertently did not include this
waiver provision in the restructured
Fees Schedule. The Exchange notes that
the same waiver provision related to
Floor Broker Trading Permit Holders (as
3 See Securities Exchange Release No. 52851
(November 29, 2005), 70 FR 72480 (December 5,
2005) (SR–CBOE–2005–84).
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]]>Agencies
[Federal Register Volume 87, Number 31 (Tuesday, February 15, 2022)]
[Notices]
[Pages 8620-8621]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2022-03153]
=======================================================================
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SECURITIES AND EXCHANGE COMMISSION
[Investment Company Act Release No. 34499; 812-15273]
DoubleLine ETF Trust, et al.
February 9, 2022.
AGENCY: Securities and Exchange Commission (``Commission'').
ACTION: Notice.
-----------------------------------------------------------------------
Notice of an application under section 6(c) of the Investment
Company Act of 1940 (the ``Act'') for an exemption from sections
2(a)(32), 5(a)(1) and 22(d) of the Act and rule 22c-1 under the Act and
under sections 6(c) and 17(b) of the Act for an exemption from sections
17(a)(1) and 17(a)(2) of the Act.
Summary of Application: Applicants request an order (``Order'') that
permits: (a) ActiveShares ETFs (as described in the Reference Order (as
defined below)) to issue shares (``Shares'') redeemable in large
aggregations only (``creation units''); (b) secondary market
transactions in Shares to occur at negotiated market prices rather than
at net asset value; and (c) certain affiliated persons of an
ActiveShares ETF to deposit securities into, and receive securities
from, the ActiveShares ETF in connection with the purchase and
redemption of creation units. The relief in the Order would incorporate
by reference terms and conditions of the same relief of a previous
order granting the same relief sought by applicants, as that order may
be amended from time to time (``Reference Order'').\1\
---------------------------------------------------------------------------
\1\ Precidian ETFs Trust, et al., Investment Company Act Rel.
Nos. 33440 (April 8, 2019) (notice) and 33477 (May 20, 2019)
(order).
Applicants: DoubleLine ETF Trust, DoubleLine ETF Adviser LP and
---------------------------------------------------------------------------
Foreside Fund Services, LLC.
Filing Dates: The application was filed on October 15, 2021, and
amended on December 30, 2021, January 31, 2022 and February 2, 2022.
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 Commission's Secretary at [email protected] and serving
applicants with a copy of the request by
[[Page 8621]]
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 March 7, 2022, 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: The Commission: [email protected]. Applicants: John
J. O'Brien, Morgan Lewis & Bockius LLP, [email protected];
Earl A. Lariscy, DoubleLine ETF Trust, [email protected].
FOR FURTHER INFORMATION CONTACT: Christopher D. Carlson, Senior
Counsel, or Trace W. Rakestraw, Branch Chief, at (202) 551-6825
(Division of Investment Management, Chief Counsel's Office).
SUPPLEMENTARY INFORMATION: For applicants' representations, legal
analysis, and conditions, please refer to applicants' amended
application, dated February 2, 2022, 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. 2022-03153 Filed 2-14-22; 8:45 am]
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