Emerald Strategic Innovation Interval Fund and Emerald Mutual Fund Advisers Trust, 64126 [2022-22855]
Download as PDF
<![CDATA[
64126
Federal Register / Vol. 87, No. 203 / Friday, October 21, 2022 / Notices
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: The Commission:
Secretarys-Office@sec.gov. Applicants:
Jeremy Senderowicz, jsenderowicz@
vedderprice.com.
Authority: 5 U.S.C. 552b.
Dated: October 19, 2022.
Vanessa A. Countryman,
Secretary.
[FR Doc. 2022–23081 Filed 10–19–22; 4:15 pm]
BILLING CODE 8011–01–P
SECURITIES AND EXCHANGE
COMMISSION
[Investment Company Act Release No.
34729; File No. 812–15371]
FOR FURTHER INFORMATION CONTACT:
Emerald Strategic Innovation Interval
Fund and Emerald Mutual Fund
Advisers Trust
October 17, 2022.
Securities and Exchange
Commission (‘‘Commission’’ or ‘‘SEC’’).
ACTION: Notice.
jspears on DSK121TN23PROD with NOTICES
AGENCY:
Notice of an application for an order
pursuant to 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,
pursuant to sections 6(c) and 23(c) of
the Act for certain exemptions from rule
23c–3 under the Act, and pursuant to
section 17(d) of the Act and rule 17d–
1 thereunder.
SUMMARY OF APPLICATION: Applicants
request an order to permit certain
registered closed-end management
investment companies to issue multiple
classes of shares and asset-based
distribution and/or service fees with
respect to certain classes.
APPLICANTS: Emerald Strategic
Innovation Interval Fund (the ‘‘Initial
Fund’’) and Emerald Mutual Fund
Advisers Trust (the ‘‘Adviser’’).
FILING DATES: The application was filed
on July 21, 2022, and amended on
September 27, 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 SEC’s Secretary at
Secretarys-Office@sec.gov and serving
the Applicants 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, November 11, 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 fact
VerDate Sep<11>2014
20:12 Oct 20, 2022
Jkt 259001
Terri Jordan, 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’ first amended and restated
application, dated September 27, 2022,
which may be obtained via the
Commission’s website by searching for
the file number at the top of this
document, or for an Applicant using the
Company name search field, on the
SEC’s EDGAR system. The SEC’s
EDGAR system may be searched at, at
https://www.sec.gov/edgar/searchedgar/
legacy/companysearch.html. You may
also call the SEC’s Public Reference
Room at (202) 551–8090.
For the Commission, by the Division of
Investment Management, under delegated
authority.
J. Lynn Taylor,
Assistant Secretary.
[FR Doc. 2022–22855 Filed 10–20–22; 8:45 am]
BILLING CODE 8011–01–P
SECURITIES AND EXCHANGE
COMMISSION
[SEC File No. 270–244, OMB Control No.
3235–0208]
Proposed Collection; Comment
Request; Extension: Rule 17a–1
Upon Written Request, Copies Available
From: Securities and Exchange
Commission, Office of FOIA Services,
100 F Street, NE, Washington, DC
20549–2736
Notice is hereby given that, pursuant
to the Paperwork Reduction Act of 1995
(44 U.S.C. 3501 et seq.), the Securities
and Exchange Commission
(‘‘Commission’’) is soliciting comments
on the existing collection of information
provided for in Rule 17a–1 (17 CFR
240.17a–1) under the Securities
Exchange Act of 1934, as amended (the
‘‘Act’’) (15 U.S.C. 78a et seq.). The
Commission plans to submit this
existing collection of information to the
Office of Management and Budget
(‘‘OMB’’) for extension and approval.
PO 00000
Frm 00127
Fmt 4703
Sfmt 4703
Rule 17a–1 requires that every
national securities exchange, national
securities association, registered
clearing agency, and the Municipal
Securities Rulemaking Board keep on
file for a period of not less than five
years, the first two years in an easily
accessible place, at least one copy of all
documents, including all
correspondence, memoranda, papers,
books, notices, accounts, and other such
records made or received by it in the
course of its business as such and in the
conduct of its self-regulatory activity,
and that such documents be available
for examination by the Commission.
There are 35 entities required to
comply with the rule: 24 national
securities exchanges, 1 national
securities association, 9 registered
clearing agencies, and the Municipal
Securities Rulemaking Board. The
Commission staff estimates that the
average number of hours necessary for
compliance with the requirements of
Rule 17a–1 is 52 hours per year. In
addition, 4 national securities
exchanges notice-registered pursuant to
Section 6(g) of the Act (15 U.S.C. 78f(g))
are required to preserve records of
determinations made under Rule 3a55–
1 under the Act (17 CFR 240.3a55–1),
which the Commission staff estimates
will take 1 hour per exchange per year,
for a total of 4 hours per year.
Accordingly, the Commission staff
estimates that the total number of hours
necessary to comply with the
requirements of Rule 17a–1 is 1,824
hours per year. The total internal cost of
compliance for all respondents is
$142,272 per year, based on an average
cost per hour of $78.
Written comments are invited on (a)
whether the proposed collection of
information is necessary for the proper
performance of the functions of the
Commission, including whether the
information shall have practical utility;
(b) the accuracy of the Commission’s
estimate of the burden of the proposed
collection of information; (c) ways to
enhance the quality, utility, and clarity
of the information collected; and (d)
ways to minimize the burden of the
collection of information on
respondents, including through the use
of automated collection techniques or
other forms of information technology.
Consideration will be given to
comments and suggestions submitted in
writing by December 20, 2022.
An agency may not conduct or
sponsor, and a person is not required to
respond to, a collection of information
under the PRA unless it displays a
currently valid OMB control number.
Please direct your written comments
to: David Bottom, Director/Chief
E:\FR\FM\21OCN1.SGM
21OCN1
]]>Agencies
[Federal Register Volume 87, Number 203 (Friday, October 21, 2022)]
[Notices]
[Page 64126]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2022-22855]
-----------------------------------------------------------------------
SECURITIES AND EXCHANGE COMMISSION
[Investment Company Act Release No. 34729; File No. 812-15371]
Emerald Strategic Innovation Interval Fund and Emerald Mutual
Fund Advisers Trust
October 17, 2022.
AGENCY: Securities and Exchange Commission (``Commission'' or ``SEC'').
ACTION: Notice.
-----------------------------------------------------------------------
Notice of an application for an order pursuant to 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, pursuant to sections
6(c) and 23(c) of the Act for certain exemptions from rule 23c-3 under
the Act, and pursuant to section 17(d) of the Act and rule 17d-1
thereunder.
Summary of Application: Applicants request an order to permit certain
registered closed-end management investment companies to issue multiple
classes of shares and asset-based distribution and/or service fees with
respect to certain classes.
Applicants: Emerald Strategic Innovation Interval Fund (the ``Initial
Fund'') and Emerald Mutual Fund Advisers Trust (the ``Adviser'').
Filing Dates: The application was filed on July 21, 2022, and amended
on September 27, 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 SEC's Secretary at [email protected] and serving the
Applicants 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, November
11, 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 fact 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 [email protected].
ADDRESSES: The Commission: [email protected]. Applicants:
Jeremy Senderowicz, [email protected].
FOR FURTHER INFORMATION CONTACT: Terri Jordan, 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' first amended and
restated application, dated September 27, 2022, which may be obtained
via the Commission's website by searching for the file number at the
top of this document, or for an Applicant using the Company name search
field, on the SEC's EDGAR system. The SEC's EDGAR system may be
searched at, at https://www.sec.gov/edgar/searchedgar/legacy/companysearch.html. You may also call the SEC's Public Reference Room
at (202) 551-8090.
For the Commission, by the Division of Investment Management,
under delegated authority.
J. Lynn Taylor,
Assistant Secretary.
[FR Doc. 2022-22855 Filed 10-20-22; 8:45 am]
BILLING CODE 8011-01-P
