Unified Series Trust and Efficient Capital Management, LLC, 58806-58807 [2024-15944]

Download as PDF 58806 Federal Register / Vol. 89, No. 139 / Friday, July 19, 2024 / Notices ADAMS accession No. Document description SRM–SECY–11–0089, ‘‘Options for Proceeding with Future Level 3 Probabilistic Risk Assessment (PRA) Activities,’’ dated September 21, 2011 .................................................................................................................................................................. Level 3 PRA Project, Volume 7: Dry Cask Storage PRA (Draft Report for Comment) ............................................................... ddrumheller on DSK120RN23PROD with NOTICES1 Dated: July 8, 2024. For the Nuclear Regulatory Commission. Jonathan Evans, Chief, Probability Risk Assessment Branch, Division of Risk Analysis, Office of Nuclear Regulatory Research. Dominant or the Competitive product list. Section II identifies the docket number(s) associated with each Postal Service request, the title of each Postal Service request, the request’s acceptance date, and the authority cited by the [FR Doc. 2024–15251 Filed 7–18–24; 8:45 am] Postal Service for each request. For each BILLING CODE 7590–01–P request, the Commission appoints an officer of the Commission to represent the interests of the general public in the POSTAL REGULATORY COMMISSION proceeding, pursuant to 39 U.S.C. 505 (Public Representative). Section II also [Docket Nos. MC2024–424 and CP2024–431; establishes comment deadline(s) MC2024–425 and CP2024–432; MC2024–426 pertaining to each request. and CP2024–433; MC2024–427 and CP2024– The public portions of the Postal 434] Service’s request(s) can be accessed via the Commission’s website (https:// New Postal Products www.prc.gov). Non-public portions of AGENCY: Postal Regulatory Commission. the Postal Service’s request(s), if any, can be accessed through compliance ACTION: Notice. with the requirements of 39 CFR SUMMARY: The Commission is noticing a 3011.301.1 recent Postal Service filing for the The Commission invites comments on Commission’s consideration concerning whether the Postal Service’s request(s) a negotiated service agreement. This in the captioned docket(s) are consistent notice informs the public of the filing, with the policies of title 39. For invites public comment, and takes other request(s) that the Postal Service states administrative steps. concern Market Dominant product(s), applicable statutory and regulatory DATES: Comments are due: July 22, requirements include 39 U.S.C. 3622, 39 2024. U.S.C. 3642, 39 CFR part 3030, and 39 ADDRESSES: Submit comments CFR part 3040, subpart B. For request(s) electronically via the Commission’s that the Postal Service states concern Filing Online system at https:// Competitive product(s), applicable www.prc.gov. Those who cannot submit statutory and regulatory requirements comments electronically should contact include 39 U.S.C. 3632, 39 U.S.C. 3633, the person identified in the FOR FURTHER 39 U.S.C. 3642, 39 CFR part 3035, and INFORMATION CONTACT section by 39 CFR part 3040, subpart B. Comment telephone for advice on filing deadline(s) for each request appear in alternatives. section II. FOR FURTHER INFORMATION CONTACT: II. Docketed Proceeding(s) David A. Trissell, General Counsel, at 1. Docket No(s).: MC2024–424 and 202–789–6820. CP2024–431; Filing Title: USPS Request SUPPLEMENTARY INFORMATION: to Add Priority Mail Express, Priority Mail & USPS Ground Advantage Table of Contents Contract 158 to Competitive Product I. Introduction List and Notice of Filing Materials II. Docketed Proceeding(s) Under Seal; Filing Acceptance Date: I. Introduction July 12, 2024; Filing Authority: 39 The Commission gives notice that the U.S.C. 3642, 39 CFR 3040.130 through 3040.135, and 39 CFR 3035.105; Public Postal Service filed request(s) for the Commission to consider matters related Representative: Arif Hafiz; Comments Due: July 22, 2024. to negotiated service agreement(s). The 2. Docket No(s).: MC2024–425 and request(s) may propose the addition or CP2024–432; Filing Title: USPS Request removal of a negotiated service agreement from the Market Dominant or 1 See Docket No. RM2018–3, Order Adopting the Competitive product list, or the Final Rules Relating to Non-Public Information, modification of an existing product June 27, 2018, Attachment A at 19–22 (Order No. 4679). currently appearing on the Market VerDate Sep<11>2014 18:53 Jul 18, 2024 Jkt 262001 PO 00000 Frm 00104 Fmt 4703 Sfmt 4703 ML112640419 ML24164A010 to Add Priority Mail Express, Priority Mail & USPS Ground Advantage Contract 159 to Competitive Product List and Notice of Filing Materials Under Seal; Filing Acceptance Date: July 12, 2024; Filing Authority: 39 U.S.C. 3642, 39 CFR 3040.130 through 3040.135, and 39 CFR 3035.105; Public Representative: Gregory S. Stanton; Comments Due: July 22, 2024. 3. Docket No(s).: MC2024–426 and CP2024–433; Filing Title: USPS Request to Add Priority Mail Express, Priority Mail & USPS Ground Advantage Contract 160 to Competitive Product List and Notice of Filing Materials Under Seal; Filing Acceptance Date: July 12, 2024; Filing Authority: 39 U.S.C. 3642, 39 CFR 3040.130 through 3040.135, and 39 CFR 3035.105; Public Representative: Gregory S. Stanton; Comments Due: July 22, 2024. 4. Docket No(s).: MC2024–427 and CP2024–434; Filing Title: USPS Request to Add Priority Mail Express, Priority Mail & USPS Ground Advantage Contract 161 to Competitive Product List and Notice of Filing Materials Under Seal; Filing Acceptance Date: July 12, 2024; Filing Authority: 39 U.S.C. 3642, 39 CFR 3040.130 through 3040.135, and 39 CFR 3035.105; Public Representative: Jennaca D. Upperman; Comments Due: July 22, 2024. This Notice will be published in the Federal Register. Jennie Jbara, Primary Certifying Official. [FR Doc. 2024–15920 Filed 7–18–24; 8:45 am] BILLING CODE 7710–FW–P SECURITIES AND EXCHANGE COMMISSION [Investment Company Act Release No. 35278; 812–15601] Unified Series Trust and Efficient Capital Management, LLC July 16, 2024. Securities and Exchange Commission (‘‘Commission’’ or ‘‘SEC’’). ACTION: Notice. AGENCY: Notice of an application under section 6(c) of the Investment Company Act of 1940 (‘‘Act’’) for an exemption from Section 15(a) of the Act, as well as from certain disclosure requirements in Rule E:\FR\FM\19JYN1.SGM 19JYN1 ddrumheller on DSK120RN23PROD with NOTICES1 Federal Register / Vol. 89, No. 139 / Friday, July 19, 2024 / Notices 20a–1 under the Act, Item 19(a)(3) of Form N–1A, Items 22(c)(1)(ii), 22(c)(1)(iii), 22(c)(8) and 22(c)(9) of Schedule 14A under the Securities Exchange Act of 1934, and Sections 6– 07(2)(a), (b), and (c) of Regulation S–X (‘‘Disclosure Requirements’’). SUMMARY OF APPLICATION: The requested exemption would permit Applicants to enter into and materially amend subadvisory agreements with certain subadvisors without shareholder approval and grant relief from the Disclosure Requirements as they relate to fees paid to the subadvisors. APPLICANTS: Unified Series Trust and Efficient Capital Management, LLC. FILING DATES: The application was filed on July 12, 2024. 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 August 12, 2024, 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. ADDRESSES: The Commission: Secretarys-Office@sec.gov. Applicants: Elisabeth Dahl, Unified Series Trust, c/ o Efficient Capital Management, LLC, 225 Pictoria Drive, Suite 450, Cincinnati, Ohio 45246 and Cassandra W. Borchers, Esq., Cassandra.Borchers@ thompsonhine.com. FOR FURTHER INFORMATION CONTACT: Adam Lovell, Senior Counsel, or 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’ application filed July 12, 2024, which may be obtained via the Commission’s website by searching for the file number at the top of this VerDate Sep<11>2014 18:53 Jul 18, 2024 Jkt 262001 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 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. Matthew DeLesDernier, Deputy Secretary. [FR Doc. 2024–15944 Filed 7–18–24; 8:45 am] BILLING CODE 8011–01–P SECURITIES AND EXCHANGE COMMISSION [Release No. 34–100538; File No. SR– NASDAQ–2024–038] Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Certain Procedures Related to the Suspension and Delisting of Acquisition Companies July 15, 2024. 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 July 8, 2024, The Nasdaq Stock Market LLC (‘‘Nasdaq’’ or ‘‘Exchange’’) filed with the Securities and Exchange (‘‘Commission’’) the proposed rule change as described in Items I and II 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 amend certain procedures related to the suspension and delisting of Acquisition Companies. While these amendments are effective upon filing, the Exchange has designated the proposed amendments to be operative on October 7, 2024. 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. PO 00000 1 15 2 17 U.S.C. 78s(b)(1). CFR 240.19b–4. Frm 00105 Fmt 4703 Sfmt 4703 58807 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. A. Self-Regulatory Organization’s Statement of the Purpose of, and Statutory Basis for, the Proposed Rule Change 1. Purpose Nasdaq is proposing to amend certain procedures governing the suspension and delisting process applicable to a company whose business plan is to complete one or more acquisitions, as described in Rule IM–5101–2 (‘‘Acquisition Company’’), that fails to (i) complete one or more business combinations satisfying the requirements set forth in Listing Rule IM–5101–2(b) (‘‘Business Combination’’) within 36 months of the effectiveness of its IPO registration statement; or (ii) meet the requirements for initial listing following the Business Combination. Nasdaq also proposes to limit the Hearings Panels authority to review the Nasdaq Staff’s decision in these instances to a review for factual error only. Finally, Nasdaq also proposes to amend Listing Rule 5810(c)(1) to clarify it without a substantive change.3 Nasdaq permits the listing of an Acquisition Company only if it meets all applicable initial listing requirements, as well as the special requirements set forth in Listing Rule IM–5101–2 applicable only to Acquisition Companies. Among these special requirements is the requirement set forth in Listing Rule IM–5101–2(b) that an Acquisition Company must complete one or more business combinations having an aggregate fair market value of at least 80% of the value of the deposit account (excluding any deferred underwriters fees and taxes payable on the income earned on the deposit account) at the time of the agreement to 3 The proposed rule change would eliminate certain differences identified by NYSE between Nasdaq’s process and that of the NYSE. See Securities Exchange Act Release No. 99906 (April 4, 2024), 89 FR 25291 (April 10, 2024) (SR–NYSE– 2024–18). E:\FR\FM\19JYN1.SGM 19JYN1

Agencies

SECURITIES AND EXCHANGE COMMISSION

[Federal Register Volume 89, Number 139 (Friday, July 19, 2024)]
[Notices]
[Pages 58806-58807]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2024-15944]


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SECURITIES AND EXCHANGE COMMISSION

[Investment Company Act Release No. 35278; 812-15601]


Unified Series Trust and Efficient Capital Management, LLC

July 16, 2024.

AGENCY: Securities and Exchange Commission (``Commission'' or ``SEC'').

ACTION: Notice.

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    Notice of an application under section 6(c) of the Investment 
Company Act of 1940 (``Act'') for an exemption from Section 15(a) of 
the Act, as well as from certain disclosure requirements in Rule

[[Page 58807]]

20a-1 under the Act, Item 19(a)(3) of Form N-1A, Items 22(c)(1)(ii), 
22(c)(1)(iii), 22(c)(8) and 22(c)(9) of Schedule 14A under the 
Securities Exchange Act of 1934, and Sections 6-07(2)(a), (b), and (c) 
of Regulation S-X (``Disclosure Requirements'').

Summary of Application: The requested exemption would permit Applicants 
to enter into and materially amend subadvisory agreements with certain 
subadvisors without shareholder approval and grant relief from the 
Disclosure Requirements as they relate to fees paid to the subadvisors.

Applicants: Unified Series Trust and Efficient Capital Management, LLC.

Filing Dates: The application was filed on July 12, 2024.

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 August 
12, 2024, 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.

ADDRESSES: The Commission: [email protected]. Applicants: 
Elisabeth Dahl, Unified Series Trust, c/o Efficient Capital Management, 
LLC, 225 Pictoria Drive, Suite 450, Cincinnati, Ohio 45246 and 
Cassandra W. Borchers, Esq., [email protected].

FOR FURTHER INFORMATION CONTACT: Adam Lovell, Senior Counsel, or 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' application filed 
July 12, 2024, 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 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. Matthew DeLesDernier,
Deputy Secretary.
[FR Doc. 2024-15944 Filed 7-18-24; 8:45 am]
BILLING CODE 8011-01-P

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