Fidus Investment Corporation, et al., 64505 [2024-17446]

Download as PDF Federal Register / Vol. 89, No. 152 / Wednesday, August 7, 2024 / Notices [Investment Company Act Release No. 35289; File No. 812–15496] Fidus Investment Corporation, et al. August 2, 2024. Securities and Exchange Commission (‘‘Commission’’ or ‘‘SEC’’). ACTION: Notice. khammond on DSKJM1Z7X2PROD with NOTICES AGENCY: Notice of application for an order under sections 17(d) and 57(i) of the Investment Company Act of 1940 (the ‘‘Act’’) and rule 17d–1 under the Act to permit certain joint transactions otherwise prohibited by sections 17(d) and 57(a)(4) of the Act and rule 17d–1 under the Act. Summary of Application: Applicants request an order to permit certain business development companies and closed-end management investment companies to co-invest in portfolio companies with each other and with certain affiliated investment entities. Applicants: Fidus Investment Corporation, Fidus Credit Opportunities L.P., Fidus Equity Opportunities Fund, L.P., Fidus Mezzanine Capital, L.P., Fidus Mezzanine Capital II, L.P., Fidus Mezzanine Capital III, L.P., Fidus Mezzanine Capital IV, L.P., Fidus Investment Advisors, LLC, and Fidus Capital Advisors, LLC. Filing Dates: The application was filed on August 11, 2023, and amended on November 22, 2023, May 16, 2024 and July 23, 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 27, 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 at Secretarys-Office@sec.gov. VerDate Sep<11>2014 17:07 Aug 06, 2024 Jkt 262001 The Commission: Secretarys-Office@sec.gov. Applicants: Edward H. Ross, at eross@fidusinv.com; and Steven B. Boehm, Esq., Anne G. Oberndorf, Esq. and Payam Siadatpour, Esq., Eversheds Sutherland (US) LLP, at anneoberndorf@evershedssutherland.us. FOR FURTHER INFORMATION CONTACT: Laura L. Solomon, Senior Counsel, or Kyle R. Ahlgren, 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’ third amended and restated application, dated July 23, 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. ADDRESSES: SECURITIES AND EXCHANGE COMMISSION For the Commission, by the Division of Investment Management, under delegated authority. Sherry R. Haywood, Assistant Secretary. [FR Doc. 2024–17446 Filed 8–6–24; 8:45 am] BILLING CODE 8011–01–P SECURITIES AND EXCHANGE COMMISSION [Release No. 34–100632; File No. SR– MSRB–2024–06] Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the MSRB’s RealTime Transaction Reporting System and Price Dissemination Information Facility To Retire the Transmission Control Protocol Secure Socket Connection August 1, 2024. Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (‘‘Exchange Act’’) 1 and Rule 19b–4 thereunder,2 notice is hereby given that on July 30, 2024, the Municipal Securities Rulemaking Board (‘‘MSRB’’) filed with the Securities and Exchange Commission (‘‘Commission’’) the proposed rule change as described in 1 15 2 17 PO 00000 U.S.C. 78s(b)(1). CFR 240.19b–4. Frm 00105 Fmt 4703 Items I, II, and III below, which Items have been prepared by the MSRB. 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 MSRB filed with the Commission a proposed rule change to amend the MSRB’s Real-Time Transaction Reporting System and Price Dissemination Information Facility (‘‘IF–1’’) to consolidate access by subscribers to the real-time transaction data residing within the Real-Time Transaction Reporting System (‘‘RTRS’’) through a web service and to fully retire the Transmission Control Protocol secure socket connection (‘‘TCP secure socket connection’’) (the ‘‘proposed rule change’’). The MSRB has filed the proposed rule change under Section 19(b)(3)(A)(iii) of the Exchange Act 3 and Rule 19b– 4(f)(6) 4 thereunder, as a noncontroversial rule change that renders the proposed rule change effective upon filing. The MSRB will announce the operative date of the proposed rule change, which would be no earlier than 30 days following the filing of the proposed rule change with the Commission, in a regulatory notice to be published on the MSRB website. The operative date will be the earlier of nine months following the filing date or the day by which all subscribers are deemed to have discontinued the use of the TCP secure socket connection. During the period leading to the operative date, the MSRB will no longer permit new subscribers to establish new connectivity to RTRS using the TCP secure socket connection. The text of the proposed rule change is available on the MSRB’s website at https://msrb.org/2024-SEC-Filings, at the MSRB’s principal office, 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 MSRB 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 MSRB has prepared summaries, set forth in 3 15 4 17 Sfmt 4703 64505 E:\FR\FM\07AUN1.SGM U.S.C. 78s(b)(3)(A)(iii). CFR 240.19b–4(f)(6). 07AUN1

Agencies

[Federal Register Volume 89, Number 152 (Wednesday, August 7, 2024)]
[Notices]
[Page 64505]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2024-17446]



[[Page 64505]]

-----------------------------------------------------------------------

SECURITIES AND EXCHANGE COMMISSION

[Investment Company Act Release No. 35289; File No. 812-15496]


Fidus Investment Corporation, et al.

August 2, 2024.
AGENCY: Securities and Exchange Commission (``Commission'' or ``SEC'').

ACTION: Notice.

-----------------------------------------------------------------------

    Notice of application for an order under sections 17(d) and 57(i) 
of the Investment Company Act of 1940 (the ``Act'') and rule 17d-1 
under the Act to permit certain joint transactions otherwise prohibited 
by sections 17(d) and 57(a)(4) of the Act and rule 17d-1 under the Act.
    Summary of Application: Applicants request an order to permit 
certain business development companies and closed-end management 
investment companies to co-invest in portfolio companies with each 
other and with certain affiliated investment entities.
    Applicants: Fidus Investment Corporation, Fidus Credit 
Opportunities L.P., Fidus Equity Opportunities Fund, L.P., Fidus 
Mezzanine Capital, L.P., Fidus Mezzanine Capital II, L.P., Fidus 
Mezzanine Capital III, L.P., Fidus Mezzanine Capital IV, L.P., Fidus 
Investment Advisors, LLC, and Fidus Capital Advisors, LLC.
    Filing Dates: The application was filed on August 11, 2023, and 
amended on November 22, 2023, May 16, 2024 and July 23, 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 
27, 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 at 
[email protected].

ADDRESSES: The Commission: [email protected]. Applicants: 
Edward H. Ross, at [email protected]; and Steven B. Boehm, Esq., Anne 
G. Oberndorf, Esq. and Payam Siadatpour, Esq., Eversheds Sutherland 
(US) LLP, at [email protected].

FOR FURTHER INFORMATION CONTACT: Laura L. Solomon, Senior Counsel, or 
Kyle R. Ahlgren, 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' third amended and 
restated application, dated July 23, 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.
Sherry R. Haywood,
Assistant Secretary.
[FR Doc. 2024-17446 Filed 8-6-24; 8:45 am]
BILLING CODE 8011-01-P
This site is protected by reCAPTCHA and the Google Privacy Policy and Terms of Service apply.