32704 Federal Register / Vol. 83, No. 135 / Friday, July 13, 2018 / Notices 

14Applicants are not requesting and the staff is 

not providing any relief for transaction fees 

received in connection with any Co-Investment 

Transaction. 

1 15 U.S.C. 78s(b)(1). 

2 15 U.S.C. 78a. 

3 17 CFR 240.19b–4. 

4 15 U.S.C. 78s(b)(1). 

5 17 CRF [sic] 240.19b–4. 

6 17 CRF [sic] 240.19b–4(e). 

7 15 U.S.C. 78s(b)(3)(A). 

8 17 CFR 240.19b–4(e) [sic]. 

9 17 CFR 240.12f–2. 

acquired or disposed of, as the case may 

be. 

13. Any transaction fee 14 (including 

break-up or commitment fees but 

excluding broker’s fees contemplated by 

section 17(e) or 57(k) of the Act, as 

applicable) received in connection with 

a Co-Investment Transaction will be 

distributed to the participating 

Regulated Funds and Affiliated Funds 

on a pro rata basis based on the amounts 

they invested or committed, as the case 

may be, in such Co-Investment 

Transaction. If any transaction fee is to 

be held by an AB–PCI Adviser pending 

consummation of the transaction, the 

fee will be deposited into an account 

maintained by such AB–PCI Adviser at 

a bank or banks having the 

qualifications prescribed in section 

26(a)(1) of the Act, and the account will 

earn a competitive rate of interest that 

will also be divided pro rata among the 

participating Regulated Funds and 

Affiliated Funds based on the amounts 

they invest in such Co-Investment 

Transaction. None of the Affiliated 

Funds, the AB–PCI Advisers, the other 

Regulated Funds or any affiliated person 

of the Regulated Funds or Affiliated 

Funds will receive additional 

compensation or remuneration of any 

kind as a result of or in connection with 

a Co-Investment Transaction (other than 

(a) in the case of the Regulated Funds 

and the Affiliated Funds, the pro rata 

transaction fees described above and 

fees or other compensation described in 

Condition 2(c)(iii)(C); and (b) in the case 

of an AB–PCI Adviser, investment 

advisory fees paid in accordance with 

the agreement between the AB–PCI 

Adviser and the Regulated Fund or 

Affiliated Fund). 

14. If the Holders own in the aggregate 

more than 25 percent of the Shares of 

a Regulated Fund, then the Holders will 

vote such Shares as directed by an 

independent third party when voting 

on: (1) The election of directors; (2) the 

removal of one or more directors; or (3) 

any other matter under either the Act or 

applicable State law affecting the 

Board’s composition, size or manner of 

election. 

15. Each Regulated Fund’s chief 

compliance officer, as defined in rule 

38a–1(a)(4), will prepare an annual 

report for its Board each year that 

evaluates (and documents the basis of 

that evaluation) the Regulated Fund’s 

compliance with the terms and 

conditions of the application and the 

procedures established to achieve such 

compliance. 

For the Commission, by the Division of 

Investment Management, under delegated 

authority. 

Robert W. Errett, 

Deputy Secretary. 

[FR Doc. 2018–14963 Filed 7–12–18; 8:45 am] 

BILLING CODE 8011–01–P 

SECURITIES AND EXCHANGE 

COMMISSION 

[Release No. 34–83609; File No. SR–IEX– 

2018–14] 

Self-Regulatory Organizations; 

Investors Exchange LLC; Notice of 

Filing and Immediate Effectiveness of 

Proposed Rule Change To Amend Rule 

16.160 To Remove Form 19b–4(e) 

Filing Requirement 

July 9, 2018. 

Pursuant to Section 19(b)(1) 1 of the 

Securities Exchange Act of 1934 2 and 

Rule 19b–4 thereunder,3 notice is 

hereby given that, on June 26, 2018, the 

Investors Exchange LLC (‘‘IEX’’ or 

‘‘Exchange’’) filed with the Securities 

and Exchange Commission 

(‘‘Commission’’) the proposed rule 

change as described in Items I and II 

below, which Items have been prepared 

by the self-regulatory organization. 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 

Pursuant to the provisions of Section 

19(b)(1) under the Securities Exchange 

Act of 1934 (‘‘Act’’),4 and Rule 19b–4 

thereunder,5 IEX is filing with the 

Commission a proposed rule change to 

amend IEX Rule 16.160 related to 

derivative securities traded under 

unlisted trading privileges (‘‘UTP’’) to 

remove the requirement in Rule 

16.160(a)(1) for the Exchange to file 

with the Commission a Form 19b–4(e) 

for each ‘‘new derivative securities 

product’’ as defined in Rule 19b–4(e) 

under the Act 6 (a ‘‘Derivative Security’’) 

traded under UTP and renumber the 

remaining provisions of Rule 16.160(a) 

to maintain an organized rule structure. 

The Exchange has designated this rule 

change as ‘‘non-controversial’’ under 

Section 19(b)(3)(A) of the Act 7 and 

provided the Commission with the 

notice required by Rule 19b–4(f)(6) 

thereunder.8 The text of the proposed 

rule change is available at the 

Exchange’s website at 

www.iextrading.com, at the principal 

office of the Exchange, and at the 

Commission’s Public Reference Room. 

II. Self-Regulatory Organization’s 

Statement of the Purpose of, and the 

Statutory Basis for, the Proposed Rule 

Change 

In its filing with the Commission, the 

self-regulatory organization 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 statement [sic] may be 

examined at the places specified in Item 

IV below. The self-regulatory 

organization 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 the 

Statutory Basis for, the Proposed Rule 

Change 

1. Purpose 

The purpose of the proposed rule 

change is to amend Rule 16.160 related 

to derivative securities traded under 

UTP by removing the requirement in 

Rule 16.160(a)(1) for the Exchange to 

file with the Commission a Form 19b– 

4(e) for each Derivative Security, and 

renumbering the remaining rules of Rule 

16.160(a) to maintain an organized rule 

structure, as described below. 

Rule 16.160(a)(1) sets forth the 

requirement for IEX to file with the 

Commission a Form 19b–4(e) with 

respect to each Derivative Security that 

is traded under UTP. However, IEX 

believes that it should not be necessary 

to file a Form 19b–4(e) with the 

Commission if it begins trading a 

Derivative Security on a UTP basis, 

because Rule 19b–4(e)(1) under the Act 

refers to the ‘‘listing and trading’’ of a 

‘‘new derivative securities product.’’ 

The Exchange believes that the 

requirements of that rule refers [sic] to 

when an exchange lists and trades a 

Derivative Security, and not when an 

exchange seeks only to trade such 

product on a UTP basis pursuant to Rule 

12f–2 under the Act.9 Therefore, IEX 

proposes to delete the requirement in 

current Rule 16.160(a)(1) for IEX to file 

a Form 19b–4(e) with the Commission 


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Federal Register / Vol. 83, No. 135 / Friday, July 13, 2018 / Notices 32705 

10 15 U.S.C. 78f(b). 

11 15 U.S.C. 78f(b)(5). 

12See Securities Exchange Act Release No. 83289 

(May 17, 2018), 83 FR 23968 (May 23, 2018) (Order 

Approving File No. SR–NYSENAT–2018–02). 

13See supra note 12 at page 23975. 

14See supra note 12 at page 23976. 

15 15 U.S.C. 78s(b)(3)(A). 

16 17 CFR 240.19b–4(f)(6). 

17As required under Rule 19b–4(f)(6)(iii), the 

Exchange provided the Commission with written 

notice of its intent to file the proposed rule change, 

along with a brief description and the text of the 

proposed rule change, at least five business days 

prior to the date of filing of the proposed rule 

change, or such shorter time as designated by the 

Commission. 

18See supra note 12. 

19For purposes only of waiving the 30-day 

operative delay, the Commission has also 

considered the proposed rule’s impact on 

efficiency, competition, and capital formation. See 

15 U.S.C. 78c(f). 

20 15 U.S.C. 78s(b)(2)(B). 

with respect to each Derivative Security 

it begins trading on a UTP basis. In 

addition, as a result of the deletion of 

current Rule 16.160(a)(1) IEX proposes 

to renumber current Rules 16.160(a)(2)– 

(6), as Rules 16.160(a)(1)–(5) 

respectively. 

2. Statutory Basis 

IEX believes that the proposed rule 

change is consistent with the provisions 

of Section 6(b) 10 of the Act in general, 

and furthers the objectives of Section 

6(b)(5) of the Act 11 in particular, in that 

it is designed to prevent fraudulent and 

manipulative acts and practices, to 

promote just and equitable principles of 

trade, to remove impediments to and 

perfect the mechanism of a free and 

open market and a national market 

system, and, in general, to protect 

investors and the public interest. 

Specifically, eliminating the 

requirement to file a Form 19b–4(e) for 

each Derivative Security the Exchange 

begins trading on a UTP basis removes 

an unnecessary regulatory requirement 

thereby providing for a more efficient 

process for adding Derivative Securities 

to trading on the Exchange on a UTP 

basis. 

In addition, the Exchange notes that a 

substantially identical proposed rule 

change by NYSE National, Inc. (‘‘NYSE 

National’’) was recently approved by the 

Commission.12 In particular, the 

Commission noted in the approval order 

that it ‘‘believes that the filing of a Form 

19b–4(e) is not required when an 

Exchange is trading a new derivative 

securities product on a UTP basis 

only’’ 13 and also found that the NYSE 

National’s proposed rule change is 

‘‘consistent with the requirements of 

Section 6(b)(5) of the Act.’’ 14

With respect to the renumbering of 

current Rules 16.160(a)(2)–(6) as Rule 

11.160(a)(1)–(5), the Exchange believes 

that these changes are consistent with 

the Act because they will allow the 

Exchange to maintain a clear and 

organized rule structure, thus 

preventing investor confusion. 

B. Self-Regulatory Organization’s 

Statement on Burden on Competition 

IEX does not believe that the 

proposed rule change will result in any 

burden on competition that is not 

necessary or appropriate in furtherance 

of the purposes of the Act. To the 

contrary, removing the requirement to 

file a Form 19b–4(e) will serve to 

enhance competition by providing for 

the efficient addition of Derivative 

Securities for trading under UTP on IEX. 

To the extent that a competitor 

marketplace believes that the proposed 

rule change places it at a competitive 

disadvantage, it may file with the 

Commission a proposed rule change to 

adopt the same or similar rule. 

In addition, the proposal to renumber 

the current Rules 16.160(a)(2)–(6) as 

Rules 16.160(a)(1)–(5) does not impact 

competition in any respect since it 

merely maintains a clear and organized 

rule structure. 

C. Self-Regulatory Organization’s 

Statement on Comments on the 

Proposed Rule Change Received From 

Members, Participants, or Others 

Written comments were neither 

solicited nor received. 

III. Date of Effectiveness of the 

Proposed Rule Change and Timing for 

Commission Action 

The Exchange has designated this rule 

filing as non-controversial under 

Section 19(b)(3)(A) 15 of the Act and 

Rule 19b–4(f)(6) 16 thereunder. Because 

the proposed rule change does not: (i) 

Significantly affect the protection of 

investors or the public interest; (ii) 

impose any significant burden on 

competition; and (iii) become operative 

for 30 days from the date on which it 

was filed, or such shorter time as the 

Commission may designate, it has 

become effective pursuant to Section 

19(b)(3)(A) of the Act and Rule 19b– 

4(f)(6) thereunder.17

The Exchange has requested a waiver 

of the 30-day operative delay so that the 

Exchange can begin trading Derivative 

Securities on a UTP basis without filing 

a Form 19b–4(e) with the Commission 

prior to the end of the 30-day operative 

delay. Because the proposed rule change 

is based on a rule change previously 

approved by the Commission 18 and 

does not present any novel issues, the 

Commission believes that waiving the 

30-day operative delay period is 

consistent with the protection of 

investors and the public interest. 

Accordingly, the Commission 

designates the proposed rule change to 

be operative upon filing.19

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 necessary or appropriate in the 

public interest, for the protection of 

investors, or otherwise in furtherance of 

the purposes of the Act. If the 

Commission takes such action, the 

Commission shall institute proceedings 

under Section 19(b)(2)(B) 20 of the Act to 

determine whether the proposed rule 

change should be approved or 

disapproved. 

IV. Solicitation of Comments 

Interested persons are invited to 

submit written data, views and 

arguments concerning the foregoing, 

including whether the proposal is 

consistent with the Act. Comments may 

be submitted by any of the following 

methods: 

Electronic Comments 

• Use the Commission’s internet 

comment form (http://www.sec.gov/ 

rules/sro.shtml); or 

• Send an email to rule-comments@

sec.gov. Please include File Number SR– 

IEX–2018–14 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 No. 

SR–IEX–2018–14. 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 (http://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 


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32706 Federal Register / Vol. 83, No. 135 / Friday, July 13, 2018 / Notices 

21 17 CFR 200.30–3(a)(12). 

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 such 

filing will also 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 No. 

SR–IEX–2018–14 and should be 

submitted on or before August 3, 2018. 

For the Commission, by the Division of 

Trading and Markets, pursuant to delegated 

authority.21

Robert W. Errett, 

Deputy Secretary. 

[FR Doc. 2018–14962 Filed 7–12–18; 8:45 am] 

BILLING CODE P 

SMALL BUSINESS ADMINISTRATION 

Data Collection Available for Public 

Comments 

ACTION: 60-Day notice and request for 

comments. 

SUMMARY: The Small Business 

Administration (SBA) intends to request 

approval, from the Office of 

Management and Budget (OMB) for the 

collection of information described 

below. The Paperwork Reduction Act 

(PRA) of 1995, requires federal agencies 

to publish a notice in the Federal 

Register concerning each proposed 

collection of information before 

submission to OMB, and to allow 60 

days for public comment in response to 

the notice. This notice complies with 

such requirements. 

DATES: Submit comments on or before 

September 11, 2018. 

ADDRESSES: Send all comments to 

Stephen Morris, Director, Office of 

Strategic Alliances, Small Business 

Administration, 409 3rd Street, 

Washington, DC 20416. 

FOR FURTHER INFORMATION CONTACT: 

Stephen Morris, 202–205–7422, 

Stephen.morris@sba.gov, or Curtis B. 

Rich, SBA PRA Officer, 202–205–7030, 

curtis.rich@sba.gov. 

SUPPLEMENTARY INFORMATION: This form 

is a three-page questionnaire, 

principally in checklist form, designed 

to give SBA feedback from those who 

attend events which SBA cosponsors 

with other organizations. The form does 

not ask respondents to identify 

themselves except by NAICS Code. The 

form asks whether the event provided 

practical information which allowed 

them to manage their businesses more 

effectively and efficiently and gave them 

a good working knowledge of the 

subject. It asks whether the program was 

sufficient. It asks whether each speaker 

was well-organized, interesting, 

presented information at the appropriate 

level, and communicated well. It asks 

for suggestions for improvement, and for 

ideas for new topics. 

The form asks some demographic 

information so that SBA can better 

understand the community which these 

events serve. Where the event relates to 

government contracting, it asks whether 

the respondent has taken advantage of 

various government contracting 

programs which SBA offers. 

SBA may also use this form to help 

evaluate programs which it conducts by 

itself. Responding to the questionnaire 

is entirely voluntary. 

Solicitation of Public Comments 

SBA is requesting comments on (a) 

Whether the collection of information is 

necessary for the agency to properly 

perform its functions; (b) whether the 

burden estimates are accurate; (c) 

whether there are ways to minimize the 

burden, including through the use of 

automated techniques or other forms of 

information technology; and (d) whether 

there are ways to enhance the quality, 

utility, and clarity of the information. 

Summary of Information Collection 

Title: Outreach Event Survey. 

Description of Respondents: Those 

who attend events which SBA 

cosponsors with other organizations. 

Form Number: 20. 

Total Estimated Annual Responses: 

90,600. 

Total Estimated Annual Hour Burden: 

3,020. 

Curtis Rich, 

Management Analyst. 

[FR Doc. 2018–15022 Filed 7–12–18; 8:45 am] 

BILLING CODE 8025–01–P 

DEPARTMENT OF STATE 

[Public Notice: 10462] 

Notice of Determinations; Culturally 

Significant Objects Imported for 

Exhibition—Determinations: 

‘‘Delacroix’’ Exhibition 

SUMMARY: Notice is hereby given of the 

following determinations: I hereby 

determine that certain objects to be 

included in the exhibition ‘‘Delacroix,’’ 

imported from abroad for temporary 

exhibition within the United States, are 

of cultural significance. The objects are 

imported pursuant to loan agreements 

with the foreign owners or custodians. 

I also determine that the exhibition or 

display of the exhibit objects at The 

Metropolitan Museum of Art, New York, 

New York, from on or about September 

17, 2018, until on or about January 6, 

2019, and at possible additional 

exhibitions or venues yet to be 

determined, is in the national interest. 

I have ordered that Public Notice of 

these determinations be published in 

the Federal Register. 

FOR FURTHER INFORMATION CONTACT: Julie 

Simpson, Attorney-Adviser, Office of 

the Legal Adviser, U.S. Department of 

State (telephone: 202–632–6471; email: 

section2459@state.gov). The mailing 

address is U.S. Department of State, 

L/PD, SA–5, Suite 5H03, Washington, 

DC 20522–0505. 

SUPPLEMENTARY INFORMATION: The 

foregoing determinations were made 

pursuant to the authority vested in me 

by the Act of October 19, 1965 (79 Stat. 

985; 22 U.S.C. 2459), E.O. 12047 of 

March 27, 1978, the Foreign Affairs 

Reform and Restructuring Act of 1998 

(112 Stat. 2681, et seq.; 22 U.S.C. 6501 

note, et seq.), Delegation of Authority 

No. 234 of October 1, 1999, Delegation 

of Authority No. 236–3 of August 28, 

2000, and Delegation of Authority No. 

236–10 of July 6, 2018. 

Jennifer Z. Galt, 

Principal Deputy Assistant Secretary for 

Educational and Cultural Affairs, Department 

of State. 

[FR Doc. 2018–15025 Filed 7–12–18; 8:45 am] 

BILLING CODE 4710–05–P 

DEPARTMENT OF STATE 

[Public Notice: 10461] 

Notice of Determinations; Culturally 

Significant Objects Imported for 

Exhibition—Determinations: ‘‘Keir 

Collection of Art of the Islamic World’’ 

Exhibitions 

SUMMARY: Notice is hereby given of the 

following determinations: I hereby 

determine that two objects to be 

included in exhibitions of the Keir 

Collection of Art of the Islamic World, 

re-imported from abroad for temporary 

exhibition within the United States, are 

of cultural significance. The objects are 

re-imported pursuant to a loan 

agreement with the foreign owner or 

custodian. I also determine that the 

exhibition or display of the first object 

at the Dallas Museum of Art, in Dallas, 

Texas, and at possible additional 


sradovich on DSK3GMQ082PROD with NOTICES