[Federal Register Volume 88, Number 227 (Tuesday, November 28, 2023)]
[Notices]
[Page 83199]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2023-26116]


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SECURITIES AND EXCHANGE COMMISSION

[Investment Company Act Release No. 35053; 812-15509]


CAZ Strategic Opportunities Fund and CAZ Investments Registered 
Adviser LLC

November 21, 2023.
AGENCY: Securities and Exchange Commission (``Commission'' or ``SEC'').

ACTION: Notice.

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    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 an exemption 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 investment companies to issue multiple classes of 
shares and to impose early withdrawal charges and asset-based 
distribution and/or service fees.

Applicants:  CAZ Strategic Opportunities Fund and CAZ Investments 
Registered Adviser LLC.

Filing Date:  The application was filed on September 29, 2023 and 
amended on November 15, 2023.

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 <a href="/cdn-cgi/l/email-protection#df8cbabcadbaabbeada6acf290b9b9b6bcba9facbabcf1b8b0a9"><span class="__cf_email__" data-cfemail="1447717766716075666d67395b72727d7771546771773a737b62">[email protected]</span></a> 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 December 
18, 2023, 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: <a href="/cdn-cgi/l/email-protection#5f0c3a3c2d3a2b3e2d262c72103939363c3a1f2c3a3c71383029"><span class="__cf_email__" data-cfemail="095a6c6a7b6c7d687b707a24466f6f606a6c497a6c6a276e667f">[email protected]</span></a>. Applicants: 
Christopher Alan Zook, CAZ Strategic Opportunities Fund, 
<a href="/cdn-cgi/l/email-protection#a7c4c6dde7c4c6ddcec9d1c2d4d3cac2c9d3d489c4c8ca"><span class="__cf_email__" data-cfemail="8be8eaf1cbe8eaf1e2e5fdeef8ffe6eee5fff8a5e8e4e6">[email protected]</span></a>; with a copy to Thomas Friedmann, Dechert LLP, 
<a href="/cdn-cgi/l/email-protection#13677b7c7e72603d75617a76777e727d7d537776707b7661673d707c7e"><span class="__cf_email__" data-cfemail="2f5b4740424e5c01495d464a4b424e41416f4b4a4c474a5d5b014c4042">[email protected]</span></a>; Matthew Carter, Dechert LLP, 
<a href="/cdn-cgi/l/email-protection#c7aaa6b3b3afa2b0e9a4a6b5b3a2b587a3a2a4afa2b5b3e9a4a8aa"><span class="__cf_email__" data-cfemail="dab7bbaeaeb2bfadf4b9bba8aebfa89abebfb9b2bfa8aef4b9b5b7">[email protected]</span></a>; and Alexander Karampatsos, Dechert LLP, 
<a href="/cdn-cgi/l/email-protection#0869646d7069666c6d7a2663697a696578697c7b677b486c6d6b606d7a7c266b6765"><span class="__cf_email__" data-cfemail="056469607d646b6160772b6e64776468756471766a76456160666d6077712b666a68">[email protected]</span></a>.

FOR FURTHER INFORMATION CONTACT: Trace W. Rakestraw, Senior Special 
Counsel, 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, 
dated November 15, 2023, 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. 2023-26116 Filed 11-27-23; 8:45 am]
BILLING CODE 8011-01-P


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