8620 Federal Register / Vol. 87, No. 31 / Tuesday, February 15, 2022 / Notices 

1Precidian ETFs Trust, et al., Investment 

Company Act Rel. Nos. 33440 (April 8, 2019) 

(notice) and 33477 (May 20, 2019) (order). 

applicant in person or by telephone, for 

example, the applicant lives in another 

country, a manual version of Form AA– 

3 is used. One response is requested of 

each respondent. Completion of the 

form is required to obtain a benefit. 

The RRB proposes no changes to 

Forms AA–3cert and AA–3sum. 

ESTIMATE OF ANNUAL RESPONDENT BURDEN

Form No. Annual 

responses 

Time 

(minutes) 

Burden 

(hours) 

Form AA–3cert (Ink Signature) .................................................................................................... 6,180 30 3,090 

Form AA–3sum (Attestation) ....................................................................................................... 3,520 29 1,701 

Total ...................................................................................................................................... 9,700 ........................ 4,791 

4. Title and purpose of information 

collection: Statement of Claimant or 

Other Person; OMB 3220–0183. 

To support an application for an 

annuity under Section 2 of the Railroad 

Retirement Act (RRA) (45 U.S.C. 231a) 

or for unemployment benefits under 

Section 2 of the Railroad 

Unemployment Insurance Act (RUIA) 

(45 U.S.C. 352), pertinent information 

and proofs must be furnished for the 

RRB to determine benefit entitlement. 

Circumstances may require an applicant 

or other person(s) having knowledge of 

facts relevant to the applicant’s 

eligibility for an annuity or benefits to 

provide written statements 

supplementing or changing statements 

previously provided by the applicant. 

Under the railroad retirement program 

these statements may relate to a change 

in an annuity beginning date(s), date of 

marriage(s), birth(s), prior railroad or 

non-railroad employment, an 

applicant’s request for reconsideration 

of an unfavorable RRB eligibility 

determination for an annuity or various 

other matters. The statements may also 

be used by the RRB to secure a variety 

of information needed to determine 

eligibility to unemployment and 

sickness benefits. Procedures related to 

providing information needed for RRA 

annuity or RUIA benefit eligibility 

determinations are prescribed in 20 CFR 

217 and 320 respectively. 

The RRB utilizes Form G–93, 

Statement of Claimant or Other Person, 

to obtain from applicants or other 

persons, the supplemental or corrective 

information needed to determine 

applicant eligibility for an RRA annuity 

or RUIA benefits. Completion is 

voluntary. One response is requested of 

each respondent. The RRB proposes no 

changes to Form G–93. 

ESTIMATE OF ANNUAL RESPONDENT BURDEN

Form No. Annual 

responses 

Time 

(minutes) 1

Burden 

(hours) 

G–93 ............................................................................................................................................ 1,300 15 325 

Additional Information or Comments: 

To request more information or to 

obtain a copy of the information 

collection justification, forms, and/or 

supporting material, contact Kennisha 

Tucker at (312) 469–2591 or 

Kennisha.Tucker@rrb.gov. Comments 

regarding the information collection 

should be addressed to Brian Foster, 

Railroad Retirement Board, 844 North 

Rush Street, Chicago, Illinois 60611– 

1275 or emailed to Brian.Foster@rrb.gov. 

Written comments should be received 

within 60 days of this notice. 

Brian Foster, 

Clearance Officer. 

[FR Doc. 2022–03164 Filed 2–14–22; 8:45 am] 

BILLING CODE 7905–01–P 

SECURITIES AND EXCHANGE 

COMMISSION 

[Investment Company Act Release No. 

34499; 812–15273] 

DoubleLine ETF Trust, et al. 

February 9, 2022. 

AGENCY: Securities and Exchange 

Commission (‘‘Commission’’). 

ACTION: Notice. 

Notice of an application under section 

6(c) of the Investment Company Act of 

1940 (the ‘‘Act’’) for an exemption from 

sections 2(a)(32), 5(a)(1) and 22(d) of the 

Act and rule 22c–1 under the Act and 

under sections 6(c) and 17(b) of the Act 

for an exemption from sections 17(a)(1) 

and 17(a)(2) of the Act. 

SUMMARY OF APPLICATION: Applicants 

request an order (‘‘Order’’) that permits: 

(a) ActiveShares ETFs (as described in 

the Reference Order (as defined below)) 

to issue shares (‘‘Shares’’) redeemable in 

large aggregations only (‘‘creation 

units’’); (b) secondary market 

transactions in Shares to occur at 

negotiated market prices rather than at 

net asset value; and (c) certain affiliated 

persons of an ActiveShares ETF to 

deposit securities into, and receive 

securities from, the ActiveShares ETF in 

connection with the purchase and 

redemption of creation units. The relief 

in the Order would incorporate by 

reference terms and conditions of the 

same relief of a previous order granting 

the same relief sought by applicants, as 

that order may be amended from time to 

time (‘‘Reference Order’’).1

APPLICANTS: DoubleLine ETF Trust, 

DoubleLine ETF Adviser LP and 

Foreside Fund Services, LLC. 

FILING DATES: The application was filed 

on October 15, 2021, and amended on 

December 30, 2021, January 31, 2022 

and February 2, 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 Commission’s Secretary at 

Secretarys-Office@sec.gov and serving 

applicants with a copy of the request by 


lotter on DSK11XQN23PROD with NOTICES1
Federal Register / Vol. 87, No. 31 / Tuesday, February 15, 2022 / Notices 8621 

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

2 17 CFR 240.19b–4. 

3See Securities Exchange Release No. 52851 

(November 29, 2005), 70 FR 72480 (December 5, 

2005) (SR–CBOE–2005–84). 

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 March 7, 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 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: 

John J. O’Brien, Morgan Lewis & 

Bockius LLP, john.obrien@

morganlewis.com; Earl A. Lariscy, 

DoubleLine ETF Trust, earl.lariscy@

doubleline.com. 

FOR FURTHER INFORMATION CONTACT: 

Christopher D. Carlson, Senior Counsel, 

or Trace W. Rakestraw, 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’ amended application, dated 

February 2, 2022, which may be 

obtained via the Commission’s website 

by searching for the file number, using 

the Company name box, at http://

www.sec.gov/search/search.htm, or by 

calling (202) 551–8090. 

For the Commission, by the Division of 

Investment Management, under delegated 

authority. 

J. Matthew DeLesDernier, 

Assistant Secretary. 

[FR Doc. 2022–03153 Filed 2–14–22; 8:45 am] 

BILLING CODE 8011–01–P 

SECURITIES AND EXCHANGE 

COMMISSION 

[Release No. 34–94201; File No. SR–CBOE– 

2022–004] 

Self-Regulatory Organizations; Cboe 

Exchange, Inc.; Notice of Filing and 

Immediate Effectiveness of a Proposed 

Rule Change To Amend Its Fees 

Schedule 

February 9, 2022. 

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

Securities Exchange Act of 1934 (the 

‘‘Act’’),1 and Rule 19b–4 thereunder,2

notice is hereby given that on February 

1, 2022, Cboe Exchange, Inc. (the 

‘‘Exchange’’ or ‘‘Cboe Options’’) filed 

with the Securities and Exchange 

Commission (the ‘‘Commission’’) the 

proposed rule change as described in 

Items I, II, and III 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 

Cboe Exchange, Inc. (the ‘‘Exchange’’ 

or ‘‘Cboe Options’’) proposes to amend 

its Fees Schedule. The text of the 

proposed rule change is provided in 

Exhibit 5. 

The text of the proposed rule change 

is also available on the Exchange’s 

website (http://www.cboe.com/ 

AboutCBOE/CBOELegal

RegulatoryHome.aspx), at the 

Exchange’s Office of the Secretary, 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 

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 

The Exchange proposes to amend its 

Fees Schedule to update the Index 

License Surcharge fee for transactions in 

Dow Jones Industrial Average Index 

(‘‘DJX’’) options and to make certain 

clarifying and corrective changes in the 

Fees Schedule, effective February 1, 

2022. 

The Exchange proposes to increase 

the Index License Surcharge fee 

currently applicable to orders executed 

in DJX options in Rate Table— 

Underlying Symbol List A. The 

Exchange currently assesses an Index 

License Surcharge fee of $0.10 per 

contract for non-Customer orders 

executed in DJX options. The proposed 

rule change increases the Index License 

Surcharge fee applicable to orders 

executed in DJX options from $0.10 per 

contract to $0.12 per contract. The 

Exchange notes that the Index License 

Surcharge fee in place for DJX options 

is designed to recoup some of the costs 

associated with the licenses for this 

index.3 The Exchange has recently 

renewed its license arrangements for its 

DJX index license and, as a result, the 

proposed rule change amends the Index 

License Surcharge fee for DJX options in 

order to continue to offset some of the 

costs associated with the license for the 

index in light of the renewal of the 

license. 

The proposed rule change also makes 

certain clarifying and corrective changes 

to the Fees Schedule. The proposed rule 

change removes language in the Floor 

Broker Trading Surcharge table related 

to the requirement that a Floor Broker 

Trading Permit Holder submit the SPX 

Tier Appointment Fee Exclusion for 

Multi-Class Broad-Based Index Spread 

Transactions Form within three 

business days of execution of the 

applicable spread transaction(s) in order 

to receive the SPX Surcharge waiver for 

Floor Broker Trading Permit Holders 

who only execute SPX (including 

SPXW) options transactions as part of 

multi-class broad-based index spread 

transactions. Manual submission of 

such form by Floor Broker Trading 

Permit Holders is no longer necessary as 

the Exchange has automated the process 

for documenting such transactions for 

Floor Broker Trading Permit Holders. 

The proposed rule change makes a 

clarifying change regarding MarketMaker Floor Permit Holders that execute 

contracts in SPX/SPXW in the MarketMaker Tier Appointment Fees table. 

Specifically, the proposed rule change 

adds that the SPX Surcharge will not be 

assessed to a Market-Maker Floor Permit 

Holder who only executes SPX 

(including SPXW) options transactions 

as part of multi-class broad-based index 

spread transactions. In 2019, the 

Exchange restructured its Fees Schedule 

in connection with a technology 

migration. The SPX Surcharge waiver 

provision in connection with MarketMaker Floor Permit Holders existed in 

the Fees Schedule prior to its 2019 

restructuring; however, the Exchange 

inadvertently did not include this 

waiver provision in the restructured 

Fees Schedule. The Exchange notes that 

the same waiver provision related to 

Floor Broker Trading Permit Holders (as 


lotter on DSK11XQN23PROD with NOTICES1