42870 Federal Register / Vol. 82, No. 175 / Tuesday, September 12, 2017 / Notices 

1Applicants request that the order apply not only 

to any existing series of the Trust, but that the order 

also extend to any future series of the Trust and any 

other existing or future registered open-end 

management investment companies and any series 

thereof that are, or may in the future be, advised 

by the Initial Advisor or its successor or any other 

investment adviser controlling, controlled by, or 

under common control with the Initial Advisor or 

its successor and that are part of the same group of 

investment companies, as defined in section 

12(d)(1)(G)(ii) of the Act, as the Trust (together with 

the existing series of the Trust, each series a ‘‘Fund’’ 

and collectively, the ‘‘Funds’’). For purposes of the 

requested order, ‘‘successor’’ is limited to an entity 

that results from a reorganization into another 

jurisdiction or a change in the type of business 

organization. For purposes of the request for relief, 

the term ‘‘group of investment companies’’ means 

any two or more registered investment companies, 

including closed-end investment companies and 

BDCs, that hold themselves out to investors as 

related companies for purposes of investment and 

investor services. 

2Certain of the Underlying Funds have obtained 

exemptions from the Commission necessary to 

permit their shares to be listed and traded on a 

national securities exchange at negotiated prices 

and, accordingly, to operate as an exchange-traded 

fund (‘‘ETF’’). 

3Applicants are not requesting relief for a Fund 

of Funds to invest in BDCs and registered closedend investment companies that are not listed and 

traded on a national securities exchange. 

4Applicants note that a Fund of Funds generally 

would purchase and sell shares of an Underlying 

Fund that operates as an ETF or closed-end fund 

through secondary market transactions rather than 

through principal transactions with the Underlying 

Fund. Applicants nevertheless request relief from 

sections 17(a)(l) and (2) to permit each Fund of 

Funds that is an affiliated person, or an affiliated 

person of an affiliated person, as defined in section 

2(a)(3) of the 1940 Act, of an ETF or closed-end 

fund to purchase or redeem shares from the ETF or 

closed-end fund. Applicants are not seeking relief 

from section 17(a) for, and the requested relief will 

not apply to, transactions where an ETF, BDC or 

closed-end fund could be deemed an affiliated 

person, or an affiliated person of an affiliated 

person, of a Fund of Funds because an investment 

adviser to the ETF, BDC or closed-end fund or an 

entity controlling, controlled by or under common 

control with the investment adviser to the ETF, 

BDC or closed-end fund is also an investment 

adviser to the Fund of Funds. 

FOR FURTHER INFORMATION CONTACT: 

Christine Y. Greenlees, Senior Counsel, 

at (202) 551–6879, or Robert H. Shapiro, 

Branch Chief, at (202) 551–6821 

(Division of Investment Management, 

Chief Counsel’s Office). 

SUPPLEMENTARY INFORMATION: The 

following is a summary of the 

application. The complete application 

may be obtained via the Commission’s 

Web site by searching for the file 

number, or for an applicant using the 

Company name box, at http://

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

calling (202) 551–8090. 

Summary of the Application 

1. Applicants request an order to 

permit (a) each Fund 1 (each a ‘‘Fund of 

Funds’’) to acquire shares of Underlying 

Funds 2 in excess of the limits in 

sections 12(d)(1)(A) and (C) of the Act 

and (b) each Underlying Fund that is a 

registered open-end management 

investment company or series thereof, 

their principal underwriters and any 

broker or dealer registered under the 

Securities Exchange Act of 1934 to sell 

shares of the Underlying Funds to the 

Fund of Funds in excess of the limits in 

section 12(d)(1)(B) of the Act.3

Applicants also request an order of 

exemption under sections 6(c) and 17(b) 

of the Act from the prohibition on 

certain affiliated transactions in section 

17(a) of the Act to the extent necessary 

to permit the Underlying Funds to sell 

their shares to, and redeem their shares 

from, the Funds of Funds.4 Applicants 

state that such transactions will be 

consistent with the policies of each 

Fund of Funds and each Underlying 

Fund and with the general purposes of 

the Act and will be based on the net 

asset values of the Underlying Funds. 

2. Applicants agree that any order 

granting the requested relief will be 

subject to the terms and conditions 

stated in the application. Such terms 

and conditions are designed to, among 

other things, help prevent any potential 

(i) undue influence over an Underlying 

Fund that is not in the same ‘‘group of 

investment companies’’ as the Fund of 

Funds through control or voting power, 

or in connection with certain services, 

transactions, and underwritings, (ii) 

excessive layering of fees, and (iii) 

overly complex fund structures, which 

are the concerns underlying the limits 

in sections 12(d)(1)(A), (B), and (C) of 

the Act. 

3. Section 12(d)(1)(J) of the Act 

provides that the Commission may 

exempt any person, security, or 

transaction, or any class or classes of 

persons, securities, or transactions, from 

any provision of section 12(d)(1) if the 

exemption is consistent with the public 

interest and the protection of investors. 

Section 17(b) of the Act authorizes the 

Commission to grant an order 

permitting a transaction otherwise 

prohibited by section 17(a) if it finds 

that (a) the terms of the proposed 

transaction are fair and reasonable and 

do not involve overreaching on the part 

of any person concerned; (b) the 

proposed transaction is consistent with 

the policies of each registered 

investment company involved; and (c) 

the proposed transaction is consistent 

with the general purposes of the Act. 

Section 6(c) of the Act permits the 

Commission to exempt any persons or 

transactions from any provision of the 

Act if such exemption is necessary or 

appropriate in the public interest and 

consistent with the protection of 

investors and the purposes fairly 

intended by the policy and provisions of 

the Act. 

For the Commission, by the Division of 

Investment Management, pursuant to 

delegated authority. 

Eduardo A. Aleman, 

Assistant Secretary. 

[FR Doc. 2017–19236 Filed 9–11–17; 8:45 am] 

BILLING CODE 8011–01–P 

SECURITIES AND EXCHANGE 

COMMISSION 

Proposed Collection; Comment 

Request 

Upon Written Request, Copies Available 

From: U.S. Securities and Exchange 

Commission, Office of FOIA Services, 

100 F Street NE., Washington, DC 

20549–2736 

Extension: 

Rule 15c1–6, SEC File No. 270–423, OMB 

Control No. 3235–0472 

Notice is hereby given that pursuant 

to the Paperwork Reduction Act of 1995 

(‘‘PRA’’) (44 U.S.C. 3501 et seq.), the 

Securities and Exchange Commission 

(‘‘Commission’’) is soliciting comments 

on the existing collection of information 

provided for in Rule 15c1–6 (17 CFR 

240.15c1–6) under the Securities 

Exchange Act of 1934 (15 U.S.C. 78a et 

seq.) (‘‘Exchange Act’’). The 

Commission plans to submit this 

existing collection of information to the 

Office of Management and Budget 

(‘‘OMB’’) for extension and approval. 

Rule 15c1–6 states that any brokerdealer trying to sell to or buy from a 

customer a security in a primary or 

secondary distribution in which the 

broker-dealer is participating or is 

otherwise financially interested must 

give the customer written notification of 

the broker-dealer’s participation or 

interest at or before completion of the 

transaction. The Commission estimates 

that 394 respondents collect information 

annually under Rule 15c1–6 and that 

each respondent would spend 

approximately 10 hours annually 

complying with the collection of 

information requirement (approximately 

3,940 hours in aggregate). 

Written comments are invited on: (a) 

Whether the proposed collection of 

information is necessary for the proper 

performance of the functions of the 

Commission, including whether the 

information shall have practical utility; 

(b) the accuracy of the Commission’s 

estimates of the burden of the proposed 

collection of information; (c) ways to 

enhance the quality, utility, and clarity 

of the information to be collected; and 

(d) ways to minimize the burden of the 


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Federal Register / Vol. 82, No. 175 / Tuesday, September 12, 2017 / Notices 42871 

collection of information on 

respondents, including through the use 

of automated collection techniques or 

other forms of information technology. 

Consideration will be given to 

comments and suggestions submitted in 

writing within 60 days of this 

publication. 

An agency may not conduct or 

sponsor, and a person is not required to 

respond to, a collection of information 

under the PRA unless it displays a 

currently valid OMB control number. 

Please direct your written comments 

to: Pamela Dyson, Director/Chief 

Information Officer, Securities and 

Exchange Commission, c/o Remi PavlikSimon, 100 F Street NE., Washington, 

DC 20549, or send an email to: PRA_

Mailbox@sec.gov. 

Dated: September 6, 2017. 

Eduardo A. Aleman, 

Assistant Secretary. 

[FR Doc. 2017–19235 Filed 9–11–17; 8:45 am] 

BILLING CODE 8011–01–P 

SMALL BUSINESS ADMINISTRATION 

[Disaster Declaration #15283; MISSISSIPPI 

Disaster Number MS–00102 Declaration of 

Economic Injury] 

Administrative Declaration of an 

Economic Injury Disaster for the State 

of Mississippi 

AGENCY: U.S. Small Business 

Administration. 

ACTION: Notice. 

SUMMARY: This is a notice of an 

Economic Injury Disaster Loan (EIDL) 

declaration for the State of Mississippi, 

dated September 1, 2017. 

DATES: Issued on 09/01/2017. 

Economic Injury (EIDL) Loan 

Application Deadline Date: 06/01/2018. 

ADDRESS: Submit completed loan 

applications to: U.S. Small Business 

Administration, Processing and 

Disbursement Center, 14925 Kingsport 

Road, Fort Worth, TX 76155. 

FOR FURTHER INFORMATION CONTACT: A. 

Escobar, Office of Disaster Assistance, 

U.S. Small Business Administration, 

409 3rd Street SW., Suite 6050, 

Washington, DC 20416, (202) 205–6734. 

SUPPLEMENTARY INFORMATION: Notice is 

hereby given that as a result of the 

Administrator’s EIDL declaration, 

applications for economic injury 

disaster loans may be filed at the 

address listed above or other locally 

announced locations. 

Incident: City of Vicksburg’s Main 

Waterline Rupture. 

Incident Period: 05/17/2017 through 

05/24/2017. 

The following areas have been 

determined to be adversely affected by 

the disaster: 

Primary Counties: Warren 

Contiguous Counties: 

Mississippi: Claiborne, Hinds, 

Issaquena, Yazoo 

Louisiana: East Carroll, Madison, 

Tensas 

The Interest Rates are: 

Percent 

Businesses and Small Agricultural 

Cooperatives Without Credit 

Available Elsewhere .................. 3.215 

Non-Profit Organizations Without 

Credit Available Elsewhere ....... 2.500 

The number assigned to this disaster 

for economic injury is 152830. 

The States which received an EIDL 

Declaration # are Mississippi, Louisiana. 

(Catalog of Federal Domestic Assistance 

Number 59008) 

Dated: September 1, 2017. 

Linda E. McMahon, 

Administrator. 

[FR Doc. 2017–19317 Filed 9–11–17; 8:45 am] 

BILLING CODE 8025–01–P 

DEPARTMENT OF STATE 

[Public Notice: 10123] 

Notice of Determinations; Culturally 

Significant Objects Imported for 

Exhibition Determinations: ‘‘Mark 

Tobey: Threading Light’’ Exhibition 

SUMMARY: Notice is hereby given of the 

following determinations: I hereby 

determine that certain objects to be 

included in the exhibition ‘‘Mark Tobey: 

Threading Light,’’ 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 Addison 

Gallery of American Art at Phillips 

Academy, Andover, Massachusetts, 

from on or about November 4, 2017, 

until on or about March 11, 2018, and 

at possible additional exhibitions or 

venues yet to be determined, is in the 

national interest. 

FOR FURTHER INFORMATION CONTACT: For 

further information, including a list of 

the imported objects, contact Elliot Chiu 

in the 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, as appropriate, Delegation of 

Authority No. 257–1 of December 11, 

2015). I have ordered that Public Notice 

of these determinations be published in 

the Federal Register. 

Alyson Grunder, 

Deputy Assistant Secretary for Policy, Bureau 

of Educational and Cultural Affairs, 

Department of State. 

[FR Doc. 2017–19257 Filed 9–11–17; 8:45 am] 

BILLING CODE 4710–05–P 

DEPARTMENT OF STATE 

[Public Notice: 10122] 

Notice of Determinations; Culturally 

Significant Objects Imported for 

Exhibition Determinations: ‘‘Bosch to 

Bloemaert: Early Netherlandish 

Drawings From the Museum Boijmans 

van Beuningen, Rotterdam’’ Exhibition 

SUMMARY: Notice is hereby given of the 

following determinations: I hereby 

determine that certain objects to be 

included in the exhibition ‘‘Bosch to 

Bloemaert: Early Netherlandish 

Drawings from the Museum Boijmans 

van Beuningen, Rotterdam,’’ imported 

from abroad for temporary exhibition 

within the United States, are of cultural 

significance. The objects are imported 

pursuant to a loan agreement with the 

foreign owner or custodian. I also 

determine that the exhibition or display 

of the exhibit objects at the National 

Gallery of Art, Washington, District of 

Columbia, from on or about October 8, 

2017, until on or about January 7, 2018, 

and at possible additional exhibitions or 

venues yet to be determined, is in the 

national interest. 

FOR FURTHER INFORMATION CONTACT: For 

further information, including a list of 

the imported objects, contact Elliot Chiu 

in the 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 


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