30 Day Notice

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Federal Register / Vol. 88, No. 221 / Friday, November 17, 2023 / Notices

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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
to determine whether the proposed rule
should be approved or disapproved.

submitted material that is obscene or
subject to copyright protection. All
submissions should refer to file number
SR–PHLX–2023–48 and should be
submitted on or before December 8,
2023.
For the Commission, by the Division of
Trading and Markets, pursuant to delegated
authority.8
Sherry R. Haywood,
Assistant Secretary.

IV. Solicitation of Comments
Interested persons are invited to
submit written data, views and
arguments concerning the foregoing,
including whether the proposed rule
change is consistent with the Act.
Comments may be submitted by any of
the following methods:

[FR Doc. 2023–25386 Filed 11–16–23; 8:45 am]

Electronic Comments
• Use the Commission’s internet
comment form (https://www.sec.gov/
rules/sro.shtml); or
• Send an email to rule-comments@
sec.gov. Please include file number SR–
PHLX–2023–48 on the subject line.

TIME AND DATE:

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
number SR–PHLX–2023–48. 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 (https://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
Reference Room, 100 F Street NE,
Washington, DC 20549, on official
business days between the hours of 10
a.m. and 3 p.m. Copies of the filing also
will be available for inspection and
copying at the principal office of the
Exchange. Do not include personal
identifiable information in submissions;
you should submit only information
that you wish to make available
publicly. We may redact in part or
withhold entirely from publication

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BILLING CODE 8011–01–P

SECURITIES AND EXCHANGE
COMMISSION
Sunshine Act Meetings
Notice is hereby given,
pursuant to the provisions of the
Government in the Sunshine Act, Public
Law 94–409, that the Securities and
Exchange Commission Small Business
Capital Formation Advisory Committee
will hold a public meeting on
Wednesday, November 29, 2023, at the
Commission’s headquarters and via
videoconference.
PLACE: The meeting will be hybrid, with
some Committee members attending by
remote means (videoconference) and
others in-person at the Commission’s
headquarters, 100 F Street NE,
Washington, DC 20549, in MultiPurpose Room LL–006. Members of the
public may watch the webcast of the
meeting on the Commission’s website at
www.sec.gov.
STATUS: The meeting will begin at 10:00
a.m. (ET) and will be open to the public
via webcast on the Commission’s
website at www.sec.gov. This Sunshine
Act notice is being issued because a
majority of the Commission may attend
the meeting.
MATTERS TO BE CONSIDERED: The agenda
for the meeting includes matters relating
to rules and regulations affecting small
and emerging businesses and their
investors under the federal securities
laws.
CONTACT PERSON FOR MORE INFORMATION:
For further information and to ascertain
what, if any, matters have been added,
deleted or postponed; please contact
Vanessa A. Countryman from the Office
of the Secretary at (202) 551–5400.
Authority: 5 U.S.C. 552b.
Dated: November 15, 2023.
Vanessa A. Countryman,
Secretary.
[FR Doc. 2023–25606 Filed 11–15–23; 4:15 pm]
BILLING CODE 8011–01–P
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SECURITIES AND EXCHANGE
COMMISSION
[SEC File No. 270–185, OMB Control No.
3235–0238]

Proposed Collection; Comment
Request; Extension: Form N–6F
Upon Written Request, Copies Available
From: Securities and Exchange
Commission, Office of FOIA Services,
100 F Street NE, Washington, DC
20549–2736.
Notice is hereby given that, pursuant
to the Paperwork Reduction Act of 1995
(44 U.S.C. 3501 et seq.) the Securities
and Exchange Commission (the
‘‘Commission’’) is soliciting comments
on the collection of information
summarized below. The Commission
plans to submit this existing collection
of information to the Office of
Management and Budget for extension
and approval.
The title for the collection of
information is ‘‘Form N–6F (17 CFR
274.15), Notice of Intent to Elect to be
Subject to Sections 55 through 65 of the
Investment Company Act of 1940.’’ The
purpose of Form N–6F is to notify the
Commission of a company’s intent to
file a notification of election to become
subject to Sections 55 through 65 of the
Investment Company Act of 1940 (15
U.S.C. 80a-1 et seq.) (‘‘1940 Act’’).
Certain companies may have to make a
filing with the Commission before they
are ready to elect to be regulated as a
business development company.1 A
company that is excluded from the
definition of ‘‘investment company’’ by
Section 3(c)(1) because it has fewer than
one hundred shareholders and is not
making a public offering of its securities
may lose such an exclusion solely
because it proposes to make a public
offering of securities as a business
development company. Such company,
under certain conditions, would not
lose its exclusion if it notifies the
Commission on Form N–6F of its intent
to make an election to be regulated as
a business development company. The
company only has to file a Form N–6F
once.
The Commission estimates that on
average approximately 9 companies file
these notifications each year. Each of
those companies need only make a
single filing of Form N–6F. The
Commission further estimates that this
information collection imposes burden
of 0.5 hours, resulting in a total annual
1 A company might not be prepared to elect to be
subject to Sections 55 through 65 of the 1940 Act
because its capital structure or management
compensation plan is not yet in compliance with
the requirements of those sections.

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Federal Register / Vol. 88, No. 221 / Friday, November 17, 2023 / Notices
PRA burden of 4.5 hours. Based on the
estimated wage rate, the total cost to the
industry of the hour burden for
complying with Form N–6F would be
approximately $1,912.50.
The collection of information under
Form N–6F is mandatory. The
information provided under the form is
not kept confidential. An agency may
not conduct or sponsor, and a person is
not required to respond to, a collection
of information unless it displays a
currently valid OMB control number.
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
estimate of the burden of the collection
of information; (c) ways to enhance the
quality, utility, and clarity of the
information collected; and (d) ways to
minimize the burden of the 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
by January 16, 2024.
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: David Bottom, Acting Director/Chief
Information Officer, Securities and
Exchange Commission, c/o John
Pezzullo, 100 F Street NE, Washington,
DC 20549 or send an email to: PRA_
[email protected].
Dated: November 14, 2023.
Sherry R. Haywood,
Assistant Secretary.
[FR Doc. 2023–25478 Filed 11–16–23; 8:45 am]
BILLING CODE 8011–01–P

SECURITIES AND EXCHANGE
COMMISSION
[Investment Company Act Release No.
35047; File No. 812–15459]

Saratoga Investment Advisors, LLC, et
al.

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November 14, 2023.

Securities and Exchange
Commission (‘‘Commission’’ or ‘‘SEC’’).
ACTION: Notice.
AGENCY:

Notice of application for an order
(‘‘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

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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
(‘‘BDCs’’) and closed-end management
investment companies to co-invest in
portfolio companies with each other and
with certain affiliated investment
entities.
APPLICANTS: Saratoga Investment
Advisors, LLC, Saratoga Management
Company LLC, Saratoga Investment
Corp., Saratoga Investment Corp. SBIC
LP, Saratoga Investment Corp. SBIC II
LP, Saratoga Investment Corp. SBIC III
LP, Saratoga Investment Corp. CLO
2013–1 LTD, Saratoga Investment
Funding II, LLC, SIA-Avionte, Inc., SIA–
AX, Inc., SIA–GH, Inc., SIA–G4, Inc.,
SIA–MAC, Inc., SIA–ARC, Inc., SIA–PP,
Inc., SIA–TG, Inc., SIA–TT, Inc., SIAVector, Inc., SIA–VR, Inc., SIA–AAP,
Inc., Saratoga Credit Fund I L.P., SIA–
MDP Inc., and SIA–SZ, Inc.
FILING DATES: The application was filed
on April 25, 2023, and amended on
September 1, 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
[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, December 11, 2023, 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 at
[email protected].
ADDRESSES:
The Commission: Secretarys-Office@
sec.gov.
Applicants: Rochelle Kracoff,
Assistant Chief Compliance Officer,
Saratoga Investment Corp., at rkracoff@
saratogapartners.com, and Steven B.
Boehm, Esq., Payam Siadatpour, Esq.,
and Anne G. Oberndorf, Esq., Eversheds
Sutherland (US) LLP, at

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80365

[email protected].
FOR FURTHER INFORMATION CONTACT:

Michael Schrader, Senior Counsel, or
Terri Jordan, 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’ first amended and restated
application, dated September 1, 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,
http://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. 2023–25498 Filed 11–16–23; 8:45 am]
BILLING CODE 8011–01–P

SECURITIES AND EXCHANGE
COMMISSION
[SEC File No. 270–381, OMB Control No.
3235–0434]

Submission for OMB Review;
Comment Request; Extension: Rule
15g–2
Upon Written Request, Copies Available
From: U.S. Securities and Exchange
Commission, Office of FOIA Services,
100 F Street NE, Washington, DC
20549–2736
Notice is hereby given that, pursuant
to the Paperwork Reduction Act of 1995
(44 U.S.C. 3501 et seq.)(‘‘PRA’’), the
Securities and Exchange Commission
(‘‘Commission’’) has submitted to the
Office of Management and Budget
(‘‘OMB’’) a request for extension of the
previously approved collection of
information discussed below.
Rule 15g–2 (17 CFR 240.15g–2) (The
‘‘Penny Stock Disclosure Rule’’) under
the Securities Exchange Act of 1934 (15
U.S.C. 78a et seq.) (‘‘Exchange Act’’)
requires broker-dealers to provide their
customers with a risk disclosure
document, as set forth in Schedule 15G,
prior to their first non-exempt
transaction in a ‘‘penny stock.’’ As
amended, the rule requires brokerdealers to obtain written
acknowledgement from the customer
that he or she has received the required

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