80 FR 41119 - Sunshine Act Meeting

SECURITIES AND EXCHANGE COMMISSION

Federal Register Volume 80, Issue 134 (July 14, 2015)

Page Range		41119-41119
FR Document		2015-17293

Federal Register, Volume 80 Issue 134 (Tuesday, July 14, 2015)

[Federal Register Volume 80, Number 134 (Tuesday, July 14, 2015)]
[Notices]
[Page 41119]
From the Federal Register Online  [www.thefederalregister.org]
[FR Doc No: 2015-17293]


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SECURITIES AND EXCHANGE COMMISSION


Sunshine Act Meeting

    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 Investor Advisory Committee will hold a meeting 
on Thursday, July 16, 2015, in Multi-Purpose Room LL-006 at the 
Commission's headquarters, 100 F Street NE., Washington, DC. The 
meeting will begin at 9:30 a.m. (ET) and will be open to the public. 
Seating will be on a first-come, first-served basis. Doors will open at 
9 a.m. Visitors will be subject to security checks. The meeting will be 
webcast on the Commission's Web site at www.sec.gov.
    On June 22, 2015, the Commission issued notice of the Committee 
meeting (Release No. 33-9851), indicating that the meeting is open to 
the public (except during that portion of the meeting reserved for an 
administrative work session during lunch), and inviting the public to 
submit written comments to the Committee. This Sunshine Act notice is 
being issued because a quorum of the Commission may attend the meeting.
    The agenda for the meeting includes: Remarks from Commissioners; a 
discussion of background checks as a means to address elder financial 
abuse (which may include a recommendation); a discussion of the 
Department of Labor's fiduciary rule proposal; a shareholder rights 
update panel; a report of the Committee chair regarding Committee 
matters; an investment management panel discussion on the disclosure of 
fees and risks in fund products; and a nonpublic administrative work 
session during lunch.
    For further information, please contact the Office of the Secretary 
at (202) 551-5400.

     Dated: July 9, 2015.
Brent J. Fields,
Secretary.
[FR Doc. 2015-17293 Filed 7-10-15; 11:15 am]
 BILLING CODE 8011-01-P

Federal Register / Vol. 80, No. 134 / Tuesday, July 14, 2015 / Notices 41119

10:00 a.m. and 3:00 p.m. Copies of the disclosure of fees and risks in fund SECURITIES AND EXCHANGE
filing also will be available for products; and a nonpublic COMMISSION
inspection and copying at the principal administrative work session during
[Release No. 34–75394; File No. SR–FINRA–
office of the Exchange. All comments lunch. 2015–017]
received will be posted without change; For further information, please
the Commission does not edit personal contact the Office of the Secretary at Self-Regulatory Organizations;
identifying information from (202) 551–5400. Financial Industry Regulatory
submissions. You should submit only Dated: July 9, 2015. Authority, Inc.; Notice of Filing of a
information that you wish to make Proposed Rule Change To Establish
Brent J. Fields,
available publicly. All submissions the Securities Trader and Securities
should refer to File Number SR–BX– Secretary.
[FR Doc. 2015–17293 Filed 7–10–15; 11:15 am]
Trader Principal Registration
2015–036 and should be submitted on Categories
or before August 4, 2015. BILLING CODE 8011–01–P
July 8, 2015.
For the Commission, by the Division of
Trading and Markets, pursuant to delegated Pursuant to Section 19(b)(1) of the
authority.32 SECURITIES AND EXCHANGE Securities Exchange Act of 1934
COMMISSION (‘‘Act’’) 1 and Rule 19b–4 thereunder,2
Brent J. Fields,
Secretary. notice is hereby given that on June 29,
[FR Doc. 2015–17170 Filed 7–13–17; 8:45 am]
[Release No. 34–75277] 2015, Financial Industry Regulatory
Authority, Inc. (‘‘FINRA’’) filed with the
BILLING CODE 8011–01–P
Public Availability of the Securities and Securities and Exchange Commission
Exchange Commission’s FY 2014 (‘‘SEC’’ or ‘‘Commission’’) the proposed
Service Contract Inventory rule change as described in Items I and
SECURITIES AND EXCHANGE
COMMISSION AGENCY: U.S. Securities and Exchange II below, which Items have been
Commission. prepared by FINRA. The Commission is
Sunshine Act Meeting publishing this notice to solicit
ACTION: Notice. comments on the proposed rule change
Notice is hereby given, pursuant to from interested persons.
the provisions of the Government in the SUMMARY: In accordance with Section
Sunshine Act, Public Law 94–409, that 743 of Division C of the Consolidated I. Self-Regulatory Organization’s
the Securities and Exchange Appropriations Act of 2010 (Pub. L. Statement of the Terms of Substance of
Commission Investor Advisory 111–117), SEC is publishing this notice the Proposed Rule Change
Committee will hold a meeting on to advise the public of the availability FINRA is proposing to amend NASD
Thursday, July 16, 2015, in Multi- of the FY2014 Service Contract Rule 1032(f) (Limited Representative—
Purpose Room LL–006 at the Inventory (SCI) and the FY2013 SCI Equity Trader) to replace the Equity
Commission’s headquarters, 100 F Analysis. The SCI provides information Trader registration category and
Street NE., Washington, DC. The on FY2014 actions over $25,000 for qualification examination (Series 55)
meeting will begin at 9:30 a.m. (ET) and service contracts. The inventory with a Securities Trader registration
will be open to the public. Seating will organizes the information by function to category and qualification examination
be on a first-come, first-served basis. show how SEC distributes contracted (Series 57). In addition, the proposed
Doors will open at 9 a.m. Visitors will resources throughout the agency. SEC rule change amends NASD Rule 1022(a)
be subject to security checks. The developed the inventory per the (General Securities Principal) to
meeting will be webcast on the guidance issued on November 5, 2011 establish a Securities Trader Principal
Commission’s Web site at www.sec.gov. by the Office of Management and registration category. The proposed rule
On June 22, 2015, the Commission Budget’s Office of Federal Procurement change also makes technical conforming
issued notice of the Committee meeting Policy (OFPP). OFPP’s guidance is changes to the Form U4 (Uniform
(Release No. 33–9851), indicating that available at http://www.whitehouse.gov/ Application for Securities Industry
the meeting is open to the public sites/default/files/omb/procurement/ Registration or Transfer).
(except during that portion of the memo/service-contract-inventories- The text of the proposed rule change
meeting reserved for an administrative guidance-11052010.pdf. The Service is available on FINRA’s Web site at
work session during lunch), and Contract Inventory Analysis for FY2013 http://www.finra.org, at the principal
inviting the public to submit written provides information based on the FY office of FINRA and at the
comments to the Committee. This 2013 Inventory. The SEC has posted its Commission’s Public Reference Room.
Sunshine Act notice is being issued inventory, a summary of the inventory
because a quorum of the Commission and the FY2013 analysis on the SEC’s II. Self-Regulatory Organization’s
may attend the meeting. homepage at http://www.sec.gov/about/ Statement of the Purpose of, and
The agenda for the meeting includes: secreports.shtml and http:// Statutory Basis for, the Proposed Rule
Remarks from Commissioners; a www.sec.gov/open. Change
discussion of background checks as a FOR FURTHER INFORMATION CONTACT: In its filing with the Commission,
means to address elder financial abuse Direct questions regarding the service FINRA included statements concerning
(which may include a recommendation);
asabaliauskas on DSK5VPTVN1PROD with NOTICES

contract inventory to Vance Cathell, the purpose of and basis for the
a discussion of the Department of Director Office of Acquisitions proposed rule change and discussed any
Labor’s fiduciary rule proposal; a 202.551.8385 or CathellV@sec.gov. comments it received on the proposed
shareholder rights update panel; a rule change. The text of these statements
Dated: June 24, 2015.
report of the Committee chair regarding may be examined at the places specified
Committee matters; an investment Brent J. Fields,
in Item IV below. FINRA has prepared
management panel discussion on the Secretary.
[FR Doc. 2015–17180 Filed 7–13–15; 8:45 am] 1 15 U.S.C. 78s(b)(1).
32 17 CFR 200.30–3(a)(12). BILLING CODE 8011–01–P 2 17 CFR 240.19b–4.

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Document Created: 2018-02-23 09:19:34
Document Modified: 2018-02-23 09:19:34

Category		Regulatory Information
Collection		Federal Register
sudoc Class		AE 2.7: GS 4.107: AE 2.106:
Publisher		Office of the Federal Register, National Archives and Records Administration
Section		Notices
FR Citation		80 FR 41119