81 FR 73459 - Sunshine Act Meeting

SECURITIES AND EXCHANGE COMMISSION

Federal Register Volume 81, Issue 206 (October 25, 2016)

Page Range		73459-73459
FR Document		2016-25827

Federal Register, Volume 81 Issue 206 (Tuesday, October 25, 2016)

[Federal Register Volume 81, Number 206 (Tuesday, October 25, 2016)]
[Notices]
[Page 73459]
From the Federal Register Online  [www.thefederalregister.org]
[FR Doc No: 2016-25827]


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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 will hold a closed meeting on Thursday, October 
27, 2016 at 2 p.m.
    Commissioners, Counsel to the Commissioners, the Secretary to the 
Commission, and recording secretaries will attend the closed meeting. 
Certain staff members who have an interest in the matters also may be 
present.
    The General Counsel of the Commission, or her designee, has 
certified that, in her opinion, one or more of the exemptions set forth 
in 5 U.S.C. 552b(c)(3), (5), (7), 9(B) and (10) and 17 CFR 
200.402(a)(3), (a)(5), (a)(7), (a)(9)(ii) and (a)(10), permit 
consideration of the scheduled matter at the closed meeting.
    Commissioner Piwowar, as duty officer, voted to consider the items 
listed for the closed meeting in closed session.
    The subject matter of the closed meeting will be:
    Institution and settlement of injunctive actions;
    Institution and settlement of administrative proceedings;
    Resolution of litigation claims;
    Adjudicatory matters; and
    Other matters relating to enforcement proceedings.
    At times, changes in Commission priorities require alterations in 
the scheduling of meeting items.
    For further information and to ascertain what, if any, matters have 
been added, deleted or postponed; please contact Brent J. Fields from 
the Office of the Secretary at (202) 551-5400.

    Dated: October 20, 2016.
Brent J. Fields,
Secretary.
[FR Doc. 2016-25827 Filed 10-21-16; 11:15 am]
BILLING CODE 8011-01-P

Federal Register / Vol. 81, No. 206 / Tuesday, October 25, 2016 / Notices 73459

verification of compliance with Commissioner Piwowar, as duty Dated: October 19, 2016.
securities law requirements and assures officer, voted to consider the items Brent J. Fields,
the public availability of such listed for the closed meeting in closed Secretary.
information. Form F–1 takes session. [FR Doc. 2016–25807 Filed 10–21–16; 11:15 am]
approximately 1,709 hours per response The subject matter of the closed BILLING CODE 8011–01–P
and is filed by approximately 63 meeting will be:
respondents. We estimate that 25% of
Institution and settlement of
the 1,709 hours per response (427.25 SECURITIES AND EXCHANGE
injunctive actions;
hours) is prepared by the registrant for COMMISSION
a total annual reporting burden of Institution and settlement of
26,917 hours (427.25 hours per response administrative proceedings; Submission for OMB Review;
× 63 responses). Resolution of litigation claims; Comment Request
An agency may not conduct or Adjudicatory matters; and Upon Written Request, Copies Available
sponsor, and a person is not required to
Other matters relating to enforcement From: Securities and Exchange
respond to, a collection of information
proceedings. Commission, Office of FOIA Services,
unless it displays a currently valid
At times, changes in Commission 100 F Street NE., Washington, DC
control number.
The public may view the background priorities require alterations in the 20549–2736.
documentation for this information scheduling of meeting items. Extension:
collection at the following Web site, For further information and to Rule 17a–3; SEC File No. 270–026, OMB
www.reginfo.gov. Comments should be Control No. 3235–0033.
ascertain what, if any, matters have been
directed to: (i) Desk Officer for the added, deleted or postponed; please Notice is hereby given that pursuant
Securities and Exchange Commission, contact Brent J. Fields from the Office of to the Paperwork Reduction Act of 1995
Office of Information and Regulatory the Secretary at (202) 551–5400. (‘‘PRA’’) (44 U.S.C. 3501 et seq.), the
Affairs, Office of Management and Dated: October 20, 2016.
Securities and Exchange Commission
Budget, Room 10102, New Executive (‘‘Commission’’) has submitted to the
Brent J. Fields,
Office Building, Washington, DC 20503, Office of Management and Budget
or by sending an email to: Shagufta_ Secretary. (‘‘OMB’’) a request for extension of the
Ahmed@omb.eop.gov; and (ii) Pamela [FR Doc. 2016–25827 Filed 10–21–16; 11:15 am] previously approved collection of
Dyson, Director/Chief Information BILLING CODE 8011–01–P information discussed below. The Code
Officer, Securities and Exchange of Federal Regulation citation to this
Commission, c/o Remi Pavlik-Simon, collection of information is the
100 F Street NE., Washington, DC 20549 SECURITIES AND EXCHANGE following rule: 17 CFR 240.17a–3.
or send an email to: PRA_Mailbox@ COMMISSION Rule 17a–3 under the Securities
sec.gov. Comments must be submitted to Exchange Act of 1934 establishes
Sunshine Act Meeting minimum standards with respect to
OMB within 30 days of this notice.
business records that broker-dealers
Dated: October 18, 2016. Notice is hereby given, pursuant to
registered with the Commission must
Brent J. Fields, the provisions of the Government in the
make and keep current. These records
Secretary. Sunshine Act, Public Law 94–409, that
are maintained by the broker-dealer (in
[FR Doc. 2016–25706 Filed 10–24–16; 8:45 am] the Securities and Exchange
accordance with a separate rule), so they
Commission will hold an Open Meeting
BILLING CODE 8011–01–P can be used by the broker-dealer and
on Wednesday, October 26, 2016 at
reviewed by Commission examiners, as
10:00 a.m., in the Auditorium, Room L–
well as other regulatory authority
SECURITIES AND EXCHANGE 002.
examiners, during inspections of the
COMMISSION The subject matter of the Open broker-dealer.
Meeting will be: The collections of information
Sunshine Act Meeting
• The Commission will consider included in Rule 17a–3 are necessary to
Notice is hereby given, pursuant to whether to propose amendments to the provide Commission, self-regulatory
the provisions of the Government in the proxy rules relating to the use of organization and state examiners to
Sunshine Act, Public Law 94–409, that universal proxy cards and disclosure conduct effective and efficient
the Securities and Exchange about voting options and voting examinations to determine whether
Commission will hold a closed meeting standards in director elections. broker-dealers are complying with
on Thursday, October 27, 2016 at 2 p.m. • The Commission will consider relevant laws, rules, and regulations. If
Commissioners, Counsel to the whether to adopt rule amendments broker-dealers were not required to
Commissioners, the Secretary to the related to Securities Act Rules 147 and create these baseline, standardized
Commission, and recording secretaries 504 to facilitate intrastate and regional records, Commission, self-regulatory
will attend the closed meeting. Certain securities offerings and whether to organization and state examiners could
staff members who have an interest in repeal Securities Act Rule 505. be unable to determine whether broker-
the matters also may be present. dealers are in compliance with the
The General Counsel of the At times, changes in Commission
Commission’s antifraud and anti-
Commission, or her designee, has priorities require alterations in the
manipulation rules, financial
mstockstill on DSK3G9T082PROD with NOTICES

certified that, in her opinion, one or scheduling of meeting items.
responsibility program, and other
more of the exemptions set forth in 5 For further information and to Commission, SRO, and State laws, rules,
U.S.C. 552b(c)(3), (5), (7), 9(B) and (10) ascertain what, if any, matters have been and regulations.
and 17 CFR 200.402(a)(3), (a)(5), (a)(7), added, deleted, or postponed, please As of April 1, 2016 there were 4,104
(a)(9)(ii) and (a)(10), permit contact Brent J. Fields in: broker-dealers registered with the
consideration of the scheduled matter at The Office of the Secretary at (202) Commission. The Commission estimates
the closed meeting. 551–5400. that these broker-dealer respondents

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Document Created: 2018-02-13 16:38:42
Document Modified: 2018-02-13 16:38:42

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		81 FR 73459