82 FR 43439 - Investor Advisory Committee Meeting

SECURITIES AND EXCHANGE COMMISSION

Federal Register Volume 82, Issue 178 (September 15, 2017)

Page Range		43439-43439
FR Document		2017-19674

The Securities and Exchange Commission Investor Advisory Committee, established pursuant to Section 911 of the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010, is providing notice that it will hold a public meeting. The public is invited to submit written statements to the Committee.

Federal Register, Volume 82 Issue 178 (Friday, September 15, 2017)

[Federal Register Volume 82, Number 178 (Friday, September 15, 2017)]
[Notices]
[Page 43439]
From the Federal Register Online  [www.thefederalregister.org]
[FR Doc No: 2017-19674]


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SECURITIES AND EXCHANGE COMMISSION

[Release Nos. 33-10412; 34-8158; File No. 265-28]


Investor Advisory Committee Meeting

AGENCY: Securities and Exchange Commission.

ACTION: Notice of meeting of Securities and Exchange Commission Dodd-
Frank Investor Advisory Committee.

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SUMMARY: The Securities and Exchange Commission Investor Advisory 
Committee, established pursuant to Section 911 of the Dodd-Frank Wall 
Street Reform and Consumer Protection Act of 2010, is providing notice 
that it will hold a public meeting. The public is invited to submit 
written statements to the Committee.

DATES: The meeting will be held on Thursday, October 12, 2017 from 9:30 
a.m. until 3:10 p.m. (ET). Written statements should be received on or 
before October 12, 2017.

ADDRESSES: The meeting will be held in Multi-Purpose Room LL-006 at the 
Commission's headquarters, 100 F Street NE., Washington, DC 20549. The 
meeting will be webcast on the Commission's Web site at www.sec.gov. 
Written statements may be submitted by any of the following methods:

Electronic Statements

    [ssquf] Use the Commission's Internet submission form (http://www.sec.gov/rules/other.shtml); or
    [ssquf] Send an email message to [email protected]. Please 
include File No. 265-28 on the subject line; or

Paper Statements

    [ssquf] Send paper statements to Brent J. Fields, Secretary, 
Securities and Exchange Commission, 100 F Street NE., Washington, DC 
20549-1090.

All submissions should refer to File No. 265-28. This file number 
should be included on the subject line if email is used. To help us 
process and review your statement more efficiently, please use only one 
method.
    Statements also will be available for Web site viewing and printing 
in the Commission's Public Reference Room, 100 F Street NE., Room 1503, 
Washington, DC 20549, on official business days between the hours of 
10:00 a.m. and 3:00 p.m. All statements received will be posted without 
change; we do not edit personal identifying information from 
submissions. You should submit only information that you wish to make 
available publicly.

FOR FURTHER INFORMATION CONTACT: Marc Oorloff Sharma, Chief Counsel, 
Office of the Investor Advocate, at (202) 551-3302, Securities and 
Exchange Commission, 100 F Street NE., Washington, DC 20549.

SUPPLEMENTARY INFORMATION: The meeting will be open to the public, 
except during that portion of the meeting reserved for an 
administrative work session during lunch. Persons needing special 
accommodations to take part because of a disability should notify the 
contact person listed in the section above entitled FOR FURTHER 
INFORMATION CONTACT.
    The agenda for the meeting includes: Remarks from Commissioners; a 
discussion regarding blockchain and other distributed ledger technology 
and implications for securities markets; an overview of law school 
clinic advocacy efforts on behalf of retail investors; a discussion 
regarding electronic delivery of information to retail investors (which 
may include a recommendation of the Investor as Purchaser 
Subcommittee); subcommittee reports; and a nonpublic administrative 
work session during lunch.

    Dated: September 12, 2017.
Brent J. Fields,
Secretary.
[FR Doc. 2017-19674 Filed 9-14-17; 8:45 am]
 BILLING CODE 8011-01-P

Federal Register / Vol. 82, No. 178 / Friday, September 15, 2017 / Notices 43439

percentage of new arbitrators who are will hold a public meeting. The public implications for securities markets; an
women and the percentage of new is invited to submit written statements overview of law school clinic advocacy
arbitrators who are African- to the Committee. efforts on behalf of retail investors; a
Americans.66 DATES: The meeting will be held on discussion regarding electronic delivery
Taking into consideration the Thursday, October 12, 2017 from 9:30 of information to retail investors (which
comments and FINRA’s responses, the a.m. until 3:10 p.m. (ET). Written may include a recommendation of the
Commission believes that the proposal statements should be received on or Investor as Purchaser Subcommittee);
is consistent with the Exchange Act. before October 12, 2017. subcommittee reports; and a nonpublic
The Commission believes that the ADDRESSES: The meeting will be held in administrative work session during
proposal will help protect investors and Multi-Purpose Room LL–006 at the lunch.
the public interest by, among other Commission’s headquarters, 100 F Dated: September 12, 2017.
things, increasing the size and diversity Street NE., Washington, DC 20549. The Brent J. Fields,
of the FINRA arbitrator pool from which meeting will be webcast on the Secretary.
parties can select a panel. The Commission’s Web site at www.sec.gov. [FR Doc. 2017–19674 Filed 9–14–17; 8:45 am]
Commission believes that expanding Written statements may be submitted by BILLING CODE 8011–01–P
investor choice in the arbitrator any of the following methods:
selection process improves efficiency
and enhances the integrity of the forum. Electronic Statements
SECURITIES AND EXCHANGE
In addition, the Commission believes D Use the Commission’s Internet COMMISSION
that FINRA’s response to commenters, submission form (http://www.sec.gov/
as discussed in more detail above, rules/other.shtml); or [Investment Company Act Release No.
appropriately addressed their concerns D Send an email message to rules- 32813; 812–14780]
and adequately explained FINRA’s comments@sec.gov. Please include File
reasons for declining to modify its Innovator ETFS Trust and Innovator
No. 265–28 on the subject line; or Capital Management, LLC
proposal. Accordingly, the Commission
believes that the approach proposed by Paper Statements
September 11, 2017.
FINRA is appropriate and designed to D Send paper statements to Brent J. AGENCY: Securities and Exchange
protect investors and the public interest, Fields, Secretary, Securities and Commission (‘‘Commission’’).
consistent with Section 15A(b)(6) of the Exchange Commission, 100 F Street NE., ACTION: Notice.
Exchange Act and the rules and Washington, DC 20549–1090.
regulations thereunder. All submissions should refer to File No. Notice of an application under section
265–28. This file number should be 6(c) of the Investment Company Act of
V. Conclusion 1940 (‘‘Act’’) for an exemption from
included on the subject line if email is
It is therefore ordered pursuant to used. To help us process and review section 15(a) of the Act and rule 18f–2
Section 19(b)(2) of the Exchange Act 67
your statement more efficiently, please under the Act. The requested exemption
that the proposal (SR–FINRA–2017– use only one method. would permit an investment adviser to
025), be and hereby is approved. Statements also will be available for hire and replace certain subadvisers
For the Commission, by the Division of Web site viewing and printing in the without shareholder approval.
Trading and Markets, pursuant to delegated Commission’s Public Reference Room, APPLICANTS: Innovator ETFS Trust (the
authority.68 100 F Street NE., Room 1503, ‘‘Trust’’), a Delaware statutory trust
Eduardo A. Aleman, Washington, DC 20549, on official registered under the Act as an open-end
Assistant Secretary. business days between the hours of management investment company, and
[FR Doc. 2017–19582 Filed 9–14–17; 8:45 am] 10:00 a.m. and 3:00 p.m. All statements Innovator Capital Management, LLC, a
BILLING CODE 8011–01–P received will be posted without change; Delaware limited liability company
we do not edit personal identifying registered as an investment adviser
information from submissions. You under the Investment Advisers Act of
SECURITIES AND EXCHANGE should submit only information that 1940 (the ‘‘Adviser’’ or ‘‘Innovator’’ and,
COMMISSION you wish to make available publicly. collectively with the Trust, the
FOR FURTHER INFORMATION CONTACT: ‘‘Applicants’’).
[Release Nos. 33–10412; 34–8158; File No.
265–28] Marc Oorloff Sharma, Chief Counsel, FILING DATES: The application was filed
Office of the Investor Advocate, at (202) on June 7, 2017 and amended on
Investor Advisory Committee Meeting 551–3302, Securities and Exchange September 8, 2017.
Commission, 100 F Street NE., HEARING OR NOTIFICATION OF HEARING: An
AGENCY: Securities and Exchange Washington, DC 20549. order granting the application will be
Commission.
SUPPLEMENTARY INFORMATION: The issued unless the Commission orders a
ACTION: Notice of meeting of Securities
meeting will be open to the public, hearing. Interested persons may request
and Exchange Commission Dodd-Frank a hearing by writing to the
except during that portion of the
Investor Advisory Committee. Commission’s Secretary and serving
meeting reserved for an administrative
SUMMARY: The Securities and Exchange work session during lunch. Persons Applicants with a copy of the request,
Commission Investor Advisory needing special accommodations to take personally or by mail. Hearing requests
part because of a disability should should be received by the Commission
mstockstill on DSK30JT082PROD with NOTICES

Committee, established pursuant to
Section 911 of the Dodd-Frank Wall notify the contact person listed in the by 5:30 p.m. on October 5, 2017 and
Street Reform and Consumer Protection section above entitled FOR FURTHER should be accompanied by proof of
Act of 2010, is providing notice that it INFORMATION CONTACT. service on the Applicants, in the form
The agenda for the meeting includes: of an affidavit or, for lawyers, a
66 Id. Remarks from Commissioners; a certificate of service. Pursuant to rule 0–
67 15 U.S.C. 78s(b)(2). discussion regarding blockchain and 5 under the Act, hearing requests should
68 17 CFR 200.30–3(a)(12). other distributed ledger technology and state the nature of the writer’s interest,

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Document Created: 2017-09-15 00:18:33
Document Modified: 2017-09-15 00:18:33

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
Action		Notice of meeting of Securities and Exchange Commission Dodd- Frank Investor Advisory Committee.
Dates		The meeting will be held on Thursday, October 12, 2017 from 9:30 a.m. until 3:10 p.m. (ET). Written statements should be received on or before October 12, 2017.
Contact		Marc Oorloff Sharma, Chief Counsel, Office of the Investor Advocate, at (202) 551-3302, Securities and Exchange Commission, 100 F Street NE., Washington, DC 20549.
FR Citation		82 FR 43439