Sunshine Act Meeting, 42383-42384 [2014-17142]

Download as PDF Federal Register / Vol. 79, No. 139 / Monday, July 21, 2014 / Notices exemption. Approximately 10 respondents file the information required by Rule 236 at an estimated 1.5 hours per response for a total annual reporting burden of 15 hours (1.5 hours per response × 10 responses). Written comments are invited on: (a) Whether the proposed collection of information is necessary for the proper performance of the functions of the agency, including whether the information will have practical utility; (b) the accuracy of the agency’s estimate of the burden imposed by 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 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 unless it displays a currently valid control number. Please direct your written comment to Thomas Bayer, 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: July 15, 2014. Kevin M. O’Neill, Deputy Secretary. [FR Doc. 2014–17014 Filed 7–18–14; 8:45 am] Dated: July 15, 2014. Kevin M. O’Neill, Deputy Secretary. BILLING CODE 8011–01–P SECURITIES AND EXCHANGE COMMISSION [FR Doc. 2014–17015 Filed 7–18–14; 8:45 am] BILLING CODE 8011–01–P Proposed Collection; Comment Request Upon Written Request Copies Available From: Securities and Exchange Commission, Office of FOIA Services, 100 F Street NE., Washington, DC 20549–2736 emcdonald on DSK67QTVN1PROD with NOTICES Extension: Regulation S–T. OMB Control No. 3235– 424, SEC File No. 270–375. 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 (‘‘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. VerDate Mar<15>2010 17:14 Jul 18, 2014 Jkt 232001 Regulation S–T (17 CFR 232.10 through 232.501) sets forth the general requirements and procedures for the electronic submission of documents on the Electronic Data Gathering, Analysis and Retrieval (‘‘EDGAR’’) System. Regulation S–T is assigned one burden hour for administrative convenience because it does not directly impose any information collection requirements. Written comments are invited on: (a) Whether the proposed collection of information is necessary for the proper performance of the functions of the agency, including whether the information will have practical utility; (b) the accuracy of the agency’s estimate of the burden imposed by 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 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 unless it displays a currently valid control number. Please direct your written comment to Thomas Bayer, 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. 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 an Open Meeting on Wednesday, July 23, 2014 at 10:00 a.m., in the Auditorium, Room L–002. The subject matters of the Open Meeting will be: • The Commission will consider whether to adopt amendments to certain rules under the Investment Company Act of 1940 that govern the operation of money market funds and related amendments to Form PF under the Investment Advisers Act of 1940. The PO 00000 Frm 00100 Fmt 4703 Sfmt 4703 42383 Commission will also consider whether to issue a related notice of proposed exemptive relief. • The Commission will consider whether to (i) re-propose amendments to the principal rule under the Investment Company Act of 1940 that governs the operation of money market funds to address provisions that reference credit ratings and (ii) propose an amendment to the diversification provisions in that rule. 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: The Office of the Secretary at (202) 551–5400. Dated: July 16, 2014. Kevin M. O’Neill, Deputy Secretary. [FR Doc. 2014–17141 Filed 7–17–14; 11:15 am] BILLING CODE 8011–01–P 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 Wednesday, July 23, 2014 at 1:00 p.m. and Thursday, July 24, 2014 at 2:00 p.m. Commissioners, Counsel to the Commissioners, the Secretary to the Commission, and recording secretaries will attend the Closed Meetings. 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), (5), (7), 9(ii) and (10), permit consideration of the scheduled matters at the Closed Meetings. Commissioner Piwowar, as duty officer, voted to consider the items listed for the Closed Meetings in closed sessions. The subject matter of the July 23, 2014 Closed Meeting will be: Institution and settlement of administrative proceedings; and other matters relating to enforcement proceedings. The subject matter of the July 24, 2014 Closed Meeting will be: Institution and settlement of injunctive actions; institution and settlement of E:\FR\FM\21JYN1.SGM 21JYN1 42384 Federal Register / Vol. 79, No. 139 / Monday, July 21, 2014 / Notices administrative proceedings; a litigation matter; 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 the Office of the Secretary at (202) 551–5400. SECURITIES AND EXCHANGE COMMISSION Dated: July 16, 2014. Kevin M. O’Neill, Deputy Secretary. July 15, 2014. [FR Doc. 2014–17142 Filed 7–17–14; 11:15 am] BILLING CODE 8011–01–P SECURITIES AND EXCHANGE COMMISSION emcdonald on DSK67QTVN1PROD with NOTICES 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 an Open Meeting on July 25, 2014, at 10 a.m., in the Auditorium (L–002) at the Commission’s headquarters building, to hear oral argument in an appeal by the Division of Enforcement from an initial decision of an administrative law judge. On October 28, 2011, the law judge dismissed proceedings brought by the Division against Respondents John P. Flannery and James D. Hopkins, former employees of State Street Bank and Trust Company. The law judge held that Respondents did not violate the antifraud provisions of Section 17(a) of the Securities Act of 1933, Section 10(b) of the Securities Exchange Act of 1934, and Exchange Act Rule 10b–5 because she found that, among other things, they did not make misleading statements regarding the portfolio holdings of an unregistered collective trust fund, the Limited Duration Bond Fund (‘‘LDBF’’), in communications with LDBF investors. The issues likely to be considered at oral argument include whether Respondents violated the antifraud provisions as alleged and, if so, the extent to which they should be sanctioned for those violations. For further information, please contact the Office of the Secretary at (202) 551–5400. Dated: July 17, 2014. Kevin M. O’Neill, Deputy Secretary. [Release No. 34–72608; File No. SR–CBOE– 2014–055] Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Its Fees Schedule Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (the ‘‘Act’’),1 and Rule 19b–4 thereunder,2 notice is hereby given that on July 1, 2014, Chicago Board Options Exchange, Incorporated (the ‘‘Exchange’’ or ‘‘CBOE’’) filed with the Securities and Exchange Commission (the ‘‘Commission’’) the proposed rule change as described in Items I, II, and III below, which Items have been prepared by the Exchange. The Commission is publishing this notice to solicit comments on the proposed rule change from interested persons. I. Self-Regulatory Organization’s Statement of the Terms of Substance of the Proposed Rule Change The Exchange proposes to amend its Fees Schedule. The text of the proposed rule change is available on the Exchange’s Web site (https:// www.cboe.com/AboutCBOE/ CBOELegalRegulatoryHome.aspx), at the Exchange’s Office of the Secretary, and at the Commission’s Public Reference Room. II. Self-Regulatory Organization’s Statement of the Purpose of, and Statutory Basis for, the Proposed Rule Change In its filing with the Commission, the Exchange included statements concerning the purpose of and basis for the proposed rule change and discussed any comments it received on the proposed rule change. The text of these statements may be examined at the places specified in Item IV below. The Exchange has prepared summaries, set forth in sections A, B, and C below, of the most significant aspects of such statements. A. Self-Regulatory Organization’s Statement of the Purpose of, and Statutory Basis for, the Proposed Rule Change 1. Purpose The Exchange proposes to amend its Fees Schedule, to be effective July 1, [FR Doc. 2014–17188 Filed 7–17–14; 11:15 am] 1 15 BILLING CODE 8011–01–P 2 17 VerDate Mar<15>2010 17:14 Jul 18, 2014 Jkt 232001 PO 00000 U.S.C. 78s(b)(1). CFR 240.19b–4. Frm 00101 Fmt 4703 Sfmt 4703 2014. First, the Exchange proposes to increase the fees for electronic Professional/Voluntary Professional (W) (‘‘Professional’’) and Joint Back Office (J) (‘‘JBO’’) executions in equity, ETF, ETN and index options classes (except, SPX, SPXW, SPXpm, SRO, OEX, XEO, VIX, VXST and VOLATILITY INDEXES (the ‘‘Special Classes’’)) from $0.30 to $0.45 for Penny Pilot Classes and $0.60 for Non-Penny Pilot Classes. The Exchange notes that the proposed fees are the same amount that are currently assessed to Broker-Dealers and non-Trading Permit Holder Market Makers. The Exchange also notes that this change is being proposed due to competitive reasons and that the increased amount is within the range of fees assessed for similar transactions on other exchanges.3 The Exchange also proposes to amend its Fees Schedule to adopt a fee of $200 per report per FBW group 4 per month for daily reports provided to requesting users of the Exchange’s aggregation Floor Broker Workstation (which are used on the Exchange trading floor to enter orders) (‘‘FBW’’). The Exchange licenses the FBW software from a thirdparty vendor, which vendor operates FBW on behalf of the Exchange. This vendor also provides upon request by TPHs on an ad hoc basis reports related to their use of FBW. For example, some TPHs request reports related to the orders they enter on FBWs. Other TPHs request reports related to their market access control settings.5 Currently, TPHs receive these ad hoc reports at no charge. Recently, however, FBW users have requested that they automatically receive reports on a daily basis. The 3 See PHLX Pricing, Section II, Multiply Listed Options Fees. 4 For business purposes, a Trading Permit Holder (‘‘TPH’’) firm may group FBW users within that firm into an FBW aggregation group (for example, a TPH may have an index group and an equity group). If a TPH has FBW aggregation groups, the proposed fee will be applied to each group. For example, if a TPH has an FBW index group and an FBW equity group, and the TPH requests that it receive daily market access control reports for both groups, the Exchange will charge the TPH $400/ month under the proposed fee. 5 FBW includes a market access control window in which TPHs can input parameters and settings (which are displayed for each FBW aggregation group) with respect to their orders to help them manage their trading risk. These risk controls include pre-order controls (such as quantity of contracts per order, premium amount per order, number of identical orders and frequency of order entry) and aggregate controls (such as actual and predictive values for premium amount per day, quantity of contracts per day, and the number of orders with a status of working). Use of the market access control window is voluntary. Pursuant to the CBOE Fees Schedule, the Exchange charges TPHs $100/month per login ID (capped at $2,000 per month for a TPH) for use of the market access controls window costs. E:\FR\FM\21JYN1.SGM 21JYN1

Agencies

SECURITIES AND EXCHANGE COMMISSION

[Federal Register Volume 79, Number 139 (Monday, July 21, 2014)]
[Notices]
[Pages 42383-42384]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: 2014-17142]


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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 Wednesday, July 
23, 2014 at 1:00 p.m. and Thursday, July 24, 2014 at 2:00 p.m.
    Commissioners, Counsel to the Commissioners, the Secretary to the 
Commission, and recording secretaries will attend the Closed Meetings. 
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), (5), (7), 9(ii) and (10), permit consideration of the 
scheduled matters at the Closed Meetings.
    Commissioner Piwowar, as duty officer, voted to consider the items 
listed for the Closed Meetings in closed sessions.
    The subject matter of the July 23, 2014 Closed Meeting will be: 
Institution and settlement of administrative proceedings; and other 
matters relating to enforcement proceedings.
    The subject matter of the July 24, 2014 Closed Meeting will be: 
Institution and settlement of injunctive actions; institution and 
settlement of

[[Page 42384]]

administrative proceedings; a litigation matter; 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 the Office of the 
Secretary at (202) 551-5400.

    Dated: July 16, 2014.
Kevin M. O'Neill,
Deputy Secretary.
[FR Doc. 2014-17142 Filed 7-17-14; 11:15 am]
BILLING CODE 8011-01-P

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