Wisconsin District Advisory Council; Public Meeting, 67527 [05-22086]

Download as PDF Federal Register / Vol. 70, No. 214 / Monday, November 7, 2005 / Notices approved. These cross references pertain to disclosures mediators are required to make in connection with interests, relationships, or circumstances which might influence their objectivity and impartiality. C. Comment Summary The Commission received one comment letter on the proposed Mediation Code, in which the Pace Investor Rights Project endorsed the proposed rule change because it preserves the existing NASD mediation system, while allowing individual investors to better understand the mediation rules through plain English.10 Pace generally supports the mediation of securities disputes and cites Professor Jill Gross for her conclusion in a forthcoming article that mediation is fair to the individual investor because it maximizes party control over the process and offers procedural justice at relatively low cost, among other things.11 III. Discussion and Findings After careful consideration, the Commission finds that the proposed rule change, as amended, is consistent with the requirements of the Act and the rules and regulations thereunder applicable to a national securities association 12 and, in particular, the requirements of Section 15A of the Act 13 and the rules and regulations thereunder. The Commission finds that the proposed rule change, as amended, is consistent with Section 15A(b)(6) of the Act,14 which requires, among other things, that the rules of an association be designed to prevent fraudulent and manipulative acts and practices, to promote just and equitable principles of trade, and, in general, to protect investors and the public interest.15 The Commission believes that proposed rule change, as amended, accomplishes these goals by improving the readability, accessibility, and therefore usability of procedures that establish an alternative, voluntary, and potentially low-cost forum for dispute resolution in the securities industry. The Commission believes that there is good cause for approving Amendment No. 3 prior to the 30th day after publication in the Federal Register. The proposed rule change and Amendments 10 Pace Letter. 11 Id. 12 In approving this proposed rule change, the Commission notes that it has considered the proposed rule’s impact on efficiency, competition, and capital formation. 15 U.S.C. 78c(f). 13 15 U.S.C. 78o–3. 14 15 U.S.C. 78o–3(b)(6). 15 Id. VerDate Aug<31>2005 16:38 Nov 04, 2005 Jkt 208001 Nos. 1 and 2 thereto previously have been published for comment and have been available on NASD’s Web site since their filing with the Commission. Amendment No. 3 proposes nonsubstantive, technical changes to the proposed rule change, consistent with the current Code, in order to facilitate approval of the proposed Mediation Code. Accelerated approval of Amendment No. 3 will allow parties to more quickly utilize the reorganized and revised Mediation Code. Based on the above, the Commission finds good cause, consistent with Section 15A(b)(6) and Section 19(b)(2) of the Act, for approving Amendment No. 3 prior to the 30th day after the date of publication of notice of filing thereof in the Federal Register. IV. Solicitation of Comments Interested persons are invited to submit written data, views, and arguments concerning Amendment No. 3, including whether it is consistent with the Act. Comments may be submitted by any of the following methods: Electronic Comments • Use the Commission’s Internet comment form (https://www.sec.gov/ rules/sro.shtml); or • Send an e-mail to rulecomments@sec.gov. Please include File Number SR–NASD–2004–013 on the subject line. Paper Comments • Send paper comments in triplicate to Jonathan G. Katz, Secretary, Securities and Exchange Commission, 100 F Street, NE., Washington, DC 20549–9303. All submissions should refer to File Number SR–NASD–2004–013. The file number should be included on the subject line if e-mail 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 Web site (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 inspection and copying in the Commission’s Public Reference Section, 100 F Street, NE., Washington, PO 00000 Frm 00118 Fmt 4703 Sfmt 4703 67527 DC 20549. Copies of such filing will also be available for inspection and copying at the principal office of NASD. All comments received will be posted without change; the Commission does not edit personal identifying information from submissions. You should submit only information that you wish to make available publicly. All submissions should refer to SR–2004– 013 and should be submitted on or before November 28, 2005. For the Commission, by the Division of Market Regulation, pursuant to delegated authority, 17 CFR 200.30–3(a)(12). Jonathan G. Katz, Secretary. [FR Doc. E5–6140 Filed 11–4–05; 8:45 am] BILLING CODE 8010–01–P SMALL BUSINESS ADMINISTRATION Wisconsin District Advisory Council; Public Meeting The U.S. Small Business Administration Wisconsin District Advisory Council will be hosting a meeting on Tuesday, November 15, 2005, to discuss such matters that may be presented by members, and staff of the U.S. Small Business Administration, or others present. The meeting will be held at the U.S. Small Business Administration, Wisconsin District— Milwaukee, 310 West Wisconsin Avenue, Suite 400, Milwaukee, Wisconsin. Anyone wishing to attend must contact Cindy Merrigan in writing or by fax. Cindy Merrigan, U.S. Small Business Administration, 740 Regent Street, Suite 100, Madison, Wisconsin 53715, phone (608) 441–5560, fax (202) 481–0815, e-mail: cindy.merrigan@sba.gov. Matthew K. Becker, Committee Management Officer. [FR Doc. 05–22086 Filed 11–4–05; 8:45 am] BILLING CODE 8025–01–P DEPARTMENT OF TRANSPORTATION Federal Aviation Administration Agency Information Collection Activity Under OMB Review, Request for Comments; Renewal of an Approved Information Collection Activity, Exemptions for Air Taxi and Commuter Air Carrier Operations Federal Aviation Administration (FAA), DOT. ACTION: Notice and request for comments. AGENCY: E:\FR\FM\07NON1.SGM 07NON1

Agencies

[Federal Register Volume 70, Number 214 (Monday, November 7, 2005)]
[Notices]
[Page 67527]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: 05-22086]


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SMALL BUSINESS ADMINISTRATION


Wisconsin District Advisory Council; Public Meeting

    The U.S. Small Business Administration Wisconsin District Advisory 
Council will be hosting a meeting on Tuesday, November 15, 2005, to 
discuss such matters that may be presented by members, and staff of the 
U.S. Small Business Administration, or others present. The meeting will 
be held at the U.S. Small Business Administration, Wisconsin District--
Milwaukee, 310 West Wisconsin Avenue, Suite 400, Milwaukee, Wisconsin.
    Anyone wishing to attend must contact Cindy Merrigan in writing or 
by fax. Cindy Merrigan, U.S. Small Business Administration, 740 Regent 
Street, Suite 100, Madison, Wisconsin 53715, phone (608) 441-5560, fax 
(202) 481-0815, e-mail: cindy.merrigan@sba.gov.

Matthew K. Becker,
Committee Management Officer.
[FR Doc. 05-22086 Filed 11-4-05; 8:45 am]
BILLING CODE 8025-01-P
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