Sunshine Act Meetings, 5603 [E8-1694]
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5603
Federal Register / Vol. 73, No. 20 / Wednesday, January 30, 2008 / Notices
following persons: (i) Desk Officer for
the Securities and Exchange
Commission, Office of Management and
Budget, Room 10102, New Executive
Office Building, Washington, DC 20503
or e-mail to:
Alexander_T._Hunt@omb.eop.gov; and
(ii) R. Corey Booth, Director/Chief
Information Officer, Securities and
Exchange Commission, C/O Shirley
Martinson, 6432 General Green Way,
Alexandria, VA 22312; or send an
e-mail to: PRA_Mailbox@sec.gov.
Comments must be submitted to OMB
within 30 days of this notice.
Dated: January 23, 2008.
Florence E. Harmon,
Deputy Secretary.
[FR Doc. E8–1619 Filed 1–29–08; 8:45 am]
BILLING CODE 8011–01–P
SECURITIES AND EXCHANGE
COMMISSION
mstockstill on PROD1PC66 with NOTICES
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 the following
meetings during the week of January 28,
2008:
An Open Meeting will be held on
Wednesday, January 30, 2008 at 10 a.m.,
in the Auditorium, Room L–002, and
Closed Meetings will be held on
Wednesday, January 30, 2008 at 11 a.m.
and Thursday, January 31, 2008 at 10
a.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 may also be present.
The General Counsel of the
Commission, or his designee, has
certified that, in his opinion, one or
more of the exemptions set forth in 5
U.S.C. 552b(c)(5), (7), (9)(B), and (10)
and 17 CFR 200.402(a)(5), (7), 9(ii) and
(10), permit consideration of the
scheduled matters at the Closed
Meetings.
Commissioner Casey, as duty officer,
voted to consider the items listed for the
closed meetings in closed sessions, and
determined that no earlier notice of the
meetings was possible.
The subject matter of the Open
Meeting scheduled for Wednesday,
January 30, 2008 will be:
The Commission will hear oral
argument in an appeal by Jeffrey L.
Gibson from the decision of an
administrative law judge. Gibson is a
18:49 Jan 29, 2008
Jkt 214001
Upon motion for summary
disposition, the law judge found that it
was undisputed that Gibson was
associated with an investment adviser
and a broker-dealer and that he had
been enjoined from violating the
antifraud provisions of the securities
laws. The law judge determined that
Gibson should be barred from
association with an investment adviser
or broker-dealer.
Among the issues likely to be argued
are:
Sunshine Act Meetings
VerDate Aug<31>2005
part-owner and associated person of
Gibson Gaither Wealth Management
Advisors, an investment adviser, and
also was, during the time at issue,
associated with H. Beck, Inc., a brokerdealer. On May 9, 2006, the United
States District Court for the Northern
District of Georgia enjoined Gibson,
with his consent, from violations of the
antifraud provisions of the securities
laws.
whether the law judge properly granted
the Division of Enforcement’s motion
for summary disposition; and
if so, whether sanctions should be
imposed in the public interest.
The subject matter of the Closed
Meeting scheduled for Wednesday,
January 30, 2008 will be: Post-argument
discussion.
The subject matter of the Closed
Meeting scheduled for Thursday,
January 31, 2008 will be:
Institution and settlement of injunctive
actions;
Institution and settlement of
administrative proceedings of an
enforcement nature;
Resolution of litigation claims; and
Post-argument discussion.
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: January 25, 2008.
Nancy M. Morris,
Secretary.
[FR Doc. E8–1694 Filed 1–29–08; 8:45 am]
BILLING CODE 8011–01–P
PO 00000
SECURITIES AND EXCHANGE
COMMISSION
[Investment Company Act Release No.
28133; 812–13467]
Schroder Series Trust, et al.; Notice of
Application
January 24, 2008.
Securities and Exchange
Commission (‘‘Commission’’).
ACTION: Notice of an application under
section 6(c) of the Investment Company
Act of 1940 (‘‘Act’’) for an exemption
from rule 12d1–2(a) under the Act.
AGENCY:
Summary of Application: Applicants
request an order to permit funds of
funds relying on rule 12d1–2 under the
Act to invest in certain financial
instruments.
Applicants: Schroder Series Trust,
Schroder Global Series Trust, and
Schroder Capital Funds (Delaware)
(collectively, the ‘‘Trusts’’), Schroder
Investment Management North America
Inc. (‘‘SIMNA’’), Schroder Investment
Management North America Limited
(‘‘SIMNA Ltd.’’), and Schroder Fund
Advisors Inc. (‘‘SFA’’).
Filing Dates: The application was
filed on December 21, 2007, and
amended on January 19, 2008.
Hearing or Notification of Hearing: An
order granting the application will be
issued unless the Commission orders a
hearing. Interested persons may request
a hearing by writing to the
Commission’s Secretary and serving
applicants with a copy of the request,
personally or by mail. Hearing requests
should be received by the Commission
by 5:30 p.m. on February 19, 2008 and
should be accompanied by proof of
service on applicants, in the form of an
affidavit or, for lawyers, a certificate of
service. Hearing requests should state
the nature of the writer’s interest, the
reason for the request, and the issues
contested. Persons who wish to be
notified of a hearing may request
notification by writing to the
Commission’s Secretary.
ADDRESSES: Secretary, Commission, 100
F Street, NE., Washington, DC 20549–
1090; Applicants, c/o Abby Ingber, Esq.,
Schroder Investment Management North
America Inc., 875 Third Avenue, 22nd
Floor, New York, New York 10022.
FOR FURTHER INFORMATION CONTACT:
Lewis Reich, Senior Counsel, at (202)
551–6919, or Nadya B. Roytblat,
Assistant Director, at (202) 551–6821
(Division of Investment Management,
Office of Investment Company
Regulation).
SUPPLEMENTARY INFORMATION:
following is a summary of the
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The
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[Federal Register Volume 73, Number 20 (Wednesday, January 30, 2008)]
[Notices]
[Page 5603]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: E8-1694]
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SECURITIES AND EXCHANGE COMMISSION
Sunshine Act Meetings
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 the following meetings during the
week of January 28, 2008:
An Open Meeting will be held on Wednesday, January 30, 2008 at 10
a.m., in the Auditorium, Room L-002, and Closed Meetings will be held
on Wednesday, January 30, 2008 at 11 a.m. and Thursday, January 31,
2008 at 10 a.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 may also be
present.
The General Counsel of the Commission, or his designee, has
certified that, in his opinion, one or more of the exemptions set forth
in 5 U.S.C. 552b(c)(5), (7), (9)(B), and (10) and 17 CFR 200.402(a)(5),
(7), 9(ii) and (10), permit consideration of the scheduled matters at
the Closed Meetings.
Commissioner Casey, as duty officer, voted to consider the items
listed for the closed meetings in closed sessions, and determined that
no earlier notice of the meetings was possible.
The subject matter of the Open Meeting scheduled for Wednesday,
January 30, 2008 will be:
The Commission will hear oral argument in an appeal by Jeffrey L.
Gibson from the decision of an administrative law judge. Gibson is a
part-owner and associated person of Gibson Gaither Wealth Management
Advisors, an investment adviser, and also was, during the time at
issue, associated with H. Beck, Inc., a broker-dealer. On May 9, 2006,
the United States District Court for the Northern District of Georgia
enjoined Gibson, with his consent, from violations of the antifraud
provisions of the securities laws.
Upon motion for summary disposition, the law judge found that it
was undisputed that Gibson was associated with an investment adviser
and a broker-dealer and that he had been enjoined from violating the
antifraud provisions of the securities laws. The law judge determined
that Gibson should be barred from association with an investment
adviser or broker-dealer.
Among the issues likely to be argued are:
whether the law judge properly granted the Division of Enforcement's
motion for summary disposition; and
if so, whether sanctions should be imposed in the public interest.
The subject matter of the Closed Meeting scheduled for Wednesday,
January 30, 2008 will be: Post-argument discussion.
The subject matter of the Closed Meeting scheduled for Thursday,
January 31, 2008 will be:
Institution and settlement of injunctive actions;
Institution and settlement of administrative proceedings of an
enforcement nature;
Resolution of litigation claims; and
Post-argument discussion.
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: January 25, 2008.
Nancy M. Morris,
Secretary.
[FR Doc. E8-1694 Filed 1-29-08; 8:45 am]
BILLING CODE 8011-01-P
