Sunshine Act Meetings, 5603 [E8-1694]

Download as PDF 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 Frm 00110 Fmt 4703 Sfmt 4703 E:\FR\FM\30JAN1.SGM 30JAN1 The

Agencies

[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