Sunshine Act Meeting, 56249 [E9-26257]

Download as PDF Federal Register / Vol. 74, No. 209 / Friday, October 30, 2009 / Notices Shagufta_Ahmed@omb.eop.gov; and (ii) Charles Boucher, Director/CIO, 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: October 26, 2009. Florence E. Harmon, Deputy Secretary. [FR Doc. E9–26176 Filed 10–29–09; 8:45 am] BILLING CODE 8011–01–P SECURITIES AND EXCHANGE COMMISSION sroberts on DSKD5P82C1PROD 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 a Closed Meeting on Tuesday, November 3, 2009 at 2 p.m. Commissioners, Counsel to the Commissioners, the Secretary to the Commission, and recording secretaries will attend the Closed Meeting. Certain staff members who have an interest in the matters also may 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)(3), (5), (7), (8), 9(B) and (10) and 17 CFR 200.402(a)(3), (5), (7), (8), 9(ii) and (10), permit consideration of the scheduled matters at the Closed Meeting. Commissioner Casey, as duty officer, voted to consider the items listed for the Closed Meeting in a closed session. The subject matter of the Closed Meeting scheduled for Tuesday, November 3, 2009 will be: Institution and settlement of injunctive actions; Institution and settlement of administrative proceedings; An adjudicatory matter; Regulatory matters regarding financial institutions; 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. VerDate Nov<24>2008 16:30 Oct 29, 2009 Jkt 220001 Dated: October 27, 2009. Elizabeth M. Murphy, Secretary. [FR Doc. E9–26256 Filed 10–28–09; 11:15 am] BILLING CODE 8011–01–P SECURITIES AND EXCHANGE COMMISSION Sunshine Act Meeting Dated: October 28, 2009. Elizabeth M. Murphy, Secretary. [FR Doc. E9–26257 Filed 10–28–09; 4:15 pm] PO 00000 Frm 00078 Fmt 4703 Sfmt 4703 SECURITIES AND EXCHANGE COMMISSION [Release No. 34–60876; File No. SR– NYSEArca–2009–93] Self-Regulatory Organizations; NYSE Arca, Inc., Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Add 75 Options Classes to the Penny Pilot Program October 26, 2009. 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 November 2, 2009, at 10 a.m., in Room 10800, to hear oral argument on an appeal by Guy P. Riordan from an initial decision of an administrative law judge. The law judge found that, from around 1996 to December 2002, Riordan, a former registered representative associated with Wachovia Securities, LLC, in its Albuquerque, New Mexico, branch office, violated the antifraud provisions by making secret cash payments to the New Mexico State Treasurer in exchange for securities business from the Treasurer’s Office. The law judge barred Riordan from associating with any broker or dealer; imposed a ceaseand-desist order; ordered disgorgement of $1,017,278.78, plus prejudgment interest; and assessed a $500,000 thirdtier civil penalty. Among the issues likely to be argued are whether Riordan engaged in the conduct alleged, whether that conduct constituted securities fraud and, if so, the extent to which sanctions should be imposed. Commissioner Casey, as duty officer, determined that no earlier notice thereof was possible. 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. BILLING CODE 8011–01–P 56249 Pursuant to Section 19(b)(1) 1 of the Securities Exchange Act of 1934 (the ‘‘Act’’),2 and Rule 19b–4 thereunder,3 notice is hereby given that, on October 21, 2009, NYSE Arca, Inc. (‘‘NYSE Arca’’ or the ‘‘Exchange’’) 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 self-regulatory organization. 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 designate 75 options classes to be added to the Penny Pilot Program for Options (‘‘Penny Pilot’’ or ‘‘Pilot’’) on November 2, 2009. The text of the proposed rule change is attached as Exhibit 5 to the 19b–4 form [sic].4 A copy of this filing is available on the Exchange’s Web site at [sic], at the Exchange’s principal office 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 self-regulatory organization 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 those 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 parts of such statements. 1 15 U.S.C. 78s(b)(1). U.S.C. 78a. 3 17 CFR 240.19b–4. 4 The Commission notes that no rule text was attached as an exhibit to this filing and there are no changes to the rule text proposed by the Exchange. 2 15 E:\FR\FM\30OCN1.SGM 30OCN1

Agencies

[Federal Register Volume 74, Number 209 (Friday, October 30, 2009)]
[Notices]
[Page 56249]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: E9-26257]


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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 an Open Meeting on November 2, 2009, 
at 10 a.m., in Room 10800, to hear oral argument on an appeal by Guy P. 
Riordan from an initial decision of an administrative law judge. The 
law judge found that, from around 1996 to December 2002, Riordan, a 
former registered representative associated with Wachovia Securities, 
LLC, in its Albuquerque, New Mexico, branch office, violated the 
antifraud provisions by making secret cash payments to the New Mexico 
State Treasurer in exchange for securities business from the 
Treasurer's Office. The law judge barred Riordan from associating with 
any broker or dealer; imposed a cease-and-desist order; ordered 
disgorgement of $1,017,278.78, plus prejudgment interest; and assessed 
a $500,000 third-tier civil penalty.
    Among the issues likely to be argued are whether Riordan engaged in 
the conduct alleged, whether that conduct constituted securities fraud 
and, if so, the extent to which sanctions should be imposed.
    Commissioner Casey, as duty officer, determined that no earlier 
notice thereof was possible.
    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: October 28, 2009.
Elizabeth M. Murphy,
Secretary.
[FR Doc. E9-26257 Filed 10-28-09; 4:15 pm]
BILLING CODE 8011-01-P
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