Sunshine Act; Notice of Meeting, 26822 [2010-11446]

Download as PDF 26822 Federal Register / Vol. 75, No. 91 / Wednesday, May 12, 2010 / Notices contained in section 12(d)(1)(A) of the Act, except to the extent permitted by exemptive relief from the Commission permitting the Fund to purchase shares of other investment companies for shortterm cash management purposes. 20. Before approving any advisory contract under section 15 of the Act, the board of directors or trustees of each Acquiring Management Company, including a majority of the disinterested directors or trustees, will find that the advisory fees charged under such advisory contract are based on services provided that will be in addition to, rather than duplicative of, the services provided under the advisory contract(s) of any Fund in which the Acquiring Management Company may invest. These findings and their basis will be recorded fully in the minute books of the appropriate Acquiring Management Company. reform legislation; (v) discussion of fiduciary duty, in the context of investment advisers and registered broker-dealers, including a presentation by SEC staff; (vi) discussion with an expert panel on mandatory arbitration; (vii) discussion of money market funds and the issue of net asset value (‘‘NAV’’), including a presentation by SEC staff; (viii) recommendation by Investor Education Subcommittee of an investor education campaign; (ix) reports from Subcommittees on other activities; and (x) discussion of next steps and closing comments. For further information, please contact the Office of the Secretary at (202) 551–5400. Dated: May 10, 2010. Elizabeth M. Murphy, Secretary. [FR Doc. 2010–11446 Filed 5–10–10; 4:15 pm] For the Commission, by the Division of Investment Management, under delegated authority. Florence E. Harmon, Deputy Secretary. BILLING CODE 8011–01–P SECURITIES AND EXCHANGE COMMISSION [FR Doc. 2010–11252 Filed 5–11–10; 8:45 am] BILLING CODE 8010–01–P [File No. 500–1] In the Matter of: Universal Property Development & Acquisition Corp.; Order of Suspension of Trading SECURITIES AND EXCHANGE COMMISSION WReier-Aviles on DSKGBLS3C1PROD with NOTICES Sunshine Act; Notice of 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 Investor Advisory Committee will hold an Open Meeting on Monday, May 17, 2010, in the Multipurpose Room, L–006. The meeting will begin at 9 a.m. and will be open to the public, with seating on a first-come, first-served basis. Doors will open at 8:30 a.m. Visitors will be subject to security checks. On April 26, 2010, the Commission published notice of the Committee meeting (Release No. 33–9120), indicating that the meeting is open to the public and inviting the public to submit written comments to the Committee. This Sunshine Act notice is being issued because a majority of the Commission may attend the meeting. The agenda for the meeting includes: (i) Remarks by Dan Ariely, behavioral economist, on investor reaction to disclosure; (ii) update on recommendations previously adopted by the Committee; (iii) briefing on the Investor as Owner Subcommittee’s environmental, social, and governance disclosure workplan; (iv) update on certain issues involved in financial VerDate Mar<15>2010 15:00 May 11, 2010 Jkt 220001 May 10, 2010. It appears to the Securities and Exchange Commission that there is a lack of current and accurate information concerning the securities of Universal Property Development & Acquisition Corp. (‘‘Universal Property’’) because it has not filed any periodic reports since the period ended March 31, 2008. Universal Property is quoted on the Pink Sheets operated by Pink OTC Markets, Inc. under the ticker symbol UPDV. The Commission is of the opinion that the public interest and the protection of investors require a suspension of trading in the securities of the above-listed company. Therefore, it is ordered, pursuant to Section 12(k) of the Securities Exchange Act of 1934, that trading in the securities of the above-listed company is suspended for the period from 9:30 a.m. EDT on May 10, 2010, through 11:59 p.m. EDT on May 21, 2010. By the Commission. Jill M. Peterson, Assistant Secretary. [FR Doc. 2010–11401 Filed 5–10–10; 4:15 pm] BILLING CODE 8010–11–P PO 00000 Frm 00117 Fmt 4703 Sfmt 4703 SECURITIES AND EXCHANGE COMMISSION [Release No. 34–62036; File No. 4–594] Self-Regulatory Organizations; Order Approving Minor Rule Violation Plan for EDGX Exchange, Inc. May 5, 2010. On March 19, 2010, EDGX Exchange, Inc. (‘‘EDGX Exchange’’ or the ‘‘Exchange’’) filed with the Securities and Exchange Commission (the ‘‘Commission’’) a proposed minor rule violation plan (‘‘MRVP’’) pursuant to Section 19(d)(1) of the Securities Exchange Act of 1934 (‘‘Act’’) 1 and Rule 19d–1(c)(2) thereunder.2 The proposed MRVP was published for public comment on March 29, 2010.3 The Commission received no comments on the proposal. This order approves EDGX Exchange’s proposed MRVP. EDGX Exchange’s MRVP specifies those uncontested minor rule violations with sanctions not exceeding $2,500 which would not be subject to the provisions of Rule 19d–1(c)(1) under the Act 4 requiring that a self-regulatory organization promptly file notice with the Commission of any final disciplinary action taken with respect to any person or organization.5 In accordance with Rule 19d–1(c)(2), the Exchange proposed to designate certain rule violations as minor rule violations, and requested that it be relieved of the reporting requirements regarding such violations, provided it gives notice of such violations to the Commission on a quarterly basis. EDGX Exchange included in its proposed MRVP the policies and procedures currently included in EDGX Exchange Rule 8.15 (‘‘Imposition of Fines for Minor Violation(s) of Rules’’) and the rule violations included in EDGX Exchange Rule 8.15.01.6 1 15 U.S.C. 78s(d)(1). CFR 240.19d–1(c)(2). 3 See Securities Exchange Act Release No. 61752 (March 22, 2010), 75 FR 15475. 4 17 CFR 240.19d–1(c)(1). 5 The Commission adopted amendments to paragraph (c) of Rule 19d–1 to allow self-regulatory organizations (‘‘SROs’’) to submit for Commission approval plans for the abbreviated reporting of minor disciplinary infractions. See Securities Exchange Act Release No. 21013 (June 1, 1984), 49 FR 23828 (June 8, 1984). Any disciplinary action taken by an SRO against any person for violation of a rule of the SRO which has been designated as a minor rule violation pursuant to such a plan shall not be considered ‘‘final’’ for purposes of Section 19(d)(1) of the Act if the sanction imposed consists of a fine not exceeding $2,500 and the sanctioned person has not sought an adjudication, including a hearing, or otherwise exhausted his or her administrative remedies. 6 On March 12, 2010, the Commission approved EDGX Exchange’s application for registration as a 2 17 E:\FR\FM\12MYN1.SGM 12MYN1

Agencies

[Federal Register Volume 75, Number 91 (Wednesday, May 12, 2010)]
[Notices]
[Page 26822]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: 2010-11446]


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SECURITIES AND EXCHANGE COMMISSION


Sunshine Act; Notice of 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 Investor Advisory Committee will hold an Open 
Meeting on Monday, May 17, 2010, in the Multipurpose Room, L-006. The 
meeting will begin at 9 a.m. and will be open to the public, with 
seating on a first-come, first-served basis. Doors will open at 8:30 
a.m. Visitors will be subject to security checks.
    On April 26, 2010, the Commission published notice of the Committee 
meeting (Release No. 33-9120), indicating that the meeting is open to 
the public and inviting the public to submit written comments to the 
Committee. This Sunshine Act notice is being issued because a majority 
of the Commission may attend the meeting.
    The agenda for the meeting includes: (i) Remarks by Dan Ariely, 
behavioral economist, on investor reaction to disclosure; (ii) update 
on recommendations previously adopted by the Committee; (iii) briefing 
on the Investor as Owner Subcommittee's environmental, social, and 
governance disclosure workplan; (iv) update on certain issues involved 
in financial reform legislation; (v) discussion of fiduciary duty, in 
the context of investment advisers and registered broker-dealers, 
including a presentation by SEC staff; (vi) discussion with an expert 
panel on mandatory arbitration; (vii) discussion of money market funds 
and the issue of net asset value (``NAV''), including a presentation by 
SEC staff; (viii) recommendation by Investor Education Subcommittee of 
an investor education campaign; (ix) reports from Subcommittees on 
other activities; and (x) discussion of next steps and closing 
comments.
    For further information, please contact the Office of the Secretary 
at (202) 551-5400.

    Dated: May 10, 2010.
Elizabeth M. Murphy,
Secretary.
[FR Doc. 2010-11446 Filed 5-10-10; 4:15 pm]
BILLING CODE 8011-01-P
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