Sunshine Act Meeting, 15352 [2011-6706]

Download as PDF 15352 Federal Register / Vol. 76, No. 54 / Monday, March 21, 2011 / Notices Compliance with Rule 19b–4 is mandatory. Information received in response to Rule 19b–4 shall not be kept confidential; the information collected is public information. Written comments are invited on: (a) Whether the proposed collection of information is necessary for the proper performance of the functions of the Commission, including whether the information shall have practical utility; (b) the accuracy of the Commission’s estimates of the burden of the proposed collection of information; (c) ways to enhance the quality, utility, and clarity of the information to be collected; and (d) ways to minimize the burden of the collection of information on respondents, including through the use of automated collection techniques or other forms of information technology. Consideration will be given to comments and suggestions submitted in writing within 60 days of this publication. Comments should be directed to: Thomas Bayer, Chief Information Officer, Securities and Exchange Commission, c/o Remi Pavlik-Simon, 6432 General Green Way, Alexandria, Virginia 22312 or send an e-mail to: PRA_Mailbox@sec.gov. Comments must be submitted within 60 days of this notice. Dated: March 15, 2011. Cathy H. Ahn, Deputy Secretary. BILLING CODE 8011–01–P mstockstill on DSKH9S0YB1PROD 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 Thursday, March 24, 2011 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 Aguilar, as duty officer, voted to consider the items Jkt 223001 [FR Doc. 2011–6706 Filed 3–17–11; 4:15 pm] BILLING CODE 8011–01–P SECURITIES AND EXCHANGE COMMISSION [Release No. 34–64084; File No. SR–FINRA– 2011–012] March 16, 2011. SECURITIES AND EXCHANGE COMMISSION 17:50 Mar 18, 2011 March 17, 2011. Elizabeth M. Murphy, Secretary. Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Proposed Rule Change Relating to TRACE Reporting of Asset-Backed Securities [FR Doc. 2011–6513 Filed 3–18–11; 8:45 am] VerDate Mar<15>2010 listed for the Closed Meeting in a closed session. The subject matter of the Closed Meeting scheduled for Thursday, March 24, 2011 will be: Institution and settlement of injunctive actions; Institution and settlement of administrative proceedings; A regulatory matter regarding a financial institution; 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. Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (‘‘Act’’ or ‘‘Exchange Act’’)1 and Rule 19b-4 thereunder,2 notice is hereby given that on March 3, 2011, the Financial Industry Regulatory Authority, Inc. (‘‘FINRA’’) filed with the Securities and Exchange Commission (‘‘SEC’’ or ‘‘Commission’’) the proposed rule change as described in Items I, II, and III below, which Items have been prepared by FINRA. 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 FINRA is proposing to amend the FINRA Rule 6700 Series and FINRA Rule 7730: (1) In FINRA Rule 6710, to incorporate minor amendments to 1 15 2 17 PO 00000 U.S.C. 78s(b)(1). CFR 240.19b–4. Frm 00075 Fmt 4703 Sfmt 4703 clarify, simplify or conform the defined terms, ‘‘TRACE–Eligible Security,’’ ‘‘Reportable TRACE Transaction,’’ ‘‘Agency Debt Security,’’ ‘‘Asset-Backed Security’’ and ‘‘TRACE System Hours’’; to add a defined term, ‘‘Securitizer’’; and, to delete the defined terms ‘‘Sponsor’’ and ‘‘Issuing Entity’’; (2) In FINRA Rule 6730, (A) to revise, renumber and conform the text of parallel reporting provisions in FINRA Rule 6730(a); (B) to incorporate minor amendments regarding the duration and expiration of the pilot program (‘‘Pilot Program’’) for reporting Asset-Backed Securities transactions; (C) to consolidate reporting requirements for Asset-Backed Securities transactions that are executed other than during TRACE System Hours; (D) to simplify how settlement is reported for AssetBacked Securities transactions; (E) to add alternative reporting requirements for Asset-Backed Securities transactions that are collateralized mortgage obligation (‘‘CMO’’) or real estate mortgage investment conduit (‘‘REMIC’’) transactions that occur prior to the issuance of the CMO or REMIC (‘‘preissuance CMOs/REMICs’’); and (F) to incorporate other minor technical, conforming or clarifying amendments to the Rule; (3) In FINRA Rule 6760, to incorporate requirements that apply to Securitizers of Asset-Backed Securities, alternative notification requirements for pre-issuance CMOs/REMICs and minor technical, conforming or clarifying changes; and (4) In FINRA Rule 7730, to add the Financial Information eXchange (‘‘FIX’’) as a method to report transactions to TRACE, establish a system-related FIX fee, and incorporate a minor technical amendment. The text of the proposed rule change is available on FINRA’s Web site at http://www.finra.org, at the principal office of FINRA, on the Commission’s Web site at http://www.sec.gov, and at the Commission’s Public Reference Room. The proposed amendments set forth in Exhibit 5 are shown as changes to the FINRA Rule 6700 Series and FINRA Rule 7730 as amended by SR–FINRA– 2009–065 (‘‘TRACE ABS filing’’), which was approved by the SEC on February 22, 2010.3 The TRACE ABS filing is anticipated to become effective on May 16, 2011.4 The proposed rule change 3 See Securities Exchange Act Release No. 61566 (February 22, 2010), 75 FR 9262 (March 1, 2010) (Order Approving File No. SR–FINRA–2009–065) (‘‘TRACE ABS filing’’) and Regulatory Notice 10–23 (April 2010). 4 See Securities Exchange Act Release No. 63223 (November 1, 2010), 75 FR 68654 (November 8, E:\FR\FM\21MRN1.SGM 21MRN1

Agencies

[Federal Register Volume 76, Number 54 (Monday, March 21, 2011)]
[Notices]
[Page 15352]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: 2011-6706]


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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 a Closed Meeting on Thursday, March 
24, 2011 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 Aguilar, 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 Thursday, 
March 24, 2011 will be:

    Institution and settlement of injunctive actions;
    Institution and settlement of administrative proceedings;
    A regulatory matter regarding a financial institution; 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.

     March 17, 2011.
Elizabeth M. Murphy,
Secretary.
[FR Doc. 2011-6706 Filed 3-17-11; 4:15 pm]
BILLING CODE 8011-01-P