Sunshine Act Meeting, 15352 [2011-6706]
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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
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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
https://www.finra.org, at the principal
office of FINRA, on the Commission’s
Web site at https://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,
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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
