Sunshine Act Meeting, 57772 [2011-23918]

Download as PDF mstockstill on DSK4VPTVN1PROD with NOTICES 57772 Federal Register / Vol. 76, No. 180 / Friday, September 16, 2011 / Notices and Exchange Commission (‘‘Commission’’) is soliciting comments on the existing collection of information provided for in Rule 17f-2(d) under the Securities Exchange Act of 1934 (15 U.S.C. 78a et seq.) (‘‘Act’’). The Commission plans to submit this existing collection of information to the Office of Management and Budget for extension and approval. Rule 17f–2(d) requires that records produced pursuant to the fingerprinting requirements of Section 17(f)(2) of the Act be maintained; permits the designated examining authorities of broker-dealers or members of exchanges, under certain circumstances, to store and maintain records required to be kept by this rule; and permits the required records to be maintained on microfilm. The general purpose for Rule 17f–2 is to: (i) Identify security risk personnel; (ii) provide criminal record information so that employers can make fully informed employment decisions; and (iii) deter persons with criminal records from seeking employment or association with covered entities. The rule enables the Commission or other examining authority to ascertain whether all required persons are being fingerprinted and whether proper procedures regarding fingerprint are being followed. Retention of these records for the term of employment of all personnel plus three years ensures that law enforcement officials will have easy access to fingerprint cards on a timely basis. This in turn acts as an effective deterrent to employee misconduct. Approximately 5,300 respondents are subject to the recordkeeping requirements of the rule. Each respondent keeps approximately 60 new records per year, which takes approximately 2 minutes per record for the respondent to maintain, for an annual burden of approximately 2 hours (60 records times 2 minutes) per respondent or a total annual burden of approximately 10,300 hours (5,300 respondents times 2 hours) for all respondents. All records subject to the rule must be retained for the term of employment plus 3 years. In addition, we estimate the total cost to respondents is approximately $119,000. ($53,000 in estimate third party storage costs plus $66,000 in capital and start up costs). The Commission may not conduct or sponsor a collection of information unless it displays a currently valid control number. No person shall be subject to any penalty for failing to comply with a collection of information subject to the PRA that does not display a valid Office of Management and Budget (OMB) control number. VerDate Mar<15>2010 16:26 Sep 15, 2011 Jkt 223001 Background documentation for this information collection may be viewed at the following link, http:// www.reginfo.gov. Comments should be directed to: (i) Desk Officer for the Securities and Exchange Commission, Office of Information and Regulatory Affairs, Office of Management and Budget, Room 10102, New Executive Office Building, Washington, DC 20503, or by sending an e-mail to: Shagufta_Ahmed@omb.eop.gov; and (ii) Thomas Bayer, Director/Chief Information Officer, Securities and Exchange Commission, c/o Remi PavlikSimon, 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: September 13, 2011. Elizabeth M. Murphy, Secretary. Dated: September 12, 2011. Elizabeth M. Murphy, Secretary. September 12, 2011 [FR Doc. 2011–23726 Filed 9–15–11; 8:45 am] BILLING CODE 8011–01–P 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 September 19, 2011 at 10 a.m., in the Auditorium, Room L–002. The subject matters of the Open Meeting will be: Item 1: The Commission will consider whether to propose a new rule under Section 621 of the Dodd-Frank Wall Street Reform and Consumer Protection Act, Public Law 111–203, to implement the prohibition under Section 621 regarding material conflicts of interest relating to certain securitizations. Item 2: The Commission will consider whether to propose new rules under Section 764(a) of the Dodd-Frank Wall Street Reform and Consumer Protection Act to provide for the registration of security-based swap dealers and major security-based swap participants. Commissioner Paredes, 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. PO 00000 Frm 00061 Fmt 4703 Sfmt 4703 [FR Doc. 2011–23918 Filed 9–14–11; 11:15 am] BILLING CODE 8011–01–P SECURITIES AND EXCHANGE COMMISSION [Release No. 34–65315; File No. SR–EDGX– 2011–28] Self-Regulatory Organizations; EDGX Exchange, Inc.; Notice of Filing of Proposed Rule Change Relating To Amendments to EDGX Rules Regarding the Registration and Obligations of Market Makers Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (the ‘‘Act’’),1 and Rule 19b–4 thereunder,2 notice is hereby given that on August 30, 2011, EDGX Exchange, Inc. (the ‘‘Exchange’’ or ‘‘EDGX’’) filed with the Securities and Exchange Commission (‘‘Commission’’) the proposed rule change as described in Items I and II below, which items have been prepared by the Exchange. 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 amend Chapter XI of the EDGX rulebook to add four new rules regarding the registration and obligations of market makers and amend Rule 1.5 to add definitions of ‘‘Market Maker’’ and ‘‘Market Maker Authorized Trader.’’ The Exchange also proposes to amend Rule 8.15, Interpretation .01 to expand the list of violations eligible for disposition under the Exchange’s Minor Rule Violation Plan (‘‘MRVP’’) by adding Rule 11.21(a)(1). The Exchange also proposes to amend EDGX Rule 14.1, entitled ‘‘Unlisted Trading Privileges,’’ to restrict trading activities of market makers, and impose a series of reporting and recordkeeping requirements on market makers. The text of the proposed rule change is available on the Exchange’s Web site at http://www.directedge.com, at the Exchange’s principal office, and at the Public Reference Room of the Commission. 1 15 2 17 E:\FR\FM\16SEN1.SGM U.S.C. 78s(b)(1). CFR 240.19b–4. 16SEN1

Agencies

[Federal Register Volume 76, Number 180 (Friday, September 16, 2011)]
[Notices]
[Page 57772]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: 2011-23918]


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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 September 19, 2011 
at 10 a.m., in the Auditorium, Room L-002.
    The subject matters of the Open Meeting will be:
    Item 1: The Commission will consider whether to propose a new rule 
under Section 621 of the Dodd-Frank Wall Street Reform and Consumer 
Protection Act, Public Law 111-203, to implement the prohibition under 
Section 621 regarding material conflicts of interest relating to 
certain securitizations.
    Item 2: The Commission will consider whether to propose new rules 
under Section 764(a) of the Dodd-Frank Wall Street Reform and Consumer 
Protection Act to provide for the registration of security-based swap 
dealers and major security-based swap participants.
    Commissioner Paredes, 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: September 13, 2011.
Elizabeth M. Murphy,
Secretary.
[FR Doc. 2011-23918 Filed 9-14-11; 11:15 am]
BILLING CODE 8011-01-P