Public Roundtable on Execution, Clearance and Settlement of Microcap Securities, 63680 [2011-26440]

Download as PDF 63680 Federal Register / Vol. 76, No. 198 / Thursday, October 13, 2011 / Notices meeting will begin at 9 a.m. (EDT) and will be open to the public, except for a period of approximately one hour when the Committee will meet in an administrative work session during lunch. The public portions of the meeting will be Web cast on the Commission’s Web site at https:// www.sec.gov. Persons needing special accommodations to take part because of a disability should notify the contact person listed below. The public is invited to submit written statements to the Committee. The agenda for the meeting includes opening remarks, introduction of Committee members, discussion of the Committee’s agenda and organization, and discussion of capital formation issues relevant to small and emerging companies. DATES: Written statements should be received on or before October 25, 2011. ADDRESSES: Written statements may be submitted by any of the following methods: sroberts on DSK5SPTVN1PROD with NOTICES Electronic Statements • Use the Commission’s Internet submission form (https://www.sec.gov/ info/smallbus/acsec.shtml); or • Send an e-mail message to rulecomments@sec.gov. Please include File Number 265–27 on the subject line; or Paper Statements • Send paper statements in triplicate to Elizabeth M. Murphy, Federal Advisory Committee Management Officer, Securities and Exchange Commission, 100 F Street, NE., Washington, DC 20549–9303. All submissions should refer to File No. 265–27. This file number should be included on the subject line if e-mail is used. To help us process and review your statement more efficiently, please use only one method. The Commission will post all statements on the Advisory Committee’s Web site (https:// www.sec.gov./info/smallbus/ acsec.shtml). Statements also will be available for Web site viewing and printing in the Commission’s Public Reference Room, 100 F Street, NE., Room 1580, Washington, DC 20549, on official business days between the hours of 10 a.m. and 3 p.m. All statements received will be posted without change; we do not edit personal identifying information from submissions. You should submit only information that you wish to make available publicly. FOR FURTHER INFORMATION CONTACT: Johanna V. Losert, Special Counsel, at (202) 551–3460, Office of Small Business Policy, Division of Corporation VerDate Mar<15>2010 16:50 Oct 12, 2011 Jkt 226001 Finance, Securities and Exchange Commission, 100 F Street, NE., Washington, DC 20549–3628. SUPPLEMENTARY INFORMATION: In accordance with Section 10(a) of the Federal Advisory Committee Act, 5 U.S.C.–App. 1, § 10(a), and the regulations thereunder, Meredith B. Cross, Designated Federal Officer of the Committee, has ordered publication of this notice. ADDRESSES: Dated: October 7, 2011. Elizabeth M. Murphy, Committee Management Officer. Paper Comments [FR Doc. 2011–26441 Filed 10–12–11; 8:45 am] BILLING CODE 8011–01–P SECURITIES AND EXCHANGE COMMISSION [Release No. 34–65511; File No. 4–639] Public Roundtable on Execution, Clearance and Settlement of Microcap Securities Securities and Exchange Commission. ACTION: Notice of roundtable discussion; request for comment. AGENCY: On Monday, October 17, 2011, commencing at 1 p.m. and ending at 5 p.m., staff of the Securities and Exchange Commission (‘‘SEC’’ or ‘‘Agency’’) will hold a public roundtable meeting at which invited participants will discuss various issues related to the Execution, Clearance and Settlement of Microcap Securities. The roundtable discussion will be held in the multi-purpose room of the Securities and Exchange Commission headquarters at 100 F Street, NE., in Washington, DC on Monday, October 17, 2011, commencing at 1 p.m. and ending at 5 p.m. The public is invited to observe the roundtable discussion. Seating will be available on a first-come, first-served basis. The roundtable discussion also will be available via webcast on the Commission’s Web site at https://www.sec.gov. The roundtable will consist of a series of three panels. Panelists will consider a range of microcap securities topics, such as the current issues facing small cap issuers in the clearance and settlement process, potential regulatory changes impacting the Over-TheCounter markets, and Anti-Money Laundering concerns specific to microcap issuers. DATES: The roundtable discussion will be held on Monday, October 17, 2011. The Commission will accept comments regarding issues addressed at the roundtable until October 31, 2011. SUMMARY: PO 00000 Frm 00081 Fmt 4703 Sfmt 4703 Comments may be submitted by any of the following methods: Electronic Comments • Use the Commission’s Internet comment form (https://www.sec.gov/ rules/other.shtml); or • Send an e-mail to rulecomments@sec.gov. Please include File Number 4–639 on the subject line. • Send paper comments in triplicate to Elizabeth M. Murphy, Secretary, Securities and Exchange Commission, 100 F Street, NE., Washington, DC 20549–1090. All submissions should refer to File Number 4–639. This file number should be included on the subject line if e-mail is used. To help us process and review your comments more efficiently, please use only one method. The Commission will post all comments on the Commission’s Internet Web site (https:// www.sec.gov). Comments are also available for Web site viewing and printing in the Commission’s Public Reference Room, 100 F Street, NE., Washington, DC 20549, on official business days between the hours of 10 a.m. and 3 p.m. All comments received will be posted without change; we do not edit personal identifying information from submissions. You should submit only information that you wish to make available publicly. FOR FURTHER INFORMATION CONTACT: The Microcap Roundtable Hotline at (202) 551–6607, Division of Enforcement, Securities and Exchange Commission, 100 F Street, NE., in Washington, DC 20549–7010. Dated: October 7, 2011. By the Commission. Elizabeth M. Murphy, Secretary. [FR Doc. 2011–26440 Filed 10–12–11; 8:45 am] BILLING CODE 8011–01–P SECURITIES AND EXCHANGE COMMISSION [Release No. 34–65491; File No. SR–CBOE– 2011–093] Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Customer Large Trade Discount October 6, 2011. Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (the E:\FR\FM\13OCN1.SGM 13OCN1

Agencies

[Federal Register Volume 76, Number 198 (Thursday, October 13, 2011)]
[Notices]
[Page 63680]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: 2011-26440]


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SECURITIES AND EXCHANGE COMMISSION

[Release No. 34-65511; File No. 4-639]


Public Roundtable on Execution, Clearance and Settlement of 
Microcap Securities

AGENCY: Securities and Exchange Commission.

ACTION: Notice of roundtable discussion; request for comment.

-----------------------------------------------------------------------

SUMMARY: On Monday, October 17, 2011, commencing at 1 p.m. and ending 
at 5 p.m., staff of the Securities and Exchange Commission (``SEC'' or 
``Agency'') will hold a public roundtable meeting at which invited 
participants will discuss various issues related to the Execution, 
Clearance and Settlement of Microcap Securities.
    The roundtable discussion will be held in the multi-purpose room of 
the Securities and Exchange Commission headquarters at 100 F Street, 
NE., in Washington, DC on Monday, October 17, 2011, commencing at 1 
p.m. and ending at 5 p.m. The public is invited to observe the 
roundtable discussion. Seating will be available on a first-come, 
first-served basis. The roundtable discussion also will be available 
via webcast on the Commission's Web site at https://www.sec.gov.
    The roundtable will consist of a series of three panels. Panelists 
will consider a range of microcap securities topics, such as the 
current issues facing small cap issuers in the clearance and settlement 
process, potential regulatory changes impacting the Over-The-Counter 
markets, and Anti-Money Laundering concerns specific to microcap 
issuers.

DATES: The roundtable discussion will be held on Monday, October 17, 
2011. The Commission will accept comments regarding issues addressed at 
the roundtable until October 31, 2011.

ADDRESSES: Comments may be submitted by any of the following methods:

Electronic Comments

     Use the Commission's Internet comment form (https://www.sec.gov/rules/other.shtml); or
     Send an e-mail to rule-comments@sec.gov. Please include 
File Number 4-639 on the subject line.

Paper Comments

     Send paper comments in triplicate to Elizabeth M. Murphy, 
Secretary, Securities and Exchange Commission, 100 F Street, NE., 
Washington, DC 20549-1090.

All submissions should refer to File Number 4-639. This file number 
should be included on the subject line if e-mail is used. To help us 
process and review your comments more efficiently, please use only one 
method. The Commission will post all comments on the Commission's 
Internet Web site (https://www.sec.gov). Comments are also available for 
Web site viewing and printing in the Commission's Public Reference 
Room, 100 F Street, NE., Washington, DC 20549, on official business 
days between the hours of 10 a.m. and 3 p.m. All comments received will 
be posted without change; we do not edit personal identifying 
information from submissions. You should submit only information that 
you wish to make available publicly.

FOR FURTHER INFORMATION CONTACT: The Microcap Roundtable Hotline at 
(202) 551-6607, Division of Enforcement, Securities and Exchange 
Commission, 100 F Street, NE., in Washington, DC 20549-7010.

    Dated: October 7, 2011.

    By the Commission.
Elizabeth M. Murphy,
Secretary.
[FR Doc. 2011-26440 Filed 10-12-11; 8:45 am]
BILLING CODE 8011-01-P
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