Sunshine Act Meeting, 67233-67234 [2011-28210]

Download as PDF Federal Register / Vol. 76, No. 210 / Monday, October 31, 2011 / Notices Pike, Rockville, MD. After registering with security, please contact Mr. Theron Brown (Telephone (240) 888–9835) to be escorted to the meeting room. U.S. Office of Personnel Management. Dated: October 25, 2011. Yoira Diaz-Sanabria, Technical Assistant, Reactor Safety Branch, Advisory Committee on Reactor Safeguards. BILLING CODE 6325–46–P John Berry, Director. [FR Doc. 2011–28165 Filed 10–28–11; 8:45 am] [FR Doc. 2011–28071 Filed 10–28–11; 8:45 am] SECURITIES AND EXCHANGE COMMISSION BILLING CODE 7590–01–P Sunshine Act Meeting OFFICE OF PERSONNEL MANAGEMENT Hispanic Council on Federal Employment Office of Personnel Management. AGENCY: ACTION: Scheduling of Council Meeting. The Hispanic Council on Federal Employment will hold its fourth meeting on Friday, November 18, 2011, at the time and location shown below. The Council is an advisory committee composed of representatives from Hispanic organizations and senior government officials. Along with its other responsibilities, the Council shall advise the Director of the Office of Personnel Management on matters involving the recruitment, hiring, and advancement of Hispanics in the Federal workforce. The Council is cochaired by the Chief of Staff of the Office of Personnel Management and the Assistant Secretary for Human Resources and Administration at the Department of Veterans Affairs. The meeting is open to the public. Please contact the Office of Personnel Management at the address shown below if you wish to present material to the Council at the meeting. The manner and time prescribed for presentations may be limited, depending upon the number of parties that express interest in presenting information. SUMMARY: November 18th, 2011 from 10 a.m.–1 p.m. Location: U.S. Office of Personnel Management, the Pendleton, Theodore Roosevelt Building, 1900 E St., NW., Washington, DC 20415. DATES: jlentini on DSK4TPTVN1PROD with NOTICES FOR FURTHER INFORMATION CONTACT: Veronica E. Villalobos, Director for the Office of Diversity and Inclusion, Office of Personnel Management, 1900 E St., NW., Suite 5H35, Washington, DC 20415. Phone (202) 606–2984 FAX (202) 606–2183 or email at Edgar.Gonzalez@opm.gov. VerDate Mar<15>2010 17:21 Oct 28, 2011 Jkt 226001 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 staff will hold the inaugural roundtable discussion of the Financial Reporting Series on Tuesday, November 8, 2011, in the Multipurpose Room, L–006. The meeting will begin at 10 a.m. and will be open to the public. Seating will be on a first-come, firstserved basis. Doors will open at 9:30 a.m. Visitors will be subject to security checks. The roundtable will be webcast on the Commission’s Web site at https:// www.sec.gov and will be archived for later viewing. On October 20, 2011, the Commission published notice of the roundtable discussion (Release No. 34–65602), indicating that the event is open to the public and inviting the public to submit written comments to the Commission staff. This Sunshine Act notice is being issued because a majority of the Commission may attend the roundtable discussion. The agenda for the roundtable includes opening remarks followed by panel discussions focusing on the recognition and communication of uncertainty in financial statements. For further information, please contact the Office of the Secretary at (202) 551–5400. Dated: October 27, 2011. Elizabeth M. Murphy, Secretary. [FR Doc. 2011–28312 Filed 10–27–11; 4:15 pm] 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 a Closed Meeting on Thursday, November 3, 2011 at 2 p.m. Commissioners, Counsel to the Commissioners, the Secretary to the Commission, and recording secretaries PO 00000 Frm 00106 Fmt 4703 Sfmt 4703 67233 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), 9(B) and (10) and 17 CFR 200.402(a)(3), (5), (7), 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, November 3, 2011 will be: Institution and settlement of injunctive actions; Institution and settlement of administrative proceedings; Other matters relating to enforcement proceedings; and A post argument discussion. 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: October 27, 2011. Elizabeth M. Murphy, Secretary. [FR Doc. 2011–28294 Filed 10–27–11; 4:15 pm] 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 November 2, 2011 at 9 a.m., in the Auditorium, Room L–002, to hear oral argument in an appeal by Wendy McNeeley, CPA, from an initial decision of an administrative law judge. The law judge found that McNeeley engaged in improper professional conduct as defined in the Commission’s Rule of Practice 102(e) by engaging in highly unreasonable conduct that resulted in a violation of applicable professional standards in circumstances in which McNeeley knew, or should have known, that heightened scrutiny was warranted. The law judge determined that McNeeley should be denied the privilege of appearing or E:\FR\FM\31OCN1.SGM 31OCN1 67234 Federal Register / Vol. 76, No. 210 / Monday, October 31, 2011 / Notices practicing as an accountant before the Commission for one year. Issues likely to be considered at oral argument include whether McNeeley engaged in improper professional conduct as defined in the Commission’s Rule of Practice 102(e) and, if so, the extent to which, under the circumstances, sanctions are warranted. For further information, please contact the Office of the Secretary at (202) 551–5400. Dated: October 26, 2011. Elizabeth M. Murphy, Secretary. [FR Doc. 2011–28210 Filed 10–27–11; 11:15 am] BILLING CODE 8011–01–P SECURITIES AND EXCHANGE COMMISSION [Release No. 34–65617; File No. SR– NASDAQ–2011–145] * Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify the Description of the Nasdaq Daily Share Volume Service October 25, 2011. Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (‘‘Act’’),1 and Rule 19b–4 2 thereunder, notice is hereby given that on October 13, 2011, The NASDAQ Stock Market LLC (the ‘‘Exchange’’ or ‘‘Nasdaq’’) 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 the Exchange. The Commission is publishing this notice to solicit comments on the proposed rule change from interested persons. jlentini on DSK4TPTVN1PROD with NOTICES I. Self-Regulatory Organization’s Statement of the Terms of the Substance of the Proposed Rule Change The Exchange is filing this proposed rule change to modify the description of the Nasdaq Daily Volume Share Service in Nasdaq Rule 7040, as well as to remove the word ‘‘Daily’’ from the name of the service. The text of the proposed rule change is below. Proposed deletions are in [brackets]. Proposed new language is in italics.3 * * * * * 1 15 U.S.C. 78s(b)(1). CFR 240.19b–4. 3 Changes are marked to the rules of The NASDAQ Stock Market LLC found at https:// nasdaq.cchwallstreet.com. 2 17 VerDate Mar<15>2010 17:21 Oct 28, 2011 Jkt 226001 7040. Nasdaq [Daily] Share Volume Service (a) The Nasdaq [Daily] Share Volume Service [shall allow participating subscribers to view volume reports on a T + 1 basis] is a historical data product that provides aggregated share volume information at the market participant and issue level for all Nasdaq- and non-Nasdaq-listed securities in the Nasdaq Market Center. The Nasdaq Share Volume Service is comprised of two different reports: (1) Daily Share Volume Report—providing aggregated share volume information on a daily basis. The daily report is available to subscribers the following calendar day for the prior trading day’s data. (2) Monthly Share Volume Report— providing aggregated share volume information on a monthly basis. The monthly report is available to subscribers on the fifth calendar day of every month for the prior month’s data. [1] (b) Access to the underlying data for redistribution shall be available for a fee of $2,500/month. * * * * II. Self-Regulatory Organization’s Statement of the Purpose of, and Statutory Basis for, the Proposed Rule Change In its filing with the Commission, the Exchange included statements concerning the purpose of and basis for the proposed rule change and discussed any comments it received on the proposed rule change. The text of these statements may be examined at the places specified in Item IV below. The Exchange has prepared summaries, set forth in Sections A, B, and C below, of the most significant aspects of such statements. A. Self-Regulatory Organization’s Statement of the Purpose of, and Statutory Basis for, the Proposed Rule Change 1. Purpose This proposal pertains to the Nasdaq Daily Share Volume Service (the ‘‘Service’’), which makes information available via a Web-based data product and provides daily traded share volume by issue for participating market participants (the ‘‘Daily Share Volume Report’’). Specifically, the Service is a historical data product that summarizes the aggregated share volume in the Nasdaq Market Center at the market participant and issue level for all Nasdaq- and non-Nasdaq-listed securities. Thus, the product allows subscribers to determine the share volumes of a particular market participant in a particular stock. Prior to the establishment of the Service and the Daily Share Volume Report in a 2007 filing (the ‘‘Initial PO 00000 Frm 00107 Fmt 4703 Sfmt 4703 Filing’’),4 the monthly share volume report (the ‘‘Monthly Share Volume Report’’) was provided free of charge to anyone with internet access via NASDAQtrader.com.5 In the Initial Filing, the free-of-charge monthly product was discussed as a part of the basis for the Service. The Initial Filing specifically noted that Nasdaq had received numerous requests for a daily product comparable to the existing monthly product. As a result, the Service included both the Daily Share Volume Report and the Monthly Share Volume Report. Subsequently, Nasdaq began providing the monthly product solely to subscribers of the Service. The fee for the Service, comprised of both the Daily Share Volume Report and the Monthly Share Volume Report, is $2,500 per month. The monthly and daily reports have since become widely used in the data product customer community. Nasdaq proposes to modify the description of the Service in Nasdaq Rule 7040(a) to reflect the fact that subscribers of the daily version of the Service also receive the Monthly Share Volume Report in consideration for the $2,500 per month fee that they pay. The proposal would also remove the word ‘‘Daily’’ from the name of the Service to lessen confusion concerning the share volume information provided. Thus, the rule change will make it clear that the Service is comprised of the Daily Share Volume Report and the Monthly Share Volume Report. The Daily Share Volume Report summarizes the aggregated share volume in the Nasdaq Market Center at the market participant and issue level for all Nasdaq- and non-Nasdaq-listed securities. All Nasdaq market participants are given the option to determine whether they wish to have their trading volumes included in the data provided to subscribers to the Service. In the case of the daily product, market participants are excluded unless they specifically opt to have their data included. This provides flexibility to market participants as to what information they would like to include in the report. Thus, while some market participants wish to include their data in the product in order to advertise their level of market activity, others decide 4 See Securities Exchange Act Release No. 55444 (March 12, 2007), 72 FR 12648 (March 16, 2007) (SR–NASDAQ–2007–006). 5 At that time, Nasdaq, as well as other exchanges, had concluded that the Act did not require exchanges to submit proposed rule changes when making data available free of charge. Commission staff has since advised Nasdaq to submit proposed rule changes in circumstances where information about quotations or transactions is provided free of charge. E:\FR\FM\31OCN1.SGM 31OCN1

Agencies

[Federal Register Volume 76, Number 210 (Monday, October 31, 2011)]
[Notices]
[Pages 67233-67234]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: 2011-28210]


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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 November 2, 2011 
at 9 a.m., in the Auditorium, Room L-002, to hear oral argument in an 
appeal by Wendy McNeeley, CPA, from an initial decision of an 
administrative law judge.
    The law judge found that McNeeley engaged in improper professional 
conduct as defined in the Commission's Rule of Practice 102(e) by 
engaging in highly unreasonable conduct that resulted in a violation of 
applicable professional standards in circumstances in which McNeeley 
knew, or should have known, that heightened scrutiny was warranted. The 
law judge determined that McNeeley should be denied the privilege of 
appearing or

[[Page 67234]]

practicing as an accountant before the Commission for one year.
    Issues likely to be considered at oral argument include whether 
McNeeley engaged in improper professional conduct as defined in the 
Commission's Rule of Practice 102(e) and, if so, the extent to which, 
under the circumstances, sanctions are warranted.
    For further information, please contact the Office of the Secretary 
at (202) 551-5400.

    Dated: October 26, 2011.
Elizabeth M. Murphy,
Secretary.
[FR Doc. 2011-28210 Filed 10-27-11; 11:15 am]
BILLING CODE 8011-01-P
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