Sunshine Act Meeting, 74835 [2011-31047]

Download as PDF Federal Register / Vol. 76, No. 231 / Thursday, December 1, 2011 / Notices emcdonald on DSK5VPTVN1PROD with NOTICES Chapter 35), agencies are required to publish a Notice in the Federal Register notifying the public that the agency has prepared an information collection for OMB review and approval and has requested public review and comment on the submission. Comments are being solicited on the need for the information; the accuracy of the Agency’s burden estimate; the quality, practical utility, and clarity of the information to be collected; and ways to minimize reporting the burden, including automated collected techniques and uses of other forms of technology. DATES: Comments must be received within 60 calendar-days of publication of this Notice. ADDRESSES: Copies of the subject form may be obtained from the Agency Submitting Officer. FOR FURTHER INFORMATION CONTACT: OPIC Agency Submitting Officer: Essie Bryant, Record Manager, Overseas Private Investment Corporation, 1100 New York Avenue NW., Washington, DC 20527; (202) 336–8563. OVERSEAS PRIVATE INVESTMENT CORPORATION Summary Form Under Review Type of Request: New form. Title: Office of Investment Policy Questionnaire Form Number: OPIC 248. Frequency of Use: Once per investor per project. Type of Respondents: Business or other institution (except farms); individuals. Standard Industrial Classification Codes: All. Description of Affected Public: U.S. companies or citizens investing overseas. Reporting Hours: 552 (2.4 hours per project). Number of Responses: 230 per year. Federal Cost: $23,187. Authority for Information Collection: Sections 231, 234(a), 239(d), and 240A of the Foreign Assistance Act of 1961, as amended. Abstract (Needs and Uses): The Office of Investment Policy Questionnaire is the principal document used by OPIC to prepare a developmental impact profile and determine the projected impact on the United States, as well as to determine the project’s compliance with environmental and labor policies, as consistent with OPIC’s authorizing legislation. BILLING CODE 3210–01–M Dated: November 22, 2011. Nichole Cadiente, Administrative Counsel, Administrative Affairs, Department of Legal Affairs. [FR Doc. 2011–30882 Filed 11–30–11; 8:45 am] BILLING CODE M VerDate Mar<15>2010 17:34 Nov 30, 2011 Jkt 226001 Sunshine Act; Public Hearing Cancellation Notice; November 30, 2011 OPIC’s Sunshine Act notice of its Public Hearing in Conjunction with each Board meeting was published in the Federal Register (Volume 76, Number 219, Page 70510) on November 14, 2011. No requests were received to provide testimony or submit written statements for the record; therefore, OPIC’s public hearing scheduled for 2 p.m., November 30, 2011 in conjunction with OPIC’s December 8, 2011 Board of Directors meeting has been cancelled. CONTACT PERSON FOR INFORMATION: Information on the hearing cancellation may be obtained from Connie M. Downs at (202) 336–8438, or via email at Connie.Downs@opic.gov. Dated: November 29, 2011. Connie M. Downs, OPIC Corporate Secretary. 74835 Among the issues likely to be argued are (1) Whether Glantz engaged in violations of the securities laws; (2) whether Urban was a supervisor of Glantz under applicable law; (3) if so, whether Urban failed to exercise that supervision reasonably; and (4) if so, whether and to what extent sanctions should be imposed. For further information, please contact the Office of the Secretary at (202) 551–5400. Dated: November 29, 2011. Elizabeth M. Murphy, Secretary. [FR Doc. 2011–31047 Filed 11–29–11; 4:15 pm] BILLING CODE 8011–01–P SECURITIES AND EXCHANGE COMMISSION [Release No. 34–65828; File No. SR–CBOE– 2011–110] SECURITIES AND EXCHANGE COMMISSION Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Clarify the Limited Extension to the Compliance Deadline for Registration and Qualification Pursuant to Rule 3.6A Sunshine Act Meeting November 25, 2011. [FR Doc. 2011–31016 Filed 11–29–11; 4:15 pm] 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 December 6, 2011 at 10 a.m., in the Auditorium, Room L–002, to hear oral argument in an administrative proceeding regarding Theodore W. Urban, formerly general counsel, head of compliance, and member of the Board of Directors of Ferris, Baker Watts, Inc. (‘‘FBW,’’ now operating under the name RBC Wealth Management), a registered broker-dealer and investment adviser. Urban and the Division of Enforcement filed cross-appeals from the decision of an administrative law judge. The law judge found that Stephen Glantz, an FBW registered representative, engaged in various securities law violations while employed by FBW. She further found that Glantz was subject to Urban’s supervision within the meaning of Section 15(b) of the Securities Exchange Act of 1934 and Section 203(f) of the Investment Advisers Act of 1940; however, the law judge dismissed the proceeding against Urban because she concluded that Urban did not fail to exercise that supervision reasonably. PO 00000 Frm 00065 Fmt 4703 Sfmt 4703 Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934,1 notice is hereby given that on November 16, 2011, the Chicago Board Options Exchange, Incorporated (‘‘CBOE’’ or the ‘‘Exchange’’) filed with the Securities and Exchange Commission (‘‘Commission’’) the proposed rule change as described in Items I, II and III below, which Items have been prepared by CBOE. The Exchange has designated the proposed rule change as constituting a stated policy, practice, or interpretation with respect to the meaning, administration, or enforcement of an existing rule pursuant to Section 19(b)(3)(A)(i) of the Act 2 and Rule 19b–4(f)(1) thereunder,3 which renders the proposal effective upon filing with the Commission. 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 Pursuant to the provisions of Section 19(b)(1) of the Securities Exchange Act 1 15 U.S.C. 78s(b)(1). U.S.C. 78s(b)(3)(A)(i). 3 17 CFR 240.19b–4(f)(1). 2 15 E:\FR\FM\01DEN1.SGM 01DEN1

Agencies

[Federal Register Volume 76, Number 231 (Thursday, December 1, 2011)]
[Notices]
[Page 74835]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: 2011-31047]


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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 December 6, 2011 
at 10 a.m., in the Auditorium, Room L-002, to hear oral argument in an 
administrative proceeding regarding Theodore W. Urban, formerly general 
counsel, head of compliance, and member of the Board of Directors of 
Ferris, Baker Watts, Inc. (``FBW,'' now operating under the name RBC 
Wealth Management), a registered broker-dealer and investment adviser.
    Urban and the Division of Enforcement filed cross-appeals from the 
decision of an administrative law judge. The law judge found that 
Stephen Glantz, an FBW registered representative, engaged in various 
securities law violations while employed by FBW. She further found that 
Glantz was subject to Urban's supervision within the meaning of Section 
15(b) of the Securities Exchange Act of 1934 and Section 203(f) of the 
Investment Advisers Act of 1940; however, the law judge dismissed the 
proceeding against Urban because she concluded that Urban did not fail 
to exercise that supervision reasonably.
    Among the issues likely to be argued are (1) Whether Glantz engaged 
in violations of the securities laws; (2) whether Urban was a 
supervisor of Glantz under applicable law; (3) if so, whether Urban 
failed to exercise that supervision reasonably; and (4) if so, whether 
and to what extent sanctions should be imposed.
    For further information, please contact the Office of the Secretary 
at (202) 551-5400.

    Dated: November 29, 2011.
Elizabeth M. Murphy,
Secretary.
[FR Doc. 2011-31047 Filed 11-29-11; 4:15 pm]
BILLING CODE 8011-01-P