Dodd-Frank Investor Advisory Committee, 20156 [2013-07718]

Download as PDF 20156 Federal Register / Vol. 78, No. 64 / Wednesday, April 3, 2013 / Notices SECURITIES AND EXCHANGE COMMISSION [Release Nos. 33–9397; 34–69257, File No. 265–28] Dodd-Frank Investor Advisory Committee Securities and Exchange Commission. ACTION: Notice of Meeting of Securities and Exchange Commission Dodd-Frank Investor Advisory Committee. AGENCY: The Securities and Exchange Commission Investor Advisory Committee, established pursuant to Section 911 of the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010, is providing notice that it will hold a public meeting on Thursday, April 11, 2013, in Multi-Purpose Room LL–006 at the Commission’s headquarters, 100 F Street NE, Washington, DC 20549. The meeting will begin at 10:00 a.m. (EDT) and end at 4:00 p.m. and will be open to the public, except during portions of the meeting reserved for meetings of the Committee’s subcommittees. The meeting will be webcast on the Commission’s Web site at 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: (i) Approval of minutes; (ii) consideration of a recommendation of the Investor as Purchaser subcommittee regarding target date funds; (iii) subcommittee meetings; and (iv) subcommittee updates. SUMMARY: Written statements should be received on or before April 11, 2013. ADDRESSES: Written statements may be submitted by any of the following methods: DATES: Electronic Statements ∑ Use the Commission’s Internet submission form (https://www.sec.gov/ rules/other.shtml); or ∑ Send an email message to rulescomments@sec.gov. Please include File No. 265–28 on the subject line; or mstockstill on DSK4VPTVN1PROD with NOTICES Paper Statements ∑ Send paper statements in triplicate to Elizabeth M. Murphy, Secretary, Securities and Exchange Commission, Stop 1090, 100 F Street NE., Washington, DC 20549–1090. All submissions should refer to File No. 265–28. This file number should be included on the subject line if email is VerDate Mar<15>2010 17:13 Apr 02, 2013 Jkt 229001 used. To help us process and review your statement more efficiently, please use only one method. 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 10:00 a.m. and 3:00 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: M. Owen Donley, Chief Counsel, at (202) 551–6322, Office of Investor Education and Advocacy, Securities and Exchange Commission, 100 F Street NE., Washington, DC 20549. Dated: March 29, 2013. Kevin O’Neill, Deputy Secretary. [FR Doc. 2013–07718 Filed 4–2–13; 8:45 am] BILLING CODE 8011–01–P SECURITIES AND EXCHANGE COMMISSION [Release No. 34–69249; File No. SR–MSRB– 2013–01] Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Order Granting Approval of a Proposed Rule Change Relating to Amendments to MSRB Rules G–37 and G–8 and Form G–37 March 28, 2013. I. Introduction On February 4, 2013, the Municipal Securities Rulemaking Board (‘‘MSRB’’) filed with the Securities and Exchange Commission (‘‘Commission’’), pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (‘‘Act’’) 1 and Rule 19b–4 thereunder,2 a proposed rule change consisting of amendments to MSRB Rules G–37, on political contributions and prohibitions on municipal securities business, and G–8, on books and records, and Form G–37. The proposed rule change was published for comment in the Federal Register on February 14, 2013.3 The Commission received four comment letters on the proposal.4 The MSRB 1 15 U.S.C. 78s(b)(1). CFR 240.19b–4. 3 Securities Exchange Act Release No. 68872 (February 8, 2013), 78 FR 10656 (‘‘Notice’’). 4 See Letters to Elizabeth M. Murphy, Secretary, Commission, from Robert W. Doty, President, AGFS and Senior Advisor, Government Financial Strategies, Inc., dated February 20, 2013 (‘‘AGFS 2 17 PO 00000 Frm 00070 Fmt 4703 Sfmt 4703 submitted a response on March 26, 2013.5 This order approves the proposed rule change. II. Description of the Proposed Rule Change MSRB Rule G–37 requires dealers to disclose on Form G–37 certain contributions to issuer officials, contributions to bond ballot campaigns, and payments to political parties of states and political subdivisions, made by brokers, dealers and municipal securities dealers (‘‘dealers’’), their municipal finance professionals (‘‘MFPs’’), political action committees controlled by the dealer or their MFPs or non-MFP executive officers (collectively, ‘‘covered parties’’). Further, MSRB Rule G–37 prohibits dealers from engaging in municipal securities business with an issuer within two years after contributions are made by certain covered parties (other than certain permitted de minimis contributions) to an official of such issuer. The rule’s prohibition on engaging in municipal securities business, however, is currently not triggered by contributions made to bond ballot campaigns by covered parties. MSRB Rule G–37 also requires dealers to maintain records of reportable contributions to bond ballot campaigns pursuant to MSRB Rule G–8. The MSRB proposes to revise MSRB Rule G–37(e)(i)(B)(2) to provide that, in disclosing the contribution amount made to a bond ballot campaign, the dealer also must include, in the case of in-kind contributions, the value and nature of the goods or services provided, including any ancillary services provided to, on behalf of, or in furtherance of, the bond ballot campaign. The proposed rule change also requires dealers to disclose the specific date on which such contributions to bond ballot campaigns were made. The MSRB also proposes to revise MSRB Rule G–37(e)(i)(B) to require dealers to disclose the full issuer name and full issue description of any primary offering resulting from voter approval of a bond ballot measure to Letter’’) and Jeanine Rodgers Caruso, President, National Association of Independent Public Finance Advisors, dated March 12, 2013 (‘‘NAIPFA Letter’’). See also, Letters to Ronald W. Smith, Corporate Secretary, MSRB, from Ellen S. Miller, Co-Founder and Executive Director, The Sunlight Foundation, dated March 5, 2013 (‘‘Sunlight Letter’’) and Kamala Harris, Attorney General, Department of Justice, from Bill Lockyer, Treasurer, State of California, dated March 18, 2013 (‘‘AG Letter’’). 5 See Letter to Elizabeth M. Murphy, Secretary, Commission, from Gary L. Goldsholle, General Counsel, MSRB, dated March 26, 2013. E:\FR\FM\03APN1.SGM 03APN1

Agencies

[Federal Register Volume 78, Number 64 (Wednesday, April 3, 2013)]
[Notices]
[Page 20156]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: 2013-07718]



[[Page 20156]]

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SECURITIES AND EXCHANGE COMMISSION

[Release Nos. 33-9397; 34-69257, File No. 265-28]


Dodd-Frank Investor Advisory Committee

AGENCY: Securities and Exchange Commission.

ACTION: Notice of Meeting of Securities and Exchange Commission Dodd-
Frank Investor Advisory Committee.

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

SUMMARY: The Securities and Exchange Commission Investor Advisory 
Committee, established pursuant to Section 911 of the Dodd-Frank Wall 
Street Reform and Consumer Protection Act of 2010, is providing notice 
that it will hold a public meeting on Thursday, April 11, 2013, in 
Multi-Purpose Room LL-006 at the Commission's headquarters, 100 F 
Street NE, Washington, DC 20549. The meeting will begin at 10:00 a.m. 
(EDT) and end at 4:00 p.m. and will be open to the public, except 
during portions of the meeting reserved for meetings of the Committee's 
subcommittees. The meeting will be webcast on the Commission's Web site 
at 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: (i) Approval of minutes; (ii) 
consideration of a recommendation of the Investor as Purchaser 
subcommittee regarding target date funds; (iii) subcommittee meetings; 
and (iv) subcommittee updates.

DATES: Written statements should be received on or before April 11, 
2013.

ADDRESSES: Written statements may be submitted by any of the following 
methods:

Electronic Statements

     Use the Commission's Internet submission form (https://www.sec.gov/rules/other.shtml); or
     Send an email message to rules-comments@sec.gov. Please 
include File No. 265-28 on the subject line; or

Paper Statements

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

All submissions should refer to File No. 265-28. This file number 
should be included on the subject line if email is used. To help us 
process and review your statement more efficiently, please use only one 
method.
    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 
10:00 a.m. and 3:00 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: M. Owen Donley, Chief Counsel, at 
(202) 551-6322, Office of Investor Education and Advocacy, Securities 
and Exchange Commission, 100 F Street NE., Washington, DC 20549.

    Dated: March 29, 2013.
Kevin O'Neill,
Deputy Secretary.
[FR Doc. 2013-07718 Filed 4-2-13; 8:45 am]
BILLING CODE 8011-01-P
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