Sunshine Act Meetings, 54502 [2013-21506]

Download as PDF 54502 Federal Register / Vol. 78, No. 171 / Wednesday, September 4, 2013 / Notices dose would not result in any adverse health effects to the patient. Cause(s)—The medical event was caused by human error coupled with a new communication process, in which written directives were not directly communicated to the Nuclear Medicine Department. Actions Taken To Prevent Recurrence Licensee—The licensee restored its previous written directive communication policy, which required the communication of written directives directly from the AU to the Nuclear Medicine Department and required written directives for iodine-131 on a specific therapy form. State—The Mississippi Division of Radiological Health conducted an investigation on September 19, 2012, and cited the licensee with a violation for its failure to follow written directive procedures. The investigation revealed this violation was an isolated incident during a two-month period where the change in written directive communication policy took place. Dated at Rockville, Maryland, this 28th day of August, 2013. For the Nuclear Regulatory Commission. Annette Vietti-Cook, Secretary of the Commission. [FR Doc. 2013–21477 Filed 9–3–13; 8:45 am] BILLING CODE 7590–01–P POSTAL REGULATORY COMMISSION Sunshine Act Meetings 4. Report from the Office of Accountability and Compliance. 5. Report from the Office of the Secretary and Administration. 6. Report on the Public Representative program pursuant to 39 U.S.C. 505. PORTION CLOSED TO THE PUBLIC: 7. Discussion of pending litigation. CONTACT PERSON FOR MORE INFORMATION: Stephen L. Sharfman, General Counsel, Postal Regulatory Commission, 901 New York Avenue NW., Suite 200, Washington, DC 20268–0001, at 202– 789–6820 (for agenda-related inquiries) and Shoshana M. Grove, Secretary of the Commission, at 202–789–6800 or shoshana.grove@prc.gov (for inquiries related to meeting location, access for handicapped or disabled persons, the audiocast, or similar matters). By direction of the Commission. Ruth Ann Abrams, Acting Secretary. [FR Doc. 2013–21506 Filed 8–30–13; 11:15 am] BILLING CODE 7710–FW–P SECURITIES AND EXCHANGE COMMISSION [Release No. 34–70276; File No. SR–FINRA– 2013–036] Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of a Proposed Rule Change Relating to Wash Sale Transactions and FINRA Rule 5210 (Publication of Transactions and Quotations) August 28, 2013. Wednesday, September 11, 2013, at 11 a.m. PLACE: Commission Hearing Room, 901 New York Avenue NW., Suite 200, Washington, DC 20268–0001. STATUS: Part of this meeting will be open to the public. The rest of the meeting will be closed to the public. The open session will be audiocast. The audiocast may be accessed via the Commission’s Web site at https:// www.prc.gov. A period for public comment will be offered following consideration of the last numbered item in the open session. MATTERS TO BE CONSIDERED: The agenda for the Commission’s September 11, 2013 meeting includes the items identified below. PORTIONS OPEN TO THE PUBLIC: 1. Report on legislative activities. 2. Report on handling of ate and service inquiries from the public. 3. Report from the Office of General Counsel on the status of Commission dockets. tkelley on DSK3SPTVN1PROD with NOTICES TIME AND DATE: VerDate Mar<15>2010 16:51 Sep 03, 2013 Jkt 229001 Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (‘‘Act’’) 1 and Rule 19b–4 thereunder,2 notice is hereby given that on August 15, 2013, Financial Industry Regulatory Authority, Inc. (‘‘FINRA’’) filed with the Securities and Exchange Commission (‘‘SEC’’ or ‘‘Commission’’) the proposed rule change as described in Items I and II below, which Items have been prepared by FINRA. 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 FINRA is proposing to add Supplementary Material .02 to FINRA Rule 5210 (Publication of Transactions and Quotations) to emphasize that wash sale transactions are generally non-bona fide transactions and that members have 1 15 2 17 PO 00000 U.S.C. 78s(b)(1). CFR 240.19b–4. Frm 00059 Fmt 4703 Sfmt 4703 an obligation to have policies and procedures in place to review their trading activity for, and prevent, wash sale transactions. Below is the text of the proposed rule change. Proposed new language is in italics; proposed deletions are in brackets. * * * * * 5000. SECURITIES OFFERING AND TRADING STANDARDS AND PRACTICES * * * * * 5200. QUOTATION AND TRADING OBLIGATIONS AND PRACTICES 5210. Publication of Transactions and Quotations No Change. • • • Supplementary Material: .01 Manipulative and Deceptive Quotations. No Change. .02 Wash Sales. Transactions in a security that involve no change in the beneficial ownership of the security, commonly known as ‘‘wash sales,’’ generally are non-bona fide transactions for purposes of Rule 5210. Members must have policies and procedures in place that are reasonably designed to review their trading activity for, and prevent, wash sale transactions. Transactions that originate from unrelated algorithms or separate and distinct trading strategies within the same firm would generally be considered bona fide transactions and would not be considered wash sales, even if the transactions did not result in a change of beneficial ownership, unless the transactions were undertaken for manipulative or other fraudulent purposes. Algorithms or trading strategies within the most discrete unit of an effective system of internal controls at a member firm are presumed to be related (e.g., within an aggregation unit, or individual trading desks within an aggregation unit separated by reasonable information barriers, as applicable). This Supplementary Material does not change members’ existing obligations under NASD Rule 3010 and FINRA Rule 2010. * * * * * II. Self-Regulatory Organization’s Statement of the Purpose of, and Statutory Basis for, the Proposed Rule Change In its filing with the Commission, FINRA 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 E:\FR\FM\04SEN1.SGM 04SEN1

Agencies

[Federal Register Volume 78, Number 171 (Wednesday, September 4, 2013)]
[Notices]
[Page 54502]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: 2013-21506]


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POSTAL REGULATORY COMMISSION


Sunshine Act Meetings

TIME AND DATE: Wednesday, September 11, 2013, at 11 a.m.

PLACE: Commission Hearing Room, 901 New York Avenue NW., Suite 200, 
Washington, DC 20268-0001.

STATUS: Part of this meeting will be open to the public. The rest of 
the meeting will be closed to the public. The open session will be 
audiocast. The audiocast may be accessed via the Commission's Web site 
at https://www.prc.gov. A period for public comment will be offered 
following consideration of the last numbered item in the open session.

MATTERS TO BE CONSIDERED: The agenda for the Commission's September 11, 
2013 meeting includes the items identified below.

PORTIONS OPEN TO THE PUBLIC: 
1. Report on legislative activities.
2. Report on handling of ate and service inquiries from the public.
3. Report from the Office of General Counsel on the status of 
Commission dockets.
4. Report from the Office of Accountability and Compliance.
5. Report from the Office of the Secretary and Administration.
6. Report on the Public Representative program pursuant to 39 U.S.C. 
505.

PORTION CLOSED TO THE PUBLIC: 
7. Discussion of pending litigation.

CONTACT PERSON FOR MORE INFORMATION: Stephen L. Sharfman, General 
Counsel, Postal Regulatory Commission, 901 New York Avenue NW., Suite 
200, Washington, DC 20268-0001, at 202-789-6820 (for agenda-related 
inquiries) and Shoshana M. Grove, Secretary of the Commission, at 202-
789-6800 or shoshana.grove@prc.gov (for inquiries related to meeting 
location, access for handicapped or disabled persons, the audiocast, or 
similar matters).

    By direction of the Commission.
Ruth Ann Abrams,
Acting Secretary.
[FR Doc. 2013-21506 Filed 8-30-13; 11:15 am]
BILLING CODE 7710-FW-P
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