Sunshine Act Meeting, 76662 [2013-30213]
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Federal Register / Vol. 78, No. 243 / Wednesday, December 18, 2013 / Notices
and Exchange Commission
(‘‘Commission’’) is soliciting comments
on the collection of information
summarized below. The Commission
plans to submit this existing collection
of information to the Office of
Management and Budget (‘‘OMB’’) for
extension and approval.
Form 144 (17 CFR 239.144) is used to
report the sale of securities during any
three-month period that exceeds 5,000
shares or other units or has an aggregate
sales price that does not exceed $50,000.
Under Sections 2(11), 4(1), 4(2), 4(4) and
19(a) of the Securities Act of 1933 (15
U.S.C. 77b, 77d (1) (2) (4) and 77s (a))
and Rule 144 (17 CFR 230.144)
thereunder, the Commission is
authorize to solicit the information
required to be supplied by Form 144.
Form 144 takes approximately 1 burden
hour per response and is filed by 23,361
respondents for a total of 23,361 total
burden hours.
Written comments are invited on: (a)
Whether this proposed collection of
information is necessary for the proper
performance of the functions of the
agency, including whether the
information will have practical utility;
(b) the accuracy of the agency’s estimate
of the burden imposed by the collection
of information; (c) ways to enhance the
quality, utility, and clarity of the
information collected; and (d) ways to
minimize the burden of the collections
of information on respondents,
including through the use of automated
collection techniques or other forms of
information technology. Consideration
will be given to comments and
suggestions submitted in writing within
60 days of this publication.
An agency may not conduct or
sponsor, and a person is not required to
respond to, a collection of information
unless it displays a currently valid OMB
control number.
Please direct your written comments
to Thomas Bayer, Director/Chief
Information Officer, Securities and
Exchange Commission, c/o Remi PavlikSimon, 100 F Street NE., Washington,
DC 20549 or send an email to: PRA_
Mailbox@sec.gov.
Dated: December 12, 2013.
Kevin M. O’Neill,
Deputy Secretary.
[FR Doc. 2013–30051 Filed 12–17–13; 8:45 am]
ehiers on DSK2VPTVN1PROD with NOTICES
BILLING CODE 8011–01–P
Notice is hereby given, pursuant to
the provisions of the Government in the
Jkt 232001
Dated: December 16, 2013.
Elizabeth M. Murphy,
Secretary.
1. Purpose
The Exchange proposes to delay the
implementation date of recentlyapproved changes to the halt release
process under Rule 4120(c)(7)(C). On
November 14, 2013, the Exchange filed
an immediately effective rule change to
amend Rule 4120(c)(7)(C) to modify the
parameters for releasing securities for
trading upon the termination of a
trading halt.3 The Exchange filed the
proposal pursuant to subparagraph (f)(6)
of Rule 19–4 under the Act,4 which
requires, among other things, that
changes filed pursuant to this
subparagraph not become operative for
thirty days after the date of the filing, or
such shorter time as the Commission
may designate if consistent with the
protection of investors and the public
interest. The Exchange requested that
the Commission waive the thirty-day
operative delay under subparagraph
(f)(6) of Rule 19b-4,5 noting that the
proposed change is designed to protect
market participants from seemingly
erroneous pricing of halted securities
upon resumption of trading, and that, it
is possible, particularly with regard to
the IPO release process, for a disruptive
order to skew the release price far from
what was anticipated by market
participants based on the indicative
prices published by the Exchange prior
to the calculation.6 On November 21,
2013, the Commission issued public
[FR Doc. 2013–30213 Filed 12–16–13; 11:15 am]
BILLING CODE 8011–01–P
SECURITIES AND EXCHANGE
COMMISSION
[Release No. 34–71060; File No. SR–
NASDAQ–2013–151]
Self-Regulatory Organizations; The
NASDAQ Stock Market LLC; Notice of
Filing and Immediate Effectiveness of
Proposed Rule Change To Delay
Implementation of Recent Changes to
Rule 4120(c)(7)(C)
December 12, 2013.
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 December
4, 2013, The NASDAQ Stock Market
LLC (‘‘NASDAQ’’ or ‘‘Exchange’’), filed
with the Securities and Exchange
Commission (‘‘Commission’’) the
proposed rule change as described in
Items I and II 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.
The Exchange proposes a proposed
rule change to delay implementation of
Sunshine Act Meeting
15:27 Dec 17, 2013
recent changes to Rule 4120(c)(7)(C) to
allow market participants the
opportunity to participate in testing of
the new process
I. Self-Regulatory Organization’s
Statement of the Terms of Substance of
the Proposed Rule Change
SECURITIES AND EXCHANGE
COMMISSION
VerDate Mar<15>2010
Sunshine Act, Public Law 94–409, that
the Securities and Exchange
Commission will hold an Open Meeting
on Wednesday, December 18, 2013 at 10
a.m., in the Auditorium, Room L–002.
The subject matter of the Open
Meeting will be:
• The Commission will consider
whether to propose rules and forms
related to the offer and sale of securities
pursuant to Section 3(b) of the
Securities Act of 1933, as mandated by
Title IV of the Jumpstart Our Business
Startups Act.
The duty officer has determined that
no earlier notice was practicable.
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.
1 15
2 17
PO 00000
U.S.C. 78s(b)(1).
CFR 240.19b-4.
Frm 00070
Fmt 4703
Sfmt 4703
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
3 Securities Exchange Act Release No. 70911
(November 21, 2013), 78 FR 71011 (November 27,
2013) (SR–NASDAQ–2013–143).
4 17 CFR 240.19b-4(f)(6).
5 Id.
6 Supra note 3.
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[Federal Register Volume 78, Number 243 (Wednesday, December 18, 2013)]
[Notices]
[Page 76662]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: 2013-30213]
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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 Wednesday,
December 18, 2013 at 10 a.m., in the Auditorium, Room L-002.
The subject matter of the Open Meeting will be:
The Commission will consider whether to propose rules and
forms related to the offer and sale of securities pursuant to Section
3(b) of the Securities Act of 1933, as mandated by Title IV of the
Jumpstart Our Business Startups Act.
The duty officer has determined that no earlier notice was
practicable.
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: December 16, 2013.
Elizabeth M. Murphy,
Secretary.
[FR Doc. 2013-30213 Filed 12-16-13; 11:15 am]
BILLING CODE 8011-01-P
