Sunshine Act Meeting, 2483 [2014-00558]

Download as PDF Federal Register / Vol. 79, No. 9 / Tuesday, January 14, 2014 / Notices Dated: January 8, 2014. Kevin M. O’Neill, Deputy Secretary. SECURITIES AND EXCHANGE COMMISSION [Release No. 34–71255; File No. SR–MSRB– 2013–09] [FR Doc. 2014–00467 Filed 1–13–14; 8:45 am] 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, January 16, 2014 at 2:00 p.m. Commissioners, Counsel to the Commissioners, the Secretary to the Commission, and recording secretaries 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 her designee, has certified that, in her 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 matter 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 will be: Institution and settlement of injunctive actions; institution and settlement of administrative proceedings; adjudicatory matters; and other matters relating to enforcement proceedings. emcdonald on DSK67QTVN1PROD with NOTICES 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: January 9, 2014. Elizabeth M. Murphy, Secretary. [FR Doc. 2014–00558 Filed 1–9–14; 4:15 pm] BILLING CODE 8011–01–P VerDate Mar<15>2010 16:32 Jan 13, 2014 Jkt 232001 Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Notice of Filing of a Proposed Rule Change, as Modified by Amendment No. 1 Thereto, Consisting of Amendments to MSRB Rules A–12, on Initial Fee, G–14, on Reports of Sales or Purchases, and the Facility for Real-Time Transaction Reporting and Price Dissemination (‘‘RTRS Facility’’); Deletion of Rules A–14, on Annual Fee, A–15, on Notification to the Board of Change in Status or Change of Name or Address, and G–40, on Electronic Mail Contacts; Deletion of References to RTRS Testing Requirements Under Rules G–14(b)(v), G–14(c), on RTRS Procedures, and in the RTRS Facility; Elimination of MSRB Forms RTRS and G–40; and Adoption of a Single, Consolidated Electronic Registration Form, New Form A–12 January 8, 2014. Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (the ‘‘Act’’) 1 and Rule 19b–4 thereunder,2 notice is hereby given that, on December 24, 2013, the Municipal Securities Rulemaking Board (the ‘‘MSRB’’ or ‘‘Board’’) filed with the Securities and Exchange Commission (the ‘‘SEC’’ or ‘‘Commission’’) the proposed rule change as described in Items I, II, and III below, which Items have been prepared by the MSRB. On January 7, 2014, the Board filed Amendment No. 1 to the proposed rule change.3 The Commission is publishing this notice to 1 15 U.S.C. 78s(b)(1). CFR 240.19b–4. 3 By Amendment No. 1, the Board: (1) Added footnote 5 to Item II(A)(1) explaining that Form A– 12 included as Exhibit 3 to SR–MSRB–2013–09 as filed with the SEC is a pre-production depiction of an electronic form and the final appearance of which may vary in non-substantive respects; (2) added text and footnotes 6, 8, and 9 to Item II(A)(1) to clarify that the current requirement for all registrants to provide a Primary Electronic Mail Contact and for municipal securities dealers that report trades to the MSRB to provide a primary Trade Data Quality contact would be replaced by the requirement that all registrants provide a Primary Regulatory Contact, Master Account Administrator, Billing Contact, Compliance Contact, and Data Quality Contact. Additionally, the new text explains that the optional Trade Data Quality Contact, Optional Electronic Mail Contact, and optional Technical Contact would be replaced with the Optional Regulatory Contact, Optional Data Quality Contact, and Optional Technical Contact; and (3) included an additional graphic illustration on new Form A–12, found in Exhibit 3 to SR–MSRB–2013–09 as filed with the SEC, that depicts where registrants would describe the reason(s) for the involuntary withdrawal of their registration with the MSRB on the new Form A–12. 2 17 PO 00000 Frm 00077 Fmt 4703 Sfmt 4703 2483 solicit comments on the proposed rule change, as modified by Amendment No. 1 thereto, from interested persons. I. Self-Regulatory Organization’s Statement of the Terms of Substance of the Proposed Rule Change The MSRB is filing with the Commission a proposed rule change consisting of amendments to MSRB Rules A–12, on initial fee, Rule G–14, on reports of sales or purchases, and the Facility for Real-Time Transaction Reporting and Price Dissemination (‘‘RTRS Facility’’). The MSRB also proposes a deletion of the entire rule language (reserving the rule numbers for potential future use) for Rules A–14, on annual fee, A–15, on notification to the Board of change in status or change of name or address, and G–40, on electronic mail contacts. Additionally, references to RTRS testing requirements under G–14(b)(v), G–14(c), on RTRS Procedures, and in the RTRS Facility will be deleted. Finally, the MSRB proposes to eliminate two MSRB forms, Forms RTRS and G–40, and adopt a single, consolidated electronic registration form, new Form A–12 (collectively, the ‘‘proposed rule change’’). The MSRB will provide at least thirty days notice of the effective date, which shall be announced within ten days of SEC approval in a notice published on the MSRB Web site. The notice will also announce a compliance date for completion of new Form A–12 of ninety days from the effective date.4 The text of the proposed rule change is available on the MSRB’s Web site at www.msrb.org/Rules-andInterpretations/SEC-Filings/2013Filings.aspx, at the MSRB’s principal office, and at the Commission’s Public Reference Room. 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 MSRB 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 MSRB has prepared summaries, set forth in Sections A, B, and C below, of the most significant aspects of such statements. 4 The MSRB anticipates that the effective date will be on or about April 28, 2014 when new Form A–12 will be available and that registrants will have ninety days from such date to complete the form in accordance with the proposed rule change. E:\FR\FM\14JAN1.SGM 14JAN1

Agencies

[Federal Register Volume 79, Number 9 (Tuesday, January 14, 2014)]
[Notices]
[Page 2483]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: 2014-00558]


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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 a Closed Meeting on Thursday, January 
16, 2014 at 2:00 p.m.
    Commissioners, Counsel to the Commissioners, the Secretary to the 
Commission, and recording secretaries 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 her designee, has 
certified that, in her 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 matter 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 will be:

Institution and settlement of injunctive actions;
institution and settlement of administrative proceedings;
adjudicatory matters; and
other matters relating to enforcement proceedings.

    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: January 9, 2014.
Elizabeth M. Murphy,
Secretary.
[FR Doc. 2014-00558 Filed 1-9-14; 4:15 pm]
BILLING CODE 8011-01-P
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