Investor Advisory Committee Meeting, 18591 [2014-07346]

Download as PDF Federal Register / Vol. 79, No. 63 / Wednesday, April 2, 2014 / Notices [Release Nos. 33–9567; 34–71829, File No. 265–28] Investor Advisory Committee Meeting 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. The public is invited to submit written statements to the Committee. DATES: The meeting will be held on Thursday, April 10, 2014, from 10 a.m. until 4:30 p.m. (EST). Written statements should be received on or before April 10, 2014. ADDRESSES: The meeting will be held in Multi-Purpose Room LL–006 at the Commission’s headquarters, 100 F Street NE., Washington, DC 20549. The meeting will be webcast on the Commission’s Web site at www.sec.gov. Written statements may be submitted by any of the following methods: SUMMARY: Electronic Statements D Use the Commission’s Internet submission form (https://www.sec.gov/ rules/other.shtml); or D Send an email message to rulescomments@sec.gov. Please include File No. 265–28 on the subject line; or tkelley on DSK3SPTVN1PROD with NOTICES Paper Statements D Send paper statements in triplicate to Kevin M. O’Neill, Deputy Secretary, Securities and Exchange Commission, 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. VerDate Mar<15>2010 17:01 Apr 01, 2014 Jkt 232001 M. Owen Donley III, Chief Counsel, at (202) 551–6322, Office of Investor Education and Advocacy, Securities and Exchange Commission, 100 F Street NE., Washington, DC 20549. SUPPLEMENTARY INFORMATION: Portions of the meeting will be open to the public, except during portions of the meeting reserved for meetings of the Committee’s subcommittees. Persons needing special accommodations to take part because of a disability should notify the contact person listed in FOR FURTHER INFORMATION CONTACT. The agenda for the meeting includes: Remarks from Commissioners; remarks from the Investor Advocate; election of Investor Advisory Committee Chair; a recommendation from the Investor as Purchaser Subcommittee regarding crowdfunding regulations; and nonpublic subcommittee meetings. FOR FURTHER INFORMATION CONTACT: SECURITIES AND EXCHANGE COMMISSION Dated: March 28, 2014. Kevin M. O’Neill, Deputy Secretary. [FR Doc. 2014–07346 Filed 4–1–14; 8:45 am] BILLING CODE 8011–01–P SECURITIES AND EXCHANGE COMMISSION [Release No. 34–71819; File No. SR–FINRA– 2013–039] Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Designation of Longer Period for Commission Action on Proceedings To Determine Whether To Disapprove Proposed Rule Change, As Modified by Amendment No. 1, To Clarify the Classification and Reporting of Certain Securities to FINRA March 27, 2014. On September 16, 2013, the Financial Industry Regulatory Authority, Inc. (‘‘FINRA’’) 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 to clarify the classification and reporting of certain securities to FINRA. The proposed rule change was published for comment in the Federal Register on September 30, 2013.3 The Commission received two comments on the proposal.4 On 1 15 U.S.C. 78s(b)(1). CFR 240.19b–4. 3 See Securities Exchange Act Release No. 70482 (September 23, 2013), 78 FR 59995 (September 30, 2013). 4 See Letters to the Commission from Sean Davy, Managing Director, Capital Markets, SIFMA, dated 2 17 PO 00000 Frm 00085 Fmt 4703 Sfmt 4703 18591 November 12, 2013, FINRA granted the Commission an extension of time to act on the proposal until December 29, 2013. On December 24, 2013, the Commission instituted proceedings to determine whether to disapprove the proposed rule change (‘‘Order Instituting Proceedings’’).5 On February 12, 2014, FINRA submitted Amendment No. 1 to respond to the comment letters and amend the proposed rule change, which the Commission published for comment in the Federal Register on March 5, 2014 (‘‘Notice of Amendment No. 1’’).6 In response to the Order Instituting Proceedings and the Notice of Amendment No. 1, the Commission received one additional comment letter on the proposal.7 Section 19(b)(2) of the Act 8 provides that, after initiating disapproval proceedings, the Commission shall issue an order approving or disapproving the proposed rule changes not later than 180 days after the date of publication of notice of their filing. The Commission may extend the period for issuing an order approving or disapproving the proposed rule changes, however, by up to 60 days if the Commission determines that a longer period is appropriate and publishes the reasons for such determination. In this case, the proposed rule changes were published for notice and comment in the Federal Register on September 30, 2013; March 29, 2014, is 180 days from that date, and May 28, 2014, is 240 days from that date. The Commission finds it appropriate to designate a longer period within which to issue an order approving or disapproving the proposed rule change so that it has sufficient time to evaluate Amendment No. 1 and the issues that commenters have raised concerning the proposed rule change and Amendment No. 1. Furthermore, the comment period for Amendment No. 1 expires on March 27, 2014, only one day prior to the end of the period within which the Commission otherwise would be required to issue its approval or disapproval order. October 21, 2013; and Manisha Kimmel, Executive Director, Financial Information Forum, dated October 31, 2013. 5 See Securities Exchange Act Release No. 71180 (December 24, 2013), 78 FR 79716 (December 31, 2013). 6 See Securities Exchange Act Release No. 71629 (February 27, 2014), 79 FR 12541. 7 See Letter to the Commission from Sean Davy, Managing Director, Capital Markets, SIFMA, dated March 14, 2014. 8 15 U.S.C. 78s(b)(2). E:\FR\FM\02APN1.SGM 02APN1

Agencies

SECURITIES AND EXCHANGE COMMISSION

[Federal Register Volume 79, Number 63 (Wednesday, April 2, 2014)]
[Notices]
[Page 18591]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: 2014-07346]



[[Page 18591]]

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SECURITIES AND EXCHANGE COMMISSION

[Release Nos. 33-9567; 34-71829, File No. 265-28]


Investor Advisory Committee Meeting

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. The public is invited to submit 
written statements to the Committee.

DATES: The meeting will be held on Thursday, April 10, 2014, from 10 
a.m. until 4:30 p.m. (EST). Written statements should be received on or 
before April 10, 2014.

ADDRESSES: The meeting will be held in Multi-Purpose Room LL-006 at the 
Commission's headquarters, 100 F Street NE., Washington, DC 20549. The 
meeting will be webcast on the Commission's Web site at www.sec.gov.
    Written statements may be submitted by any of the following 
methods:

Electronic Statements

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

Paper Statements

    [ssquf] Send paper statements in triplicate to Kevin M. O'Neill, 
Deputy Secretary, Securities and Exchange Commission, 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 III, Chief Counsel, at 
(202) 551-6322, Office of Investor Education and Advocacy, Securities 
and Exchange Commission, 100 F Street NE., Washington, DC 20549.

SUPPLEMENTARY INFORMATION: Portions of the meeting will be open to the 
public, except during portions of the meeting reserved for meetings of 
the Committee's subcommittees. Persons needing special accommodations 
to take part because of a disability should notify the contact person 
listed in FOR FURTHER INFORMATION CONTACT. The agenda for the meeting 
includes: Remarks from Commissioners; remarks from the Investor 
Advocate; election of Investor Advisory Committee Chair; a 
recommendation from the Investor as Purchaser Subcommittee regarding 
crowdfunding regulations; and nonpublic subcommittee meetings.

    Dated: March 28, 2014.
Kevin M. O'Neill,
Deputy Secretary.
[FR Doc. 2014-07346 Filed 4-1-14; 8:45 am]
BILLING CODE 8011-01-P

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