Sunshine Act Meeting, 42383-42384 [2014-17142]
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Federal Register / Vol. 79, No. 139 / Monday, July 21, 2014 / Notices
exemption. Approximately 10
respondents file the information
required by Rule 236 at an estimated 1.5
hours per response for a total annual
reporting burden of 15 hours (1.5 hours
per response × 10 responses).
Written comments are invited on: (a)
Whether the 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 collection 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
control number.
Please direct your written comment 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: July 15, 2014.
Kevin M. O’Neill,
Deputy Secretary.
[FR Doc. 2014–17014 Filed 7–18–14; 8:45 am]
Dated: July 15, 2014.
Kevin M. O’Neill,
Deputy Secretary.
BILLING CODE 8011–01–P
SECURITIES AND EXCHANGE
COMMISSION
[FR Doc. 2014–17015 Filed 7–18–14; 8:45 am]
BILLING CODE 8011–01–P
Proposed Collection; Comment
Request
Upon Written Request Copies Available
From: Securities and Exchange
Commission, Office of FOIA Services,
100 F Street NE., Washington, DC
20549–2736
emcdonald on DSK67QTVN1PROD with NOTICES
Extension:
Regulation S–T. OMB Control No. 3235–
424, SEC File No. 270–375.
Notice is hereby given that, pursuant
to the Paperwork Reduction Act of 1995
(44 U.S.C. 3501 et seq.), the Securities
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 for extension
and approval.
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Regulation S–T (17 CFR 232.10
through 232.501) sets forth the general
requirements and procedures for the
electronic submission of documents on
the Electronic Data Gathering, Analysis
and Retrieval (‘‘EDGAR’’) System.
Regulation S–T is assigned one burden
hour for administrative convenience
because it does not directly impose any
information collection requirements.
Written comments are invited on: (a)
Whether the 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 collection 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
control number.
Please direct your written comment 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.
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, July 23, 2014 at 10:00
a.m., in the Auditorium, Room L–002.
The subject matters of the Open
Meeting will be:
• The Commission will consider
whether to adopt amendments to certain
rules under the Investment Company
Act of 1940 that govern the operation of
money market funds and related
amendments to Form PF under the
Investment Advisers Act of 1940. The
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42383
Commission will also consider whether
to issue a related notice of proposed
exemptive relief.
• The Commission will consider
whether to (i) re-propose amendments
to the principal rule under the
Investment Company Act of 1940 that
governs the operation of money market
funds to address provisions that
reference credit ratings and (ii) propose
an amendment to the diversification
provisions in that rule.
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: July 16, 2014.
Kevin M. O’Neill,
Deputy Secretary.
[FR Doc. 2014–17141 Filed 7–17–14; 11:15 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 Wednesday, July 23, 2014 at 1:00
p.m. and Thursday, July 24, 2014 at
2:00 p.m.
Commissioners, Counsel to the
Commissioners, the Secretary to the
Commission, and recording secretaries
will attend the Closed Meetings. 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 matters at the Closed
Meetings.
Commissioner Piwowar, as duty
officer, voted to consider the items
listed for the Closed Meetings in closed
sessions.
The subject matter of the July 23, 2014
Closed Meeting will be: Institution and
settlement of administrative
proceedings; and other matters relating
to enforcement proceedings.
The subject matter of the July 24, 2014
Closed Meeting will be: Institution and
settlement of injunctive actions;
institution and settlement of
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Federal Register / Vol. 79, No. 139 / Monday, July 21, 2014 / Notices
administrative proceedings; a litigation
matter; 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.
SECURITIES AND EXCHANGE
COMMISSION
Dated: July 16, 2014.
Kevin M. O’Neill,
Deputy Secretary.
July 15, 2014.
[FR Doc. 2014–17142 Filed 7–17–14; 11:15 am]
BILLING CODE 8011–01–P
SECURITIES AND EXCHANGE
COMMISSION
emcdonald on DSK67QTVN1PROD with NOTICES
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 July 25, 2014, at 10 a.m., in the
Auditorium (L–002) at the
Commission’s headquarters building, to
hear oral argument in an appeal by the
Division of Enforcement from an initial
decision of an administrative law judge.
On October 28, 2011, the law judge
dismissed proceedings brought by the
Division against Respondents John P.
Flannery and James D. Hopkins, former
employees of State Street Bank and
Trust Company. The law judge held that
Respondents did not violate the
antifraud provisions of Section 17(a) of
the Securities Act of 1933, Section 10(b)
of the Securities Exchange Act of 1934,
and Exchange Act Rule 10b–5 because
she found that, among other things, they
did not make misleading statements
regarding the portfolio holdings of an
unregistered collective trust fund, the
Limited Duration Bond Fund (‘‘LDBF’’),
in communications with LDBF
investors.
The issues likely to be considered at
oral argument include whether
Respondents violated the antifraud
provisions as alleged and, if so, the
extent to which they should be
sanctioned for those violations.
For further information, please
contact the Office of the Secretary at
(202) 551–5400.
Dated: July 17, 2014.
Kevin M. O’Neill,
Deputy Secretary.
[Release No. 34–72608; File No. SR–CBOE–
2014–055]
Self-Regulatory Organizations;
Chicago Board Options Exchange,
Incorporated; Notice of Filing and
Immediate Effectiveness of a Proposed
Rule Change to Amend Its Fees
Schedule
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 July 1,
2014, Chicago Board Options Exchange,
Incorporated (the ‘‘Exchange’’ or
‘‘CBOE’’) filed with the Securities and
Exchange Commission (the
‘‘Commission’’) the proposed rule
change as described in Items I, II, and
III 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.
I. Self-Regulatory Organization’s
Statement of the Terms of Substance of
the Proposed Rule Change
The Exchange proposes to amend its
Fees Schedule. The text of the proposed
rule change is available on the
Exchange’s Web site (https://
www.cboe.com/AboutCBOE/
CBOELegalRegulatoryHome.aspx), at
the Exchange’s Office of the Secretary,
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
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
1. Purpose
The Exchange proposes to amend its
Fees Schedule, to be effective July 1,
[FR Doc. 2014–17188 Filed 7–17–14; 11:15 am]
1 15
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2 17
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U.S.C. 78s(b)(1).
CFR 240.19b–4.
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2014. First, the Exchange proposes to
increase the fees for electronic
Professional/Voluntary Professional (W)
(‘‘Professional’’) and Joint Back Office (J)
(‘‘JBO’’) executions in equity, ETF, ETN
and index options classes (except, SPX,
SPXW, SPXpm, SRO, OEX, XEO, VIX,
VXST and VOLATILITY INDEXES (the
‘‘Special Classes’’)) from $0.30 to $0.45
for Penny Pilot Classes and $0.60 for
Non-Penny Pilot Classes. The Exchange
notes that the proposed fees are the
same amount that are currently assessed
to Broker-Dealers and non-Trading
Permit Holder Market Makers. The
Exchange also notes that this change is
being proposed due to competitive
reasons and that the increased amount
is within the range of fees assessed for
similar transactions on other
exchanges.3
The Exchange also proposes to amend
its Fees Schedule to adopt a fee of $200
per report per FBW group 4 per month
for daily reports provided to requesting
users of the Exchange’s aggregation
Floor Broker Workstation (which are
used on the Exchange trading floor to
enter orders) (‘‘FBW’’). The Exchange
licenses the FBW software from a thirdparty vendor, which vendor operates
FBW on behalf of the Exchange. This
vendor also provides upon request by
TPHs on an ad hoc basis reports related
to their use of FBW. For example, some
TPHs request reports related to the
orders they enter on FBWs. Other TPHs
request reports related to their market
access control settings.5 Currently, TPHs
receive these ad hoc reports at no
charge. Recently, however, FBW users
have requested that they automatically
receive reports on a daily basis. The
3 See PHLX Pricing, Section II, Multiply Listed
Options Fees.
4 For business purposes, a Trading Permit Holder
(‘‘TPH’’) firm may group FBW users within that
firm into an FBW aggregation group (for example,
a TPH may have an index group and an equity
group). If a TPH has FBW aggregation groups, the
proposed fee will be applied to each group. For
example, if a TPH has an FBW index group and an
FBW equity group, and the TPH requests that it
receive daily market access control reports for both
groups, the Exchange will charge the TPH $400/
month under the proposed fee.
5 FBW includes a market access control window
in which TPHs can input parameters and settings
(which are displayed for each FBW aggregation
group) with respect to their orders to help them
manage their trading risk. These risk controls
include pre-order controls (such as quantity of
contracts per order, premium amount per order,
number of identical orders and frequency of order
entry) and aggregate controls (such as actual and
predictive values for premium amount per day,
quantity of contracts per day, and the number of
orders with a status of working). Use of the market
access control window is voluntary. Pursuant to the
CBOE Fees Schedule, the Exchange charges TPHs
$100/month per login ID (capped at $2,000 per
month for a TPH) for use of the market access
controls window costs.
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Agencies
[Federal Register Volume 79, Number 139 (Monday, July 21, 2014)]
[Notices]
[Pages 42383-42384]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: 2014-17142]
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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 Wednesday, July
23, 2014 at 1:00 p.m. and Thursday, July 24, 2014 at 2:00 p.m.
Commissioners, Counsel to the Commissioners, the Secretary to the
Commission, and recording secretaries will attend the Closed Meetings.
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 matters at the Closed Meetings.
Commissioner Piwowar, as duty officer, voted to consider the items
listed for the Closed Meetings in closed sessions.
The subject matter of the July 23, 2014 Closed Meeting will be:
Institution and settlement of administrative proceedings; and other
matters relating to enforcement proceedings.
The subject matter of the July 24, 2014 Closed Meeting will be:
Institution and settlement of injunctive actions; institution and
settlement of
[[Page 42384]]
administrative proceedings; a litigation matter; 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: July 16, 2014.
Kevin M. O'Neill,
Deputy Secretary.
[FR Doc. 2014-17142 Filed 7-17-14; 11:15 am]
BILLING CODE 8011-01-P