Sunshine Act Meeting, 68731 [2014-27316]

Download as PDF Federal Register / Vol. 79, No. 222 / Tuesday, November 18, 2014 / Notices 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 Commission will host the SEC Government-Business Forum on Small Business Capital Formation on Thursday, November 20, 2014, beginning at 9:00 a.m., in the auditorium of the Commission’s headquarters at 100 F Street NE., Washington, DC. The forum will be open to the public and webcast on the SEC’s Web site. Doors will open at 8:15 a.m. Visitors will be subject to security checks. The forum will include remarks by SEC Commissioners and panel discussions that Commissioners may attend. Panel topics will include secondary market liquidity for securities of small businesses and the definition of accredited investor. For further information, please contact the Office of the Secretary at (202) 551–5400. Dated: November 13, 2014. Brent J. Fields, Secretary. [FR Doc. 2014–27316 Filed 11–14–14; 11:15 am] Institution settlement of administrative proceedings; 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: November 13, 2014. Brent J. Fields, Secretary. [FR Doc. 2014–27355 Filed 11–14–14; 11:15 am] BILLING CODE 8011–01–P SECURITIES AND EXCHANGE COMMISSION [Release No. 34–73576; File No. SR–FINRA– 2014–045] Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Update Rule CrossReferences and Make Non-Substantive Technical Changes to Certain FINRA Rules BILLING CODE 8011–01–P November 12, 2014. SECURITIES AND EXCHANGE COMMISSION tkelley on DSK3SPTVN1PROD 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 a Closed Meeting on Thursday, November 20, 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 Stein, as duty officer, voted to consider the items listed for the Closed Meeting in closed session. The subject matter of the Closed Meeting will be: Institution and settlement of injunctive actions; VerDate Sep<11>2014 17:27 Nov 17, 2014 Jkt 235001 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 October 31, 2014, 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, II, and III below, which Items have been prepared by FINRA. FINRA has designated the proposed rule change as constituting a ‘‘non-controversial’’ rule change under paragraph (f)(6) of Rule 19b–4 under the Act,3 which renders the proposal effective upon receipt of this filing by the Commission. 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 update crossreferences and make other nonsubstantive changes within FINRA rules, primarily as the result of approval of new consolidated FINRA rules. 1 15 U.S.C. 78s(b)(1). CFR 240.19b–4. 3 17 CFR 240.19b–4(f)(6). 2 17 PO 00000 Frm 00072 Fmt 4703 Sfmt 4703 68731 The text of the proposed rule change is available on FINRA’s Web site at http://www.finra.org, at the principal office of FINRA, on the Commission’s Web site at http://www.sec.gov, 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, 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 in Item IV below. FINRA 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 FINRA is in the process of developing a consolidated rulebook (‘‘Consolidated FINRA Rulebook’’).4 That process involves FINRA submitting to the Commission for approval a series of proposed rule changes over time to adopt rules in the Consolidated FINRA Rulebook. The phased adoption and implementation of those rules necessitates periodic amendments to update rule cross-references and other non-substantive changes in the Consolidated FINRA Rulebook. The proposed rule change would make several such changes, as well as other non-substantive changes unrelated to the adoption of rules in the Consolidated FINRA Rulebook. First, the proposed rule change would update rule cross-references to reflect the adoption of new consolidated supervision rules. On December 23, 2013, the SEC approved a proposed rule change to adopt NASD Rules 3010, 3012, and 3110 as FINRA Rules 3110, 3120, 3150, and 3170, with several 4 The current FINRA rulebook consists of (1) FINRA Rules; (2) NASD Rules; and (3) rules incorporated from NYSE (‘‘Incorporated NYSE Rules’’) (together, the NASD Rules and Incorporated NYSE Rules are referred to as the ‘‘Transitional Rulebook’’). While the NASD Rules generally apply to all FINRA members, the Incorporated NYSE Rules apply only to those members of FINRA that are also members of the NYSE (‘‘Dual Members’’). The FINRA Rules apply to all FINRA members, unless such rules have a more limited application by their terms. For more information about the rulebook consolidation process, see Information Notice, March 12, 2008 (Rulebook Consolidation Process). E:\FR\FM\18NON1.SGM 18NON1

Agencies

[Federal Register Volume 79, Number 222 (Tuesday, November 18, 2014)]
[Notices]
[Page 68731]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: 2014-27316]



[[Page 68731]]

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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 Commission 
will host the SEC Government-Business Forum on Small Business Capital 
Formation on Thursday, November 20, 2014, beginning at 9:00 a.m., in 
the auditorium of the Commission's headquarters at 100 F Street NE., 
Washington, DC. The forum will be open to the public and webcast on the 
SEC's Web site. Doors will open at 8:15 a.m. Visitors will be subject 
to security checks.
    The forum will include remarks by SEC Commissioners and panel 
discussions that Commissioners may attend. Panel topics will include 
secondary market liquidity for securities of small businesses and the 
definition of accredited investor.
    For further information, please contact the Office of the Secretary 
at (202) 551-5400.

    Dated: November 13, 2014.
Brent J. Fields,
Secretary.
[FR Doc. 2014-27316 Filed 11-14-14; 11:15 am]
BILLING CODE 8011-01-P