Investor Advisory Committee Meeting, 36873 [2015-15645]

Download as PDF Federal Register / Vol. 80, No. 123 / Friday, June 26, 2015 / Notices SECURITIES AND EXCHANGE COMMISSION [Release Nos. 33–9851; 34–75253; 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, July 16, 2015 from 9:30 a.m. until 3:30 p.m. (ET). Written statements should be received on or before July 16, 2015. 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: tkelley on DSK3SPTVN1PROD with NOTICES 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 Paper Statements D Send paper statements to Brent J. Fields, 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: Marc Oorloff Sharma, Senior Special VerDate Sep<11>2014 19:05 Jun 25, 2015 Jkt 235001 Counsel, Office of the Investor Advocate, at (202) 551–3302, Securities and Exchange Commission, 100 F Street NE., Washington, DC 20549. The meeting will be open to the public, except during that portion of the meeting reserved for an administrative work session during lunch. 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; a discussion of background checks as a means to address elder financial abuse (which may include a recommendation); a discussion of the Department of Labor’s fiduciary rule proposal; a shareholder rights update panel; a report of the Committee chair regarding Committee matters; an investment management panel discussion on the disclosure of fees and risks in fund products; and a nonpublic administrative work session during lunch. SUPPLEMENTARY INFORMATION: Dated: June 22, 2015. Brent J. Fields, Secretary. [FR Doc. 2015–15645 Filed 6–25–15; 8:45 am] BILLING CODE 8011–01–P SECURITIES AND EXCHANGE COMMISSION [Release No. 34–75256; File No. SR–Phlx– 2015–51] Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Order Price Protection June 22, 2015. Pursuant to section 19(b)(1) of the Securities Exchange Act of 1934 (‘‘Act’’),1 and Rule 19b–4 2 thereunder, notice is hereby given that, on June 12, 2015, NASDAQ OMX PHLX LLC (‘‘Phlx’’ or ‘‘Exchange’’) filed with the Securities and Exchange Commission (‘‘SEC’’ or ‘‘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. 1 15 2 17 PO 00000 U.S.C. 78s(b)(1). CFR 240.19b–4. Frm 00117 Fmt 4703 Sfmt 4703 36873 I. Self-Regulatory Organization’s Statement of the Terms of Substance of the Proposed Rule Change The Exchange proposes to amend section (p)(3), Order Price Protection, of Exchange Rule 1080, Obligations and Restrictions Applicable to Specialists and Registered Options Traders. The text of the proposed rule change is below; proposed new language is italicized; proposed deletions are in brackets. * * * * * Rule 1080 Obligations and Restrictions Applicable to Specialists and Registered Options Traders (a)–(o) No change. (p) (1)–(2) No change. (3) Order Price Protection (‘‘OPP’’). OPP is a feature of Phlx XL that prevents certain day limit, good til cancelled, immediate or cancel, and allor-none orders at prices outside of preset standard limits from being accepted by the system. OPP applies to all options but does not apply to market orders, stop limit orders, Intermarket Sweep Orders or complex orders. (A) OPP is operational each trading day after the opening until the close of trading, except during trading halts. [The Exchange may also temporarily deactivate OPP from time to time on an intraday basis at its discretion if it determines that volatility warrants deactivation. Members will be notified of intraday OPP deactivation due to volatility and any subsequent intraday reactivation by the Exchange through the issuance of system status messages.] (B) OPP will reject incoming orders that exceed certain parameters according to the following algorithm. (i) If the better of the NBBO or the internal market BBO (the ‘‘Reference BBO’’) on the contra-side of an incoming order is greater than $1.00, orders with a limit more than 50% through such contraside [NBBO] Reference BBO will be rejected by Phlx XL upon receipt. For example, if the [NBBO] Reference BBO on the offer side is $1.10, an order to buy options for more than $1.65 would be rejected. Similarly, if the [NBBO] Reference BBO on the bid side is $1.10, an order to sell options for less than $0.55 will be rejected. (ii) If the [NBBO] Reference BBO on the contra-side of an incoming order is less than or equal to $1.00, orders with a limit more than 100% through such contra-side [NBBO] Reference BBO will be rejected by Phlx XL upon receipt. For example, if the [NBBO] Reference BBO on the offer side is $1.00, an order to buy options for more than $2.00 would E:\FR\FM\26JNN1.SGM 26JNN1

Agencies

[Federal Register Volume 80, Number 123 (Friday, June 26, 2015)]
[Notices]
[Page 36873]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2015-15645]



[[Page 36873]]

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SECURITIES AND EXCHANGE COMMISSION

[Release Nos. 33-9851; 34-75253; 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, July 16, 2015 from 9:30 
a.m. until 3:30 p.m. (ET). Written statements should be received on or 
before July 16, 2015.

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 to Brent J. Fields, 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: Marc Oorloff Sharma, Senior Special 
Counsel, Office of the Investor Advocate, at (202) 551-3302, Securities 
and Exchange Commission, 100 F Street NE., Washington, DC 20549.

SUPPLEMENTARY INFORMATION: The meeting will be open to the public, 
except during that portion of the meeting reserved for an 
administrative work session during lunch. 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; a 
discussion of background checks as a means to address elder financial 
abuse (which may include a recommendation); a discussion of the 
Department of Labor's fiduciary rule proposal; a shareholder rights 
update panel; a report of the Committee chair regarding Committee 
matters; an investment management panel discussion on the disclosure of 
fees and risks in fund products; and a nonpublic administrative work 
session during lunch.

    Dated: June 22, 2015.
Brent J. Fields,
Secretary.
[FR Doc. 2015-15645 Filed 6-25-15; 8:45 am]
 BILLING CODE 8011-01-P
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