Sunshine Act Meeting, 45008 [2015-18599]

Download as PDF 45008 Federal Register / Vol. 80, No. 144 / Tuesday, July 28, 2015 / Notices IV. Solicitation of Comments Interested persons are invited to submit written data, views, and arguments concerning the foregoing, including whether the proposed rule change is consistent with the Act. Comments may be submitted by any of the following methods: • Use the Commission’s Internet comment form (http://www.sec.gov/ rules/sro.shtml); or • Send an email to rule-comments@ sec.gov. Please include File Number SR– C2–2015–018 on the subject line. Paper Comments • Send paper comments in triplicate to Brent J. Fields, Secretary, Securities and Exchange Commission, 100 F Street NE., Washington, DC 20549–1090. All submissions should refer to File Number SR–C2–2015–018. This file number should be included on the subject line if email is used. To help the Commission process and review your comments more efficiently, please use only one method. The Commission will post all comments on the Commission’s Internet Web site (http://www.sec.gov/ rules/sro.shtml). Copies of the submission, all subsequent amendments, all written statements with respect to the proposed rule change that are filed with the Commission, and all written communications relating to the proposed rule change between the Commission and any person, other than those that may be withheld from the public in accordance with the provisions of 5 U.S.C. 552, will be available for Web site viewing and printing in the Commission’s Public Reference Room, 100 F Street NE., Washington, DC 20549 on official business days between the hours of 10:00 a.m. and 3:00 p.m. Copies of such filing also will be available for inspection and copying at the principal office of the Exchange. All comments received will be posted without change; the Commission does not edit personal identifying information from submissions. You should submit only information that you wish to make available publicly. All submissions should refer to File Number SR–C2– 2015–018, and should be submitted on or before August 18, 2015. 19:17 Jul 27, 2015 Jkt 235001 [FR Doc. 2015–18599 Filed 7–24–15; 4:15 pm] BILLING CODE 8011–01–P BILLING CODE P 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 Friday, July 31, 2015, at 1 p.m., in the Auditorium (L–002) at the Commission’s headquarters building, to hear oral argument in an appeal by the Respondents Raymond J. Lucia Companies, Inc. (‘‘RJLC’’) and Raymond J. Lucia, Sr. (‘‘Lucia’’), and a crossappeal by the Division of Enforcement, from an initial decision of an administrative law judge. On December 6, 2013, the law judge found that RJLC violated Sections 206(1), 206(2), and 206(4) of the Investment Advisers Act of 1940 by misleading prospective clients about its Buckets of Money retirement wealth management strategy, and that Lucia aided and abetted and caused RJLC’s violations. For these violations, the law judge barred Lucia from associating with an investment adviser, broker, or dealer; revoked RJLC’s and Lucia’s investment adviser registrations; ordered RJLC and Lucia to cease and desist from further violations of the Advisers Act; and imposed civil penalties of $250,000 on RJLC and $50,000 on Lucia. The law judge also found that RJLC did not violate, and Lucia did not aid and abet and cause a violation of, Advisers Act Rule 206(4)– 1(a)(5) concerning fraudulent advertisements by investment advisers. The Respondents appealed the law judge’s findings of violation and the sanctions imposed, and the Division cross-appealed the law judge’s Rule 206(4)–1(a)(5) findings. The issues likely to be considered at oral argument include, among other things, 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. 10 17 VerDate Sep<11>2014 Dated: July 24, 2015. Brent J. Fields, Secretary. [FR Doc. 2015–18538 Filed 7–27–15; 8:45 am] SECURITIES AND EXCHANGE COMMISSION Electronic Comments asabaliauskas on DSK5VPTVN1PROD with NOTICES For the Commission, by the Division of Trading and Markets, pursuant to delegated authority.10 Robert W. Errett, Deputy Secretary. PO 00000 CFR 200.30–3(a)(12). Frm 00085 Fmt 4703 Sfmt 4703 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, July 30, 2015 at 2 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), (a)(5), (a)(7), (9)(ii) and (a)(10), permit consideration of the scheduled matter at the Closed Meeting. Commissioner Piwowar, 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; Institution and settlement of administrative proceedings; 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 23, 2015. Brent J. Fields, Secretary. [FR Doc. 2015–18571 Filed 7–24–15; 11:15 am] BILLING CODE 8011–01–P SMALL BUSINESS ADMINISTRATION [Disaster Declaration #14330 and #14331] Oklahoma Disaster Number OK–00092 U.S. Small Business Administration. ACTION: Amendment 8. AGENCY: E:\FR\FM\28JYN1.SGM 28JYN1

Agencies

[Federal Register Volume 80, Number 144 (Tuesday, July 28, 2015)]
[Notices]
[Page 45008]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2015-18599]


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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 an Open Meeting on Friday, July 31, 
2015, at 1 p.m., in the Auditorium (L-002) at the Commission's 
headquarters building, to hear oral argument in an appeal by the 
Respondents Raymond J. Lucia Companies, Inc. (``RJLC'') and Raymond J. 
Lucia, Sr. (``Lucia''), and a cross-appeal by the Division of 
Enforcement, from an initial decision of an administrative law judge.
    On December 6, 2013, the law judge found that RJLC violated 
Sections 206(1), 206(2), and 206(4) of the Investment Advisers Act of 
1940 by misleading prospective clients about its Buckets of Money 
retirement wealth management strategy, and that Lucia aided and abetted 
and caused RJLC's violations. For these violations, the law judge 
barred Lucia from associating with an investment adviser, broker, or 
dealer; revoked RJLC's and Lucia's investment adviser registrations; 
ordered RJLC and Lucia to cease and desist from further violations of 
the Advisers Act; and imposed civil penalties of $250,000 on RJLC and 
$50,000 on Lucia. The law judge also found that RJLC did not violate, 
and Lucia did not aid and abet and cause a violation of, Advisers Act 
Rule 206(4)-1(a)(5) concerning fraudulent advertisements by investment 
advisers.
    The Respondents appealed the law judge's findings of violation and 
the sanctions imposed, and the Division cross-appealed the law judge's 
Rule 206(4)-1(a)(5) findings. The issues likely to be considered at 
oral argument include, among other things, 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 24, 2015.
Brent J. Fields,
Secretary.
[FR Doc. 2015-18599 Filed 7-24-15; 4:15 pm]
 BILLING CODE 8011-01-P