Investor Advisory Committee Meeting, 17513 [2016-06988]

Download as PDF Federal Register / Vol. 81, No. 60 / Tuesday, March 29, 2016 / Notices 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 20549–1090, on official business days between the hours of 10:00 a.m. and 3:00 p.m. Copies of the 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–BX–2016–017 and should be submitted on or before April 19, 2016. For the Commission, by the Division of Trading and Markets, pursuant to delegated authority.9 Brent J. Fields, Secretary. [FR Doc. 2016–06994 Filed 3–28–16; 8:45 am] BILLING CODE 8011–01–P SECURITIES AND EXCHANGE COMMISSION [Release Nos. 33–10058; 34–77432; 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. mstockstill on DSK4VPTVN1PROD with NOTICES 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 14, 2016 from 9:30 a.m. until 3:45 p.m. (ET). Written statements should be received on or before April 14, 2016. 9 17 CFR 200.30–3(a)(12). VerDate Sep<11>2014 19:43 Mar 28, 2016 Jkt 238001 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 D Use the Commission’s Internet submission form (http://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 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 a recommendation of the Investor as Purchaser subcommittee regarding mutual fund cost disclosure; an update from the Commission’s Office of Compliance Inspections and Examinations; subcommittee reports; a discussion regarding cybersecurity and related investor protection concerns; reflections on the first full term of Investor Advisory Committee membership; and a nonpublic PO 00000 Frm 00089 Fmt 4703 Sfmt 4703 17513 administrative work session during lunch. Dated: March 23, 2016. Brent J. Fields, Secretary. [FR Doc. 2016–06988 Filed 3–28–16; 8:45 am] BILLING CODE 8011–01–P SECURITIES AND EXCHANGE COMMISSION [Release No. 34–77430; File No. SR–FINRA– 2015–057] Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving Proposed Rule Change to Adopt FINRA Rule 2273 (Educational Communication Related to Recruitment Practices and Account Transfers) March 23, 2016. I. Introduction On December 16, 2015, Financial Industry Regulatory Authority, Inc. (‘‘FINRA’’) filed with the Securities and Exchange Commission (‘‘SEC’’ or ‘‘Commission’’), pursuant to section 19(b)(1) of the Securities Exchange Act of 1934 (‘‘Exchange Act’’) 1 and Rule 19b–4 thereunder,2 a proposed rule change to adopt FINRA Rule 2273, which would establish an obligation for a member to deliver an educational communication in connection with member recruitment practices and account transfers. The proposed rule change was published for comment in the Federal Register on December 30, 2015.3 The Commission received twelve comment letters on the proposal.4 On February 4, 2016, FINRA extended the time period for Commission action on the proposed rule change until March 29, 2016. On March 17, 2016, FINRA responded to 1 15 U.S.C. 78s(b)(1). CFR 240.19b–4. 3 See Notice of Filing of a Proposed Rule Change to Adopt FINRA Rule 2273 (Educational Communication Related to Recruitment Practices and Account Transfers), Exchange Act Rel. No. 76757 (December 23, 2015), 80 FR 81590 (December 30, 2015) (‘‘Notice’’). 4 Comment letters were submitted by Georgia State University College of Law Investor Advocacy Clinic (‘‘GSU’’); Commonwealth Financial Network (‘‘Commonwealth’’); Securities Industry and Financial Markets Association (‘‘SIFMA’’); Financial Services Institute (‘‘FSI’’); Public Investors Arbitration Bar Association (‘‘PIABA’’); Wells Fargo Advisors (‘‘Wells Fargo’’); The Committee of Annuity Insurers (‘‘Committee of Annuity Insurers’’); Lincoln Financial Network (‘‘Lincoln’’); LPL Financial (‘‘LPL’’); Raymond James Financial Services (‘‘RJFS’’); Raymond James & Associates (‘‘RJA’’); and HD Vest Investment Services (‘‘HD Vest’’). 2 17 E:\FR\FM\29MRN1.SGM 29MRN1

Agencies

[Federal Register Volume 81, Number 60 (Tuesday, March 29, 2016)]
[Notices]
[Page 17513]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2016-06988]


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SECURITIES AND EXCHANGE COMMISSION

[Release Nos. 33-10058; 34-77432; 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.

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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 14, 2016 from 9:30 
a.m. until 3:45 p.m. (ET). Written statements should be received on or 
before April 14, 2016.

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 (http://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 a recommendation of the Investor as Purchaser 
subcommittee regarding mutual fund cost disclosure; an update from the 
Commission's Office of Compliance Inspections and Examinations; 
subcommittee reports; a discussion regarding cybersecurity and related 
investor protection concerns; reflections on the first full term of 
Investor Advisory Committee membership; and a nonpublic administrative 
work session during lunch.

    Dated: March 23, 2016.
Brent J. Fields,
Secretary.
[FR Doc. 2016-06988 Filed 3-28-16; 8:45 am]
BILLING CODE 8011-01-P