Asset Management Advisory Committee, 55190-55191 [2019-22391]

Download as PDF 55190 Federal Register / Vol. 84, No. 199 / Tuesday, October 15, 2019 / Notices 11, 2019, OCC filed a partial amendment (‘‘Partial Amendment No. 1’’) to modify the Proposed Rule Change.6 The Commission is publishing this notice to solicit comments on Partial Amendment No. 1 from interested persons. II. 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 Exchange Act. Comments may be submitted by any of the following methods: Electronic Comments • Use the Commission’s internet comment form (https://www.sec.gov/ rules/sro.shtml); or • Send an email to rule-comments@ sec.gov. Please include File Number SR– OCC–2019–007 on the subject line. khammond on DSKJM1Z7X2PROD with NOTICES Paper Comments Send paper comments in triplicate to Secretary, Securities and Exchange Commission, 100 F Street NE, Washington, DC 20549. All submissions should refer to File Number SR–OCC–2019–007. 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 website (https://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 Secretary, Commission (‘‘FIA Letter’’); letter from Joseph P. Kamnik, Senior Vice President and Chief Regulatory Counsel, OCC, dated September 20, 2019 to Vanessa Countryman, Secretary, Commission (‘‘OCC Letter’’); letter from Steven Morrison, SVP, Associate General Counsel, LPL Financial (‘‘LPL’’) to Brent J. Fields, Secretary, Commission, dated September 17, 2019 (received September 26, 2019) (‘‘LPL Letter’’), available at https://www.sec.gov/comments/sr-occ-2019-007/ srocc2019007.htm. 6 In Partial Amendment No. 1, OCC appended an Exhibit 2 to the materials filed on August 9, 2019 regarding File No. SR–OCC–2019–007. The appended Exhibit 2 consists of communications from OCC concerning the proposal dated after OCC filed the proposal on August 9, 2019 and does not change the purpose of or basis for the Proposed Rule Change. References to the Proposed Rule Change from this point forward refer to the Proposed Rule Change, as amended by Partial Amendment No. 1. VerDate Sep<11>2014 16:25 Oct 11, 2019 Jkt 250001 provisions of 5 U.S.C. 552, will be available for website 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 filings will also be available for inspection and copying at the principal office of OCC and OCC’s website at https://www.theocc.com/about/ publications/bylaws.jsp. All comments received will be posted without change. Persons submitting comments are cautioned that we do not redact or edit personal identifying information from comment submissions. You should submit only information that you wish to make available publicly. All submissions should refer to File Number SR–OCC–2019–007 and should be submitted on or before October 30, 2019. III. Designation of Longer Period for Commission Action Section 19(b)(2) of the Exchange Act 7 provides that, within 45 days of the publication of notice of the filing of a proposed rule change, or within such longer period up to 90 days as the Commission may designate if it finds such longer period to be appropriate and publishes its reasons for so finding, or as to which the self-regulatory organization consents, the Commission shall either approve the proposed rule change, disapprove the proposed rule change, or institute proceedings to determine whether the proposed rule change should be disapproved. The 45th day after publication of the Notice of Filing is October 11, 2019. The Commission is extending this 45-day time period. In order to provide the Commission with sufficient time to consider the Proposed Rule Change, the Commission finds that it is appropriate to designate a longer period within which to take action on the Proposed Rule Change. Accordingly, the Commission, pursuant to Section 19(b)(2) of the Exchange Act,8 designates November 25, 2019 as the date by which the Commission shall either approve, disapprove, or instituteproceedings to determine whether to disapprove proposed rule change SR–OCC–2019– 007. 7 15 U.S.C. 78s(b)(2). 8 Id. 9 17 PO 00000 CFR 200.30–3(a)(31). Frm 00057 Fmt 4703 Sfmt 4703 For the Commission, by the Division of Trading and Markets, pursuant to delegated authority.9 Eduardo A. Aleman, Deputy Secretary. [FR Doc. 2019–22385 Filed 10–11–19; 8:45 am] BILLING CODE 8011–01–P SECURITIES AND EXCHANGE COMMISSION [Release No. 34–87256; File No. 265–33] Asset Management Advisory Committee Securities and Exchange Commission. ACTION: Notice of Federal Advisory Committee Establishment. AGENCY: The Securities and Exchange Commission is publishing this notice to announce that the Chairman of the Commission, with the concurrence of the other Commissioners, intends to establish the Securities and Exchange Commission Asset Management Advisory Committee. ADDRESSES: Written comments may be submitted by the following methods: SUMMARY: Electronic Comments • Use the Commission’s internet submission form (https://www.sec.gov/ rules/other.shtml); or • Send an email message to rulecomments@sec.gov, including File No. 265–33 on the subject line. Paper Comments • Send paper comments in triplicate to Vanessa A. Countryman, Secretary, Securities and Exchange Commission, 100 F Street NE, Washington, DC 20549–1090. All submissions should refer to File No. 265–33. To help us process and review your comments more efficiently, please use only one method. The Commission will post all comments on the Commission’s internet website (https:// www.sec.gov/rules/other.shtml). Comments also will be available for website 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. All comments received will be posted without change. Persons submitting comments are cautioned that we do not redact or edit personal identifying information from comment submissions. You should submit only information that you wish to make available publicly. FOR FURTHER INFORMATION CONTACT: Christian Broadbent or Mark Uyeda, E:\FR\FM\15OCN1.SGM 15OCN1 khammond on DSKJM1Z7X2PROD with NOTICES Federal Register / Vol. 84, No. 199 / Tuesday, October 15, 2019 / Notices Senior Special Counsels, or Sirimal Mukerjee, Senior Counsel, at (202) 551– 6720, Division of Investment Management, Securities and Exchange Commission, 100 F Street NE, Washington, DC 20549–8549. SUPPLEMENTARY INFORMATION: In accordance with the requirements of the Federal Advisory Committee Act, 5 U.S.C.—App, the Commission is publishing this notice that the Chairman of the Commission, with the concurrence of the other Commissioners, intends to establish the Securities and Exchange Commission Asset Management Advisory Committee (the ‘‘Committee’’). The Chairman of the Commission affirms that the establishment of the Committee is necessary and in the public interest.1 The Committee’s objectives and scope of its activities are to provide the Commission with (a) diverse perspectives on asset management, including (i) trends and developments affecting investors and market participants, (ii) the effects of globalization, including as it relates to operations, risks and regulation, and (iii) changes in the role of technology and service providers, as well as (b) related advice and recommendations. No more than 21 voting members will be appointed to the Committee. Such members shall represent a cross-section of those directly affected by, interested in, and/or qualified to provide advice to the Commission on matters related to asset management. The Committee’s membership will be balanced fairly in terms of points of view represented. Non-voting members may also be named. The charter will provide that the duties of the Committee are to be solely advisory. The Commission alone will make any determinations of actions to be taken and policies to be expressed with respect to matters within the Commission’s jurisdiction. The Committee will meet at such intervals as are necessary to carry out its functions. The charter contemplates that the full Committee will meet four times annually. Meetings of subgroups or subcommittees of the full Committee may occur more frequently. The Committee will operate for two years from the date the charter is filed with the appropriate entities or such earlier date as determined by the Commission unless, before the expiration of that time period, it is renewed in accordance with the Federal Advisory Committee Act. The Committee may be established 15 days after publication of this notice in the 1 See 41 CFR 102–3.30(a). VerDate Sep<11>2014 16:25 Oct 11, 2019 Jkt 250001 Federal Register by filing a charter for the Committee with the Committee on Banking, Housing, and Urban Affairs of the United States Senate, the Committee on Financial Services of the United States House of Representatives, and the Committee Management Secretariat of the General Services Administration. A copy of the charter as so filed also will be filed with the Chairman of the Commission, furnished to the Library of Congress, and posted on the Commission’s website at www.sec.gov. By the Commission. Dated: October 8, 2019. Vanessa A. Countryman, Secretary. [FR Doc. 2019–22391 Filed 10–11–19; 8:45 am] BILLING CODE 8011–01–P SECURITIES AND EXCHANGE COMMISSION [Release No. 34–87260; File No. 265–30] Fixed Income Market Structure Advisory Committee Securities and Exchange Commission. ACTION: Notice of meeting. AGENCY: Notice is being provided that the Securities and Exchange Commission Fixed Income Market Structure Advisory Committee will hold a public meeting on Monday, November 4, 2019 in Room 443 at the Commission’s New York Regional Office, 200 Vesey Street, New York, NY 10281. The meeting will begin at 9:00 a.m. (ET) and will be open to the public. Pre-registration is required in order to attend the meeting in person (see below for information on pre-registration). The meeting will be webcast on the Commission’s website at www.sec.gov. Persons needing special accommodations to take part because of a disability should notify the contact persons listed below. The public is invited to submit written statements to the Committee. The meeting will include updates and presentations from the subcommittees and discussions on secondary market trading in government securities. DATES: The public meeting will be held on November 4, 2019. Written statements should be received on or before October 30, 2019. ADDRESSES: The meeting will be held at the Commission’s New York Regional Office, 200 Vesey Street, New York, NY 10281. Written statements may be submitted by any of the following methods: SUMMARY: PO 00000 Frm 00058 Fmt 4703 Sfmt 4703 55191 Electronic Statements • Use the Commission’s internet submission form (https://www.sec.gov/ rules/other.shtml); or • Send an email message to rulecomments@sec.gov. Please include File Number 265–30 on the subject line; or Paper Statements • Send paper statements in triplicate to Vanessa A. Countryman, Federal Advisory Committee Management Officer, Securities and Exchange Commission, 100 F Street NE, Washington, DC 20549–1090. All submissions should refer to File No. 265–30. 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. The Commission will post all statements on the Commission’s internet website at https:// www.sec.gov/comments/265–30/265– 30.shtml. Statements also will be available for website 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. Persons submitting comments are cautioned that we do not redact or edit personal identifying information from submissions. You should submit only information that you wish to make available publicly. FOR FURTHER INFORMATION CONTACT: David Dimitrious, Senior Special Counsel, at (202) 551–5131, or Ben Bernstein, Senior Special Counsel, at (202) 551–5354, Division of Trading and Markets, Securities and Exchange Commission, 100 F Street NE, Washington DC 20549–7010. SUPPLEMENTARY INFORMATION: All members of the public who wish to attend the meeting in person must register by October 30, 2019. To register, please complete the registration form available at the FIMSAC’s web page at https://www.sec.gov/spotlight/fixedincome-advisory-committee. Upon arrival, all attendees will be required to sign in and be processed through security at the visitors desk. Please bring a government issued photo identification and allow extra time before the start of the meeting. In accordance with Section 10(a) of the Federal Advisory Committee Act, 5 U.S.C.-App. 1, and the regulations thereunder, Brett Redfearn, Designated Federal Officer of the Committee, has ordered publication of this notice. E:\FR\FM\15OCN1.SGM 15OCN1

Agencies

[Federal Register Volume 84, Number 199 (Tuesday, October 15, 2019)]
[Notices]
[Pages 55190-55191]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2019-22391]


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SECURITIES AND EXCHANGE COMMISSION

[Release No. 34-87256; File No. 265-33]


Asset Management Advisory Committee

AGENCY: Securities and Exchange Commission.

ACTION: Notice of Federal Advisory Committee Establishment.

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SUMMARY: The Securities and Exchange Commission is publishing this 
notice to announce that the Chairman of the Commission, with the 
concurrence of the other Commissioners, intends to establish the 
Securities and Exchange Commission Asset Management Advisory Committee.

ADDRESSES: Written comments may be submitted by the following methods:

Electronic Comments

     Use the Commission's internet submission form (https://www.sec.gov/rules/other.shtml); or
     Send an email message to [email protected], including 
File No. 265-33 on the subject line.

Paper Comments

     Send paper comments in triplicate to Vanessa A. 
Countryman, Secretary, Securities and Exchange Commission, 100 F Street 
NE, Washington, DC 20549-1090.

All submissions should refer to File No. 265-33. To help us process and 
review your comments more efficiently, please use only one method. The 
Commission will post all comments on the Commission's internet website 
(https://www.sec.gov/rules/other.shtml). Comments also will be available 
for website 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. All comments received 
will be posted without change. Persons submitting comments are 
cautioned that we do not redact or edit personal identifying 
information from comment submissions. You should submit only 
information that you wish to make available publicly.

FOR FURTHER INFORMATION CONTACT: Christian Broadbent or Mark Uyeda,

[[Page 55191]]

Senior Special Counsels, or Sirimal Mukerjee, Senior Counsel, at (202) 
551-6720, Division of Investment Management, Securities and Exchange 
Commission, 100 F Street NE, Washington, DC 20549-8549.

SUPPLEMENTARY INFORMATION: In accordance with the requirements of the 
Federal Advisory Committee Act, 5 U.S.C.--App, the Commission is 
publishing this notice that the Chairman of the Commission, with the 
concurrence of the other Commissioners, intends to establish the 
Securities and Exchange Commission Asset Management Advisory Committee 
(the ``Committee''). The Chairman of the Commission affirms that the 
establishment of the Committee is necessary and in the public 
interest.\1\
---------------------------------------------------------------------------

    \1\ See 41 CFR 102-3.30(a).
---------------------------------------------------------------------------

    The Committee's objectives and scope of its activities are to 
provide the Commission with (a) diverse perspectives on asset 
management, including (i) trends and developments affecting investors 
and market participants, (ii) the effects of globalization, including 
as it relates to operations, risks and regulation, and (iii) changes in 
the role of technology and service providers, as well as (b) related 
advice and recommendations.
    No more than 21 voting members will be appointed to the Committee. 
Such members shall represent a cross-section of those directly affected 
by, interested in, and/or qualified to provide advice to the Commission 
on matters related to asset management. The Committee's membership will 
be balanced fairly in terms of points of view represented. Non-voting 
members may also be named.
    The charter will provide that the duties of the Committee are to be 
solely advisory. The Commission alone will make any determinations of 
actions to be taken and policies to be expressed with respect to 
matters within the Commission's jurisdiction. The Committee will meet 
at such intervals as are necessary to carry out its functions. The 
charter contemplates that the full Committee will meet four times 
annually. Meetings of subgroups or subcommittees of the full Committee 
may occur more frequently.
    The Committee will operate for two years from the date the charter 
is filed with the appropriate entities or such earlier date as 
determined by the Commission unless, before the expiration of that time 
period, it is renewed in accordance with the Federal Advisory Committee 
Act. The Committee may be established 15 days after publication of this 
notice in the Federal Register by filing a charter for the Committee 
with the Committee on Banking, Housing, and Urban Affairs of the United 
States Senate, the Committee on Financial Services of the United States 
House of Representatives, and the Committee Management Secretariat of 
the General Services Administration. A copy of the charter as so filed 
also will be filed with the Chairman of the Commission, furnished to 
the Library of Congress, and posted on the Commission's website at 
www.sec.gov.

    By the Commission.

    Dated: October 8, 2019.
Vanessa A. Countryman,
Secretary.
[FR Doc. 2019-22391 Filed 10-11-19; 8:45 am]
 BILLING CODE 8011-01-P
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