Sunshine Act Meetings, 26506 [2020-09560]

Download as PDF 26506 Federal Register / Vol. 85, No. 86 / Monday, May 4, 2020 / Notices through BrokerCheck. The economic impact of this aspect of the proposed rule change, therefore, is expected to be limited. The proposed rule change is not expected to harm or hinder competition among individuals currently registered as brokers who were previously registered as investment adviser representatives. Under the proposed rule change, similar past employment information as an investment adviser representative would be displayed through BrokerCheck regardless of whether that previous employment was at (1) a firm dually registered as a broker-dealer and an investment adviser, or (2) a firm solely registered as an investment adviser. Information is also currently available through IAPD describing the investment adviser firms at which the individuals were previously employed. Alternatives Considered No alternatives were considered for this proposed rule change. C. Self-Regulatory Organization’s Statement on Comments on the Proposed Rule Change Received From Members, Participants, or Others Written comments were neither solicited nor received. III. Date of Effectiveness of the Proposed Rule Change and Timing for Commission Action jbell on DSKJLSW7X2PROD with NOTICES Because the foregoing proposed rule change does not: (i) Significantly affect the protection of investors or the public interest; (ii) impose any significant burden on competition; and (iii) become operative for 30 days from the date on which it was filed, or such shorter time as the Commission may designate, it has become effective pursuant to Section 19(b)(3)(A) of the Act 24 and Rule 19b– 4(f)(6) thereunder.25 At any time within 60 days of the filing of the proposed rule change, the Commission summarily may temporarily suspend such rule change if it appears to the Commission that such action is necessary or appropriate in the public interest, for the protection of investors, or otherwise in furtherance of the purposes of the Act. If the Commission takes such action, the Commission shall institute proceedings to determine whether the proposed rule should be approved or disapproved. 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: 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– FINRA–2020–012 on the subject line. Paper Comments • Send paper comments in triplicate to Secretary, Securities and Exchange Commission, 100 F Street NE, Washington, DC 20549–1090. All submissions should refer to File Number SR–FINRA–2020–012. 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 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 a.m. and 3 p.m. Copies of such filing also will be available for inspection and copying at the principal office of FINRA. 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–FINRA– 2020–012 and should be submitted on or before May 26, 2020. For the Commission, by the Division of Trading and Markets, pursuant to delegated authority.26 J. Matthew DeLesDernier, Assistant Secretary. [FR Doc. 2020–09374 Filed 5–1–20; 8:45 am] BILLING CODE 8011–01–P 24 15 U.S.C. 78s(b)(3)(A). 25 17 CFR 240.19b–4(f)(6). VerDate Sep<11>2014 19:03 May 01, 2020 26 17 Jkt 250001 PO 00000 CFR 200.30–3(a)(12). Frm 00067 Fmt 4703 Sfmt 4703 SECURITIES AND EXCHANGE COMMISSION Sunshine Act Meetings Notice is hereby given, pursuant to the provisions of the Government in the Sunshine Act, Public Law 94–409, the Securities and Exchange Commission will hold an Open Meeting on Wednesday, May 6, 2020 at 1:00 p.m. PLACE: The meeting will be held via remote means and/or at the Commission’s headquarters, 100 F Street NE, Washington, DC 20549. STATUS: This meeting will begin at 1:00 p.m. (ET) and will be open to the public via audio webcast only on the Commission’s website at www.sec.gov. MATTER TO BE CONSIDERED: Whether to adopt a final order, following the issuance of a proposed order on January 8, 2020 for public comment, that would require the national securities exchanges for equities and FINRA to propose a single, new national market system (NMS) plan to increase transparency and address inefficiencies, conflicts of interest and other issues presented by the current governance structure of the three NMS plans that govern the public dissemination of realtime, consolidated equity market data for NMS stocks. CONTACT PERSON FOR MORE INFORMATION: For further information and to ascertain what, if any, matters have been added, deleted or postponed, please contact Vanessa A. Countryman, Office of the Secretary, at (202) 551–5400. TIME AND DATE: Dated: April 29, 2020. Vanessa A. Countryman, Secretary. [FR Doc. 2020–09560 Filed 4–30–20; 11:15 am] BILLING CODE 8011–01–P SECURITIES AND EXCHANGE COMMISSION Sunshine Act Meetings FEDERAL REGISTER CITATION OF PREVIOUS ANNOUNCEMENT: To Be Published. PREVIOUSLY ANNOUNCED TIME AND DATE OF THE MEETING: Wednesday, May 6, 2020 at 1:00 p.m. The Closed Meeting scheduled for Wednesday, May 6, 2020 at 1:00 p.m. has been changed to Wednesday, May 6, 2020 at 10:00 a.m. CONTACT PERSON FOR MORE INFORMATION: For further information and to ascertain what, if any, matters have been added, deleted or postponed, please contact the CHANGES IN THE MEETING: E:\FR\FM\04MYN1.SGM 04MYN1

Agencies

[Federal Register Volume 85, Number 86 (Monday, May 4, 2020)]
[Notices]
[Page 26506]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2020-09560]


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SECURITIES AND EXCHANGE COMMISSION


Sunshine Act Meetings

TIME AND DATE: Notice is hereby given, pursuant to the provisions of 
the Government in the Sunshine Act, Public Law 94-409, the Securities 
and Exchange Commission will hold an Open Meeting on Wednesday, May 6, 
2020 at 1:00 p.m.

PLACE: The meeting will be held via remote means and/or at the 
Commission's headquarters, 100 F Street NE, Washington, DC 20549.

STATUS: This meeting will begin at 1:00 p.m. (ET) and will be open to 
the public via audio webcast only on the Commission's website at 
www.sec.gov.

MATTER TO BE CONSIDERED: Whether to adopt a final order, following the 
issuance of a proposed order on January 8, 2020 for public comment, 
that would require the national securities exchanges for equities and 
FINRA to propose a single, new national market system (NMS) plan to 
increase transparency and address inefficiencies, conflicts of interest 
and other issues presented by the current governance structure of the 
three NMS plans that govern the public dissemination of real-time, 
consolidated equity market data for NMS stocks.

CONTACT PERSON FOR MORE INFORMATION: For further information and to 
ascertain what, if any, matters have been added, deleted or postponed, 
please contact Vanessa A. Countryman, Office of the Secretary, at (202) 
551-5400.

    Dated: April 29, 2020.
Vanessa A. Countryman,
Secretary.
[FR Doc. 2020-09560 Filed 4-30-20; 11:15 am]
BILLING CODE 8011-01-P
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