Change in the Meeting: Additional Item.

The following matter will also be considered during the 2 p.m. closed meeting scheduled for Thursday, November 12, 2009, at 2 p.m.: Consideration of Amicus participation.

Commissioner Paredes, as duty officer, voted to consider the item listed for the closed meeting in closed session, and determined that no earlier notice thereof was possible.

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) 5515400.

Dated: November 10, 2009.
Elizabeth M. Murphy,
Secretary.
[FR Doc. E927443 Filed 111209; 11:15 am]
BILLING CODE 801101P ]]> http://thefederalregister.com/d.p/2009-11-16-E9-27443 Mon, Nov 16 2009 11:00:00 GMT http://thefederalregister.com/d.p/2009-11-16-E9-27537

Notice is hereby given, pursuant to the provisions of the Government in the Sunshine Act, Public Law 94409, that the Securities and Exchange Commission will hold a Closed Meeting on Thursday, November 19, 2009 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 his designee, has certified that, in his 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), (5), (7), 9(ii) and (10), permit consideration of the scheduled matters at the Closed Meeting.

Commissioner Paredes, as duty officer, voted to consider the items listed for the Closed Meeting in a closed session.

The subject matter of the Closed Meeting scheduled for Thursday, November 19, 2009 will be:
Institution and settlement of injunctive ac ]]> http://thefederalregister.com/d.p/2009-11-16-E9-27537 Mon, Nov 16 2009 11:00:00 GMT http://thefederalregister.com/d.p/2009-11-09-E9-26884

Extension:

Rule 17i5, SEC File No. 270531, OMB Control No. 32350590.

Notice is hereby given that pursuant to the Paperwork Reduction Act of 1995 \1\ the Securities and Exchange Commission (``Commission'') intends to submit to the Office of Management and Budget a request for extension of the previously approved collections of information discussed below. The Code of Federal Regulations citation to this collection of information is the following: 17 CFR 240.17i5. \1\ 44 U.S.C. 3501 et seq.

Section 231 of the GrammLeachBliley Act of 1999 \2\ (the ``GLBA'') amended Section 17 of the Securities Exchange Act of 1934 (15 U.S.C. 78q) to create a regulatory framework under which a holding company of a brokerdealer (``investment bank holding company'' or ``IBHC'') may voluntarily be supervised by the Commission as a supervised investment ]]> http://thefederalregister.com/d.p/2009-11-09-E9-26884 Mon, Nov 9 2009 11:00:00 GMT http://thefederalregister.com/d.p/2009-11-09-E9-26885

Extension:

Rule 17i8, SEC File No. 270533, OMB Control No. 32350591.

Notice is hereby given that pursuant to the Paperwork Reduction Act of 1995\1\ the Securities and Exchange Commission (``Commission'') intends to submit to the Office of Management and Budget a request for extension of the previously approved collections of information discussed below. The Code of Federal Regulations citation to this collection of information is the following rule: 17 CFR 240.17i8. \1\ 44 U.S.C. 3501 et seq.

Section 231 of the GrammLeachBliley Act of 1999 \2\ (the ``GLBA'') amended Section 17 of the Securities Exchange Act of 1934 (15 U.S.C. 78q) to create a regulatory framework under which a holding company of a brokerdealer (``investment bank holding company'' or ``IBHC'') may voluntarily be supervised by the Commission as a supervised invest ]]> http://thefederalregister.com/d.p/2009-11-09-E9-26885 Mon, Nov 9 2009 11:00:00 GMT http://thefederalregister.com/d.p/2009-11-09-E9-27026

Notice is hereby given, pursuant to the provisions of the Government in the Sunshine Act, Public Law 94409, that the Securities and Exchange Commission will hold a Closed Meeting on Thursday, November 12, 2009 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 his designee, has certified that, in his opinion, one or more of the exemptions set forth in 5 U.S.C. 552b(c), (5), (7), (8), 9(B) and (10) and 17 CFR 200.402(a)(5), (7), (8), 9(ii) and (10), permit consideration of the scheduled matters at the Closed Meeting.

Commissioner Aguilar, as duty officer, voted to consider the items listed for the Closed Meeting in a closed session.

The subject matter of the Closed Meeting scheduled for Thursday, November 12, 2009 will be:

Institution and settlement of injunctiv ]]> http://thefederalregister.com/d.p/2009-11-09-E9-27026 Mon, Nov 9 2009 11:00:00 GMT http://thefederalregister.com/d.p/2009-11-06-E9-26751

Notice is hereby given that, pursuant to the Paperwork Reduction Act of 1995 (44 U.S.C. 3501 et seq.), the Securities and Exchange Commission (``Commission'') is soliciting comments on the existing collection of information provided for in Rule 17Ad11 (17 CFR 240.17Ad11) under the Securities Exchange Act of 1934 (15 U.S.C. 78a et seq.) (``Exchange Act''). The Commission plans to submit this existing collection of information to the Office of Management and Budget for extension and approval.

Rule 17Ad11 requires all registered transfer agents to report to issuers and the appropriate regulatory agency in the event that aged record differences exceed certain dollar value thresholds. An aged record difference occurs when an issuer's records do not agree with those of securityowners as indicated, for instance, on certificates presented to the t ]]> http://thefederalregister.com/d.p/2009-11-06-E9-26751 Fri, Nov 6 2009 11:00:00 GMT http://thefederalregister.com/d.p/2009-11-06-E9-26752

Extension:

Form N8B2; SEC File No. 270186; OMB Control No. 32350186.

Notice is hereby given that, pursuant to the Paperwork Reduction Act of 1995 (44 U.S.C. 3501 et seq.), the Securities and Exchange Commission (the ``Commission'') is soliciting comments on the collection of information summarized below. The Commission plans to submit this existing collection of information to the Office of Management and Budget for extension and approval.

Form N8B2 (17 CFR 274.12) is the form used by unit investment trusts (``UITs'') other than separate accounts that are currently issuing securities, including UITs that are issuers of periodic payment plan certificates and UITs of which a management investment company is the sponsor or depositor, to comply with the filing and disclosure requirements imposed by section 8(b) of the Investment Company Act ]]> http://thefederalregister.com/d.p/2009-11-06-E9-26752 Fri, Nov 6 2009 11:00:00 GMT http://thefederalregister.com/d.p/2009-11-06-E9-26753

Extension:

Rule 17Ad13; SEC File No. 270263; OMB Control No. 32350275.

Notice is hereby given that, pursuant to the Paperwork Reduction Act of 1995 (44 U.S.C. 3501 et seq.), the Securities and Exchange Commission (``Commission'') is soliciting comments on the existing collection of information provided for in Rule 17Ad13 (17 CFR 240.17Ad13) under the Securities Exchange Act of 1934 (15 U.S.C. 78a et seq.) (``Exchange Act''). The Commission plans to submit this existing collection of information to the Office of Management and Budget for extension and approval.

Rule 17Ad13 requires approximately 150 registered transfer agents to obtain an annual report on the adequacy of internal accounting controls. In addition, transfer agents must maintain copies of any reports prepared pursuant to Rule 17Ad13 plus any documents prepared to notify the ]]> http://thefederalregister.com/d.p/2009-11-06-E9-26753 Fri, Nov 6 2009 11:00:00 GMT http://thefederalregister.com/d.p/2009-11-06-E9-26894

Notice is hereby given, pursuant to the provisions of the Government in the Sunshine Act, Public Law 94409, that the Securities and Exchange Commission will hold its annual forum on small business capital formation on November 19, 2009 beginning at 9 a.m.

The forum will include roundtables focusing on the state of small business capital formation and the SEC's accredited investor definition for private and limited offerings.

The roundtables will take place in the Auditorium of the Commission's headquarters at 100 F Street, NE., Washington, DC and will be open to the public with seating on a firstcome, firstserved basis. Doors will open at 8:30 a.m. Visitors will be subject to security checks.

For further information, please contact Anthony Barone at 202551 3261.

Dated: November 3, 2009.
Elizabeth M. Murphy,
Secretary.
[FR Doc. E926894 Filed 11409; 11:15 am]
BILLING CODE 801101P ]]> http://thefederalregister.com/d.p/2009-11-06-E9-26894 Fri, Nov 6 2009 11:00:00 GMT http://thefederalregister.com/d.p/2009-11-05-E9-26660

The following is a notice of applications for deregistration under section 8(f) of the Investment Company Act of 1940 for the month of October, 2009. A copy of each application may be obtained via the Commission's Web site by searching for the file number, or an applicant using the Company name box, at http://www.sec.gov/search/search.htm or by calling (202) 5518090. An order granting each application will be issued unless the SEC orders a hearing. Interested persons may request a hearing on any application by writing to the SEC's Secretary at the address below and serving the relevant applicant with a copy of the request, personally or by mail. Hearing requests should be received by the SEC by 5:30 p.m. on November 20, 2009, and should be accompanied by proof of service on the applicant, in the form of an affidavit or, for lawyers, a certi ]]> http://thefederalregister.com/d.p/2009-11-05-E9-26660 Thu, Nov 5 2009 11:00:00 GMT http://thefederalregister.com/d.p/2009-11-04-E9-26525 [[Page 57063]]
current authoritative accounting and auditing guidance and Commission rules and regulations. The principal changes involve revision or removal of material due to recent Commission rulemaking. Specifically, the staff is updating the Series in order to bring existing guidance into conformity with the contents of Financial Reporting Release No. 78 (Release No. 338995), Modernization of Oil and Gas Reporting, issued December 31, 2008 (FR78), and, in the case of the technical amendment to SAB Topic 3, Financial Reporting Release No. 79 (Release Nos. 33 9026; 3459775), Technical Amendments to Rules, Forms, Sc ]]> http://thefederalregister.com/d.p/2009-11-04-E9-26525 Wed, Nov 4 2009 11:00:00 GMT http://thefederalregister.com/d.p/2009-11-04-E9-26514

Extension:

Rule 154, SEC File No. 270438, OMB Control No. 32350495.

Notice is hereby given that, under the Paperwork Reduction Act of 1995 (44 U.S.C. 35013520), the Securities and Exchange Commission (the ``Commission'') has submitted to the Office of Management and Budget a request for extension of the previously approved collection of information discussed below.

The federal securities laws generally prohibit an issuer, underwriter, or dealer from delivering a security for sale unless a prospectus meeting certain requirements accompanies or precedes the security. Rule 154 (17 CFR 230.154) under the Securities Act of 1933 (15 U.S.C. 77a) (the ``Securities Act'') permits, under certain circumstances, delivery of a single prospectus to investors who purchase securities from the same issuer and share the same address (``householding'') to ]]> http://thefederalregister.com/d.p/2009-11-04-E9-26514 Wed, Nov 4 2009 11:00:00 GMT http://thefederalregister.com/d.p/2009-11-04-E9-26721

Notice is hereby given, pursuant to the provisions of the Government in the Sunshine Act, Public Law 94409, that the Securities and Exchange Commission will hold a Closed Meeting on Monday, November 9, 2009 at 10 a.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 his designee, has certified that, in his opinion, one of the exemption set forth in 5 U.S.C. 552b(c)(10) and 17 CFR 200.402(a)(10), permit consideration of the scheduled matter at the Closed Meeting.

Commissioner Aguilar, as duty officer, voted to consider the item listed for the Closed Meeting in a closed session.

The subject matter of the Closed Meeting scheduled for Monday, November 9, 2009 will be:

Consideration of amicus participation.

At times, changes in Commission priorities require alterations i ]]> http://thefederalregister.com/d.p/2009-11-04-E9-26721 Wed, Nov 4 2009 11:00:00 GMT http://thefederalregister.com/d.p/2009-10-30-E9-26150 [[Page 56108]]
II entitled EDGAR Filer Manual, Volume II: ``EDGAR Filing,'' Version 13 (September 2009). The updated manual will be incorporated by reference into the Code of Federal Regulatio ]]> http://thefederalregister.com/d.p/2009-10-30-E9-26150 Fri, Oct 30 2009 11:00:00 GMT http://thefederalregister.com/d.p/2009-10-30-E9-26175

Extension:

Rule 12b1; SEC File No. 270188; OMB Control No. 32350212. [[Page 56247]]

Notice is hereby given that, pursuant to the Paperwork Reduction Act of 1995 (44 U.S.C. 3501 et seq.), the Securities and Exchange Commission (the ``Commission'') has submitted to the Office of Management and Budget a request for extension of the previously approved collection of information discussed below.

Rule 12b1 (17 CFR 270.12b1) permits a registered openend investment company (``mutual fund'') to distribute its own shares and pay the expenses of distribution out of the mutual fund's assets provided, among other things, that the mutual fund adopts a written plan (``Rule 12b1 plan'') and has in writing any agreements relating to the implementation of the Rule 12b1 plan. The rule in part requires that (i) the adoption or material amendment of a Rule 1 ]]> http://thefederalregister.com/d.p/2009-10-30-E9-26175 Fri, Oct 30 2009 11:00:00 GMT http://thefederalregister.com/d.p/2009-10-30-E9-26176

Extension:

Form 1E, Regulation E; SEC File No. 270221; OMB Control No. 32350232.

Notice is hereby given that, pursuant to the Paperwork Reduction Act of 1995 (44 U.S.C. 3501 et seq.), the Securities and Exchange Commission (the ``Commission'') has submitted to the Office of Management and Budget a request for extension of the previously approved collection of information discussed below.

Form 1E (17 CFR 239.200) under the Securities Act of 1933 (15 U.S.C. 77a et seq.) (``Securities Act'') is the form that a small business investment company (``SBIC'') or business development company (``BDC'') uses to notify the Commission that it is claiming an exemption under Regulation E from registering its securities under the Securities Act. Rule 605 of Regulation E (17 CFR 230.605) under the Securities Act requires an SBIC or BDC claiming such an e ]]> http://thefederalregister.com/d.p/2009-10-30-E9-26176 Fri, Oct 30 2009 11:00:00 GMT http://thefederalregister.com/d.p/2009-10-30-E9-26177

Extension:

Rule 17f6; SEC File No. 270392; OMB Control No. 32350447.

Notice is hereby given that, under the Paperwork Reduction Act of 1995 (44 U.S.C. 35013520), the Securities and Exchange Commission (the ``Commission'') has submitted to the Office of Management and Budget a request for extension of the previously approved collection of information discussed below.

Rule 17f6 (17 CFR 270.17f6) under the Investment Company Act of 1940 (15 U.S.C. 80a) permits registered investment companies (``funds'') to maintain assets (i.e., margin) with futures commission merchants (``FCMs'') in connection with commodity transactions effected on both domestic and foreign exchanges. Before the rule was adopted, funds generally were required to maintain
[[Page 56248]]
such assets in special accounts with a custodian bank.\1\
\1\ Custody of Investment ]]> http://thefederalregister.com/d.p/2009-10-30-E9-26177 Fri, Oct 30 2009 11:00:00 GMT http://thefederalregister.com/d.p/2009-10-30-E9-26256

Notice is hereby given, pursuant to the provisions of the Government in the Sunshine Act, Public Law 94409, that the Securities and Exchange Commission will hold a Closed Meeting on Tuesday, November 3, 2009 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 his designee, has certified that, in his opinion, one or more of the exemptions set forth in 5 U.S.C. 552b(c)(3), (5), (7), (8), 9(B) and (10) and 17 CFR 200.402(a)(3), (5), (7), (8), 9(ii) and (10), permit consideration of the scheduled matters at the Closed Meeting.

Commissioner Casey, as duty officer, voted to consider the items listed for the Closed Meeting in a closed session.

The subject matter of the Closed Meeting scheduled for Tuesday, November 3, 2009 will be:
Institution and settlement of injunctive ]]> http://thefederalregister.com/d.p/2009-10-30-E9-26256 Fri, Oct 30 2009 11:00:00 GMT http://thefederalregister.com/d.p/2009-10-30-E9-26257

Notice is hereby given, pursuant to the provisions of the Government in the Sunshine Act, Public Law 94409, that the Securities and Exchange Commission will hold an Open Meeting on November 2, 2009, at 10 a.m., in Room 10800, to hear oral argument on an appeal by Guy P. Riordan from an initial decision of an administrative law judge. The law judge found that, from around 1996 to December 2002, Riordan, a former registered representative associated with Wachovia Securities, LLC, in its Albuquerque, New Mexico, branch office, violated the antifraud provisions by making secret cash payments to the New Mexico State Treasurer in exchange for securities business from the Treasurer's Office. The law judge barred Riordan from associating with any broker or dealer; imposed a ceaseanddesist order; ordered disgorgement of $1,017,278.78, plus prejudgment interest; and assessed a $500,000 thirdtier civil penalty.

Among the issues likely to be argued are whether Riordan engaged in the conduct alleged ]]> http://thefederalregister.com/d.p/2009-10-30-E9-26257 Fri, Oct 30 2009 11:00:00 GMT http://thefederalregister.com/d.p/2009-10-27-E9-25811 ]]> http://thefederalregister.com/d.p/2009-10-27-E9-25811 Tue, Oct 27 2009 11:00:00 GMT http://thefederalregister.com/d.p/2009-10-27-E9-25813 ]]> http://thefederalregister.com/d.p/2009-10-27-E9-25813 Tue, Oct 27 2009 11:00:00 GMT http://thefederalregister.com/d.p/2009-10-23-E9-25486

Extension:

Rule 17i6; SEC File No. 270532; OMB Control No. 32350588.

Notice is hereby given that pursuant to the Paperwork Reduction Act of 1995 \1\ the Securities and Exchange Commission (``Commission'') has submitted to the Office of Management and Budget requests for extension of the previously approved collections of information discussed below. The Code of Federal Regulations citation to this collection of information is the following: 17 CFR 240.17i6.

\1\ 44 U.S.C. 3501 et seq.

Section 231 of the GrammLeachBliley Act of 1999 \2\ (the ``GLBA'') amended Section 17 of the Securities Exchange Act of 1934 to create a regulatory framework under which a holding company of a brokerdealer (``investment bank holding company'' or ``IBHC'') may voluntarily be supervised by the Commission as a supervised investment bank holding company ]]> http://thefederalregister.com/d.p/2009-10-23-E9-25486 Fri, Oct 23 2009 11:00:00 GMT http://thefederalregister.com/d.p/2009-10-23-E9-25487

Extension:

Rule 31a2; SEC File No. 270174; OMB Control No. 32350179. [[Page 54863]]

Notice is hereby given that, pursuant to the Paperwork Reduction Act of 1995 (44 U.S.C. 35013520), the Securities and Exchange Commission (the ``Commission'') is soliciting comments on the collection of information summarized below. The Commission plans to submit this existing collection of information to the Office of Management and Budget for extension and approval.

Section 31(a)(1) of the Investment Company Act of 1940 (the ``Act'') \1\ requires registered investment companies (``funds'') and certain principal underwriters, brokerdealers, investment advisers and depositors of funds to maintain and preserve records as prescribed by Commission rules. Rule 31a1 \2\ specifies the books and records that each of these entities must maintain. Rule 31a2,\3\ wh ]]> http://thefederalregister.com/d.p/2009-10-23-E9-25487 Fri, Oct 23 2009 11:00:00 GMT http://thefederalregister.com/d.p/2009-10-23-E9-25482

Notice is hereby given that pursuant to the Paperwork Reduction Act of 1995 (44 U.S.C. 3501 et seq.), the Securities and Exchange Commission (``Commission'') is soliciting comments on the collection of information summarized below. The Commission plans to submit this existing collection of information to the Office of Management and Budget for extension and approval.

Rule 15c34 (17 CFR 240.15c34) (the ``Rule'') under the Securities Exchange Act of 1934 (17 U.S.C. 78a et seq.) (the ``Exchange Act'') requires certain brokerdealers that are registered with the Commission as OTC derivatives dealers to establish, document, and maintain a system of internal risk management controls. The Rule sets forth the basic elements for an OTC derivatives dealer to consider and include when establishing, documenting, and reviewing its internal risk manageme ]]> http://thefederalregister.com/d.p/2009-10-23-E9-25482 Fri, Oct 23 2009 11:00:00 GMT http://thefederalregister.com/d.p/2009-10-23-E9-25483

Extension:

Rule 17i3, SEC File No. 270529, OMB Control No. 32350593.

Notice is hereby given that pursuant to the Paperwork Reduction Act of 1995 \1\ the Securities and Exchange Commission
(``Commission'') has submitted to the Office of Management and Budget requests for extension of the previously approved collections of information discussed below. The Code of Federal Regulations citation to this collection of information is the following: 17 CFR 240.17i3.

\1\ 44 U.S.C. 3501 et seq.

Section 231 of the GrammLeachBliley Act of 1999 \2\ (the ``GLBA'') amended Section 17 of the Securities Exchange Act of 1934 to create a regulatory framework under which a holding company of a brokerdealer (``investment bank holding company'' or ``IBHC'') may voluntarily be supervised by the Commission as a supervised investment bank holding compan ]]> http://thefederalregister.com/d.p/2009-10-23-E9-25483 Fri, Oct 23 2009 11:00:00 GMT http://thefederalregister.com/d.p/2009-10-23-E9-25484

Notice is hereby given that pursuant to the Paperwork Reduction Act of 1995 \1\ the Securities and Exchange Commission (``Commission'') has submitted to the Office of Management and Budget requests for extension of the previously approved collections of information discussed below. The Code of Federal Regulations citation to this collection of information is the following: 17 CFR 240.17i2.

\1\ 44 U.S.C. 3501 et seq.

Section 231 of the GrammLeachBliley Act of 1999 \2\ (the ``GLBA'') amended Section 17 of the Securities Exchange Act of 1934 to create a regulatory framework under which a holding company of a brokerdealer (``investment bank holding company'' or ``IBHC'') may voluntarily be supervised by the Commission as a supervised investment bank holding company (or ``SIBHC'').\3\ In 2004, the Commission promulgated rules, including ]]> http://thefederalregister.com/d.p/2009-10-23-E9-25484 Fri, Oct 23 2009 11:00:00 GMT http://thefederalregister.com/d.p/2009-10-23-E9-25485

Extension:

Rule 17i4, SEC File No. 270530, OMB Control No. 32350594.

Notice is hereby given that pursuant to the Paperwork Reduction Act of 1995 \1\ the Securities and Exchange Commission (``Commission'') has submitted to the Office of Management and Budget requests for extension of the previously approved collections of information discussed below. The Code of Federal Regulations citation to this collection of information is the following: 17 CFR 240.17i4.

\1\ 44 U.S.C. 3501 et seq.

Section 231 of the GrammLeachBliley Act of 1999 \2\ (the ``GLBA'') amended Section 17 of the Securities Exchange Act of 1934 to create a regulatory framework under which a holding company of a brokerdealer (``investment bank holding company'' or ``IBHC'') may voluntarily be supervised by the Commission as a supervised investment bank holding compan ]]> http://thefederalregister.com/d.p/2009-10-23-E9-25485 Fri, Oct 23 2009 11:00:00 GMT http://thefederalregister.com/d.p/2009-10-21-E9-25232 ]]> http://thefederalregister.com/d.p/2009-10-21-E9-25232 Wed, Oct 21 2009 11:00:00 GMT http://thefederalregister.com/d.p/2009-10-21-E9-25206

Notice is hereby given that, pursuant to the Paperwork Reduction Act of 1995 (44 U.S.C. 3501 et seq.), the Securities and Exchange Commission (the ``Commission'') is soliciting comments on the collection of information summarized below. The Commission plans to submit this existing collection of information to the Office of Management and Budget for extension and approval.

The Investment Company Act of 1940, as amended (``1940 Act'') (15 U.S.C.
[[Page 54110]]
80a1 et seq.), requires investment companies to register with the Commission before they conduct any business in interstate commerce. Section 8(a) of the 1940 Act provides that an investment company shall be deemed to be registered upon receipt by the Commission of a notification of registration in such form as the Commission prescribes. Form N8A (17 CFR 274.10) is the form for notificati ]]> http://thefederalregister.com/d.p/2009-10-21-E9-25206 Wed, Oct 21 2009 11:00:00 GMT http://thefederalregister.com/d.p/2009-10-21-E9-25207

Notice is hereby given that pursuant to the Paperwork Reduction Act of 1995 (44 U.S.C. 3501 et seq.), the Securities and Exchange Commission (``Commission'') has submitted to the Office of Management and Budget a request for extension of the existing collection of information provided for in Rule 17f2(a) (17 CFR 240.17f2(a)) under the Securities Exchange Act of 1934 (15 U.S.C. 78a et seq.) (``Exchange Act'').

Rule 17f2 (17 CFR 240.17f2) under the Securities Exchange Act of 1934 (15 U.S.C. 78a et seq.) requires that securities professionals be fingerprinted. This requirement serves to identify security risk personnel, to allow an employer to make fully informed employment decisions, and to deter possible wrongdoers from seeking employment in the securities industry. Partners, directors, officers, and employees of exchanges, broker, dealers, ]]> http://thefederalregister.com/d.p/2009-10-21-E9-25207 Wed, Oct 21 2009 11:00:00 GMT http://thefederalregister.com/d.p/2009-10-21-E9-25208

Notice is hereby given that, pursuant to the Paperwork Reduction Act of 1995 (44 U.S.C. 3501 et seq.), the Securities and Exchange Commission (the ``Commission'') has submitted to the Office of Management and Budget a request for extension of the previously approved collection of information discussed below.

Rule 38a1 (17 CFR 270.38a1) under the Investment Company Act of 1940 (15 U.S.C. 80a) (``Investment Company Act'') is intended to protect investors by fostering better fund compliance with securities laws. The rule requires every registered investment company and business development company (``fund'') to: (i) Adopt and implement written policies and procedures reasonably designed to prevent violations of the Federal securities laws by the fund, including procedures for oversight of compliance by each investment adviser, principal under ]]> http://thefederalregister.com/d.p/2009-10-21-E9-25208 Wed, Oct 21 2009 11:00:00 GMT http://thefederalregister.com/d.p/2009-10-19-E9-25115

Extension:

Form N5, SEC File No. 270172, OMB Control No. 32350169.

Notice is hereby given that, pursuant to the Paperwork Reduction Act of 1995 (44 U.S.C. 3501 et seq.), the Securities and Exchange Commission (the ``Commission'') is soliciting comments on the collection of information summarized below. The Commission plans to submit this existing collection of information to the Office of Management and Budget for extension and approval.

Form N5 (17 CFR 239.24 and 274.5)Registration Statement of Small Business Investment Companies Under the Securities Act of 1933 (15 U.S.C. 77a et seq.) and the Investment Company Act of 1940 (15 U.S.C. 80a1 et seq.) Form N5 is the integrated registration statement form adopted by the Commission for use by a small business investment company which has been licensed as such under the Small Business Inve ]]> http://thefederalregister.com/d.p/2009-10-19-E9-25115 Mon, Oct 19 2009 11:00:00 GMT http://thefederalregister.com/d.p/2009-10-16-E9-25037

Notice is hereby given, pursuant to the provisions of the Government in the Sunshine Act, Public Law 94409, that the Securities and Exchange Commission will hold a Closed Meeting on Thursday, October 22, 2009 at 2:30 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 his designee, has certified that, in his 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), (5), (7), 9(ii) and (10), permit consideration of the scheduled matters at the Closed Meeting.

Commissioner Paredes, as duty officer, voted to consider the items listed for the Closed Meeting in a closed session.

The subject matter of the Closed Meeting scheduled for Thursday, October 22, 2009 will be:
institution and settlement of injunctive act ]]> http://thefederalregister.com/d.p/2009-10-16-E9-25037 Fri, Oct 16 2009 11:00:00 GMT http://thefederalregister.com/d.p/2009-10-16-E9-25048

Notice is hereby given, pursuant to the provisions of the Government in the Sunshine Act, Public Law 94409, that the Securities and Exchange Commission will hold an Open Meeting on October 21, 2009, at 10 a.m., in the Auditorium, Room L002.

The subject matter of the Open Meeting will be:

The Commission will consider recommendations to propose amendments to the regulatory requirements that apply to nonpublic trading interest, including socalled ``dark pools'' of liquidity. The recommended proposals are to: (1) Amend the definition of ``bid'' or ``offer '' in Regulation NMS under the Securities Exchange Act of 1934 (``Exchange Act'') to address actionable indications of interest; (2) amend the display obligations of alternative trading systems in Regulation ATS under the Exchange Act; and (3) amend the jointindustry plans for disseminating consolidated trade data.

At times, changes in Commission priorities require alterations in the scheduling of meeting items.

For further info ]]> http://thefederalregister.com/d.p/2009-10-16-E9-25048 Fri, Oct 16 2009 11:00:00 GMT http://thefederalregister.com/d.p/2009-10-15-E9-24713 ]]> http://thefederalregister.com/d.p/2009-10-15-E9-24713 Thu, Oct 15 2009 11:00:00 GMT http://thefederalregister.com/d.p/2009-10-14-E9-24630

Extension:

Form T1; OMB Control No. 32350110; SEC File No. 270121.

Notice is hereby given that, pursuant to the Paperwork Reduction Act of 1995 (44 U.S.C. 3501 et seq.), the Securities and Exchange Commission (``Commission'') has submitted to the Office of Management and Budget this request for extension of the previously approved collection of information discussed below.

Form T1 (17 CFR 269.1) is a statement of eligibility and qualification under the Trust Indenture Act of 1939 (15 U.S.C. 77aaa et seq.) of a corporation designated to act as a trustee. The information is used to determine whether the trustee is qualified to serve under the indenture. Form T1 is filed on occasion. The information required by Form T1 is mandatory. This information is publicly available on EDGAR. Form T1 takes approximately 15 hours per response to prepare ]]> http://thefederalregister.com/d.p/2009-10-14-E9-24630 Wed, Oct 14 2009 11:00:00 GMT http://thefederalregister.com/d.p/2009-10-14-E9-24631 Extension: Form T2; OMB Control No. 32350111; SEC File No. 270 122.

Notice is hereby given that, pursuant to the Paperwork Reduction Act of 1995 (44 U.S.C. 3501 et seq.), the Securities and Exchange Commission (``Commission'') has submitted to the Office of Management and Budget this request for extension of the previously approved collection of information discussed below.

Form T2 (17 CFR 269.2) is a statement of eligibility of an individual designated to act as a trustee. The information is used to determine whether the trustee is qualified to serve under the indenture. Form T2 is filed on occasion. The information required by Form T2 is mandatory. This information is publicly available on EDGAR. Form T2 takes approximately 9 hours per response to prepare and is filed by approximately 36 respondents. We estimate that 25% of the 9 hours pe ]]> http://thefederalregister.com/d.p/2009-10-14-E9-24631 Wed, Oct 14 2009 11:00:00 GMT http://thefederalregister.com/d.p/2009-10-14-E9-24632

Extension:

Form T3; OMB Control No. 32350105; SEC File No. 270123.

Notice is hereby given that pursuant to the Paperwork Reduction Act of 1995 (44 U.S.C. 3501 et seq.) the Securities and Exchange Commission (``Commission'') has submitted to the Office of Management and Budget this request for extension of the previously approved collections of information discussed below.

Form T3 (17 CFR 269.3) is an application for qualification of an indenture under the Trust Indenture Act of 1939 (15 U.S.C. 77aaa et seq.). The information provided by Form T3 is used by the staff to decide whether to qualify an indenture relating to securities offered to the public in an offering registered under the Securities Act of 1933 (15 U.S.C. 77a et seq.). Form T3 is filed on occasion. The information required by Form T3 is mandatory. This information is publi ]]> http://thefederalregister.com/d.p/2009-10-14-E9-24632 Wed, Oct 14 2009 11:00:00 GMT http://thefederalregister.com/d.p/2009-10-14-E9-24633

Extension:

Form T4; OMB Control No. 32350107 ; SEC File No. 270124.

Notice is hereby given that pursuant to the Paperwork Reduction Act of 1995 (44 U.S.C. 3501 et seq.) the Securities and Exchange Commission (``Commission'') has submitted to the Office of Management and Budget this request for extension of the previously approved collections of information discussed below.

Form T4 (17 CFR 269.4) is used to apply for an exemption under Section 304(c) (15 U.S.C. 77ddd(c)) of the Trust Indenture Act of 1939 (15 U.S.C. 77aaa et seq.). Form T4 is filed on occasion. The information required by Form T4 is mandatory. This information is publicly available on EDGAR. Form T4 takes approximately 5 hours per response to prepare and is filed by approximately 3 respondents. We estimate that 25% of the 5 hours per response (1 hour) is prepared by the ]]> http://thefederalregister.com/d.p/2009-10-14-E9-24633 Wed, Oct 14 2009 11:00:00 GMT http://thefederalregister.com/d.p/2009-10-13-E9-24702

Notice is hereby given, pursuant to the provisions of the Government in the Sunshine Act, Public Law 94409, that the Securities and Exchange Commission will hold a Closed Meeting on Thursday, October 15, 2009 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 his designee, has certified that, in his 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), (5), (7), 9(ii) and (10), permit consideration of the scheduled matters at the Closed Meeting.

Commissioner Aguilar, as duty officer, voted to consider the items listed for the Closed Meeting in a closed session.

The subject matter of the Closed Meeting scheduled for Thursday, October 15, 2009 will be:

Institution and settlement of injunctive ac ]]> http://thefederalregister.com/d.p/2009-10-13-E9-24702 Tue, Oct 13 2009 11:00:00 GMT http://thefederalregister.com/d.p/2009-10-09-E9-24357 Extension: Form N6, SEC File No. 270446, OMB Control No. 3235 0503.

Notice is hereby given that, pursuant to the Paperwork Reduction Act of 1995 (44 U.S.C. 3501 et seq.), the Securities and Exchange Commission (the ``Commission'') has submitted to the Office of Management and Budget a request for extension of the previously approved collection of information discussed below.

The title for the collection of information is ``Form N6 (17 CFR 239.17c and 274.11d) under the Securities Act of 1933 (15 U.S.C. 77a et seq.) and under the Investment Company Act of 1940 (15 U.S.C. 80a1 et seq.) registration statement of separate accounts organized as unit investment trusts that offer variable life insurance policies.'' Form N6 is the form used by insurance company separate accounts organized as unit investment trusts that offer variable life insurance ]]> http://thefederalregister.com/d.p/2009-10-09-E9-24357 Fri, Oct 9 2009 11:00:00 GMT http://thefederalregister.com/d.p/2009-10-09-E9-24358 Extension: Rule 204; OMB Control No. 32350647; SEC File No. 270 586.

Notice is hereby given that pursuant to the Paperwork Reduction Act of 1995 (44 U.S.C. 3501 et seq.), the Securities and Exchange Commission (``Commission'') has submitted to the Office of Management and Budget a request for extension of the previously approved collection of information provided for in Rule 204 (17 CFR
[[Page 52277]]
242.204) under the Securities Exchange Act of 1934 (15 U.S.C. 78a et seq.).

Rule 204 requires that, subject to certain limited exceptions, if a participant of a registered clearing agency has a fail to deliver position at a registered clearing agency it must immediately close out the fail to deliver position by purchasing or borrowing securities by no later than the beginning of regular trading hours on the settlement day following the day the ]]> http://thefederalregister.com/d.p/2009-10-09-E9-24358 Fri, Oct 9 2009 11:00:00 GMT http://thefederalregister.com/d.p/2009-10-08-E9-24269 Extension: Rule 30e1, SEC File No. 27021, OMB Control No. 3235 0025.

Notice is hereby given that, pursuant to the Paperwork Reduction Act of 1995 (44 U.S.C. 3501 et seq.), the Securities and Exchange Commission (the ``Commission'') is soliciting comments on the collection of information summarized below. The Commission plans to submit this existing collection of information to the Office of Management and Budget for extension and approval.

This notice supersedes the notice regarding the comment request on the collection of information, ``Rule 30e1 (CFR 270.30e1) under the Investment Company Act of 1940, (15 U.S.C. 80a1 et seq.) Reports to Stockholders of Management Companies'' published in the Federal Register on July 30, 2009 (74 FR 38065) because the methodology of calculating the burden of the collection of information has been revised. ]]> http://thefederalregister.com/d.p/2009-10-08-E9-24269 Thu, Oct 8 2009 11:00:00 GMT http://thefederalregister.com/d.p/2009-10-06-E9-23995

Extension:

Rule 30b16T, SEC File No. 270599, OMB Control No. 32350652.

Notice is hereby given that pursuant to the Paperwork Reduction Act of 1995 (44 U.S.C. 3501 et seq.), the Securities and Exchange Commission (the ``Commission'') is soliciting comments on the collection of information summarized below. The Commission plans to submit this existing collection of information to the Office of Management and Budget for extension and approval.

Rule 30b16T (17 CFR 270.30b16T) under the Investment Company Act of 1940 (the ``Act'') is entitled: ``Weekly Portfolio Report for Certain Money Market Funds.'' The rule requires that if the market based net asset value (``marketbased NAV'') of a registered investment company, or series thereof, that is regulated as a money market fund under rule 2a7 (17 CFR 270.2a7) on any business day is less than $. ]]> http://thefederalregister.com/d.p/2009-10-06-E9-23995 Tue, Oct 6 2009 11:00:00 GMT http://thefederalregister.com/d.p/2009-10-06-E9-23996

Extension:

Rule 17f1(b), OMB Control No. 32350032; SEC File No. 27028.

Notice is hereby given that pursuant to the Paperwork Reduction Act of 1995 (44 U.S.C. 3501 et seq.) the Securities and Exchange Commission (``Commission'') has submitted to the Office of Management and Budget a request for approval of extension of the existing collection of information provided for in the following rule: Rule 17f1(b) (17 CFR 240.17f1(b)) under the Securities Exchange Act of 1934 (15 U.S.C. 78a et seq.) (the ``Exchange Act'').

Rule 17f1(b) under the Exchange Act requires approximately 26,000 entities in the securities industry to register in the Lost and Stolen Securities Program (``Program''). Registration fulfills a statutory requirement that entities report and inquire about missing, lost, counterfeit, or stolen securities. Registration also allows ]]> http://thefederalregister.com/d.p/2009-10-06-E9-23996 Tue, Oct 6 2009 11:00:00 GMT http://thefederalregister.com/d.p/2009-10-06-E9-23993

Extension:

Rule 15c31, OMB Control No. 32350200, SEC File No. 270197.

Notice is hereby given that pursuant to the Paperwork Reduction Act of 1995 (44 U.S.C. 3501 et seq.), the Securities and Exchange Commission (``Commission'') is soliciting comments on the collection of information summarized below. The Commission plans to submit this existing collection of information to the Office of Management and Budget for extension and approval.

Rule 15c31 (17 CFR 240.15c31) under the Securities Exchange Act of 1934 (15 U.S.C. 78a et seq.) requires brokers and dealers to have at all times sufficient liquid assets to meet their current liabilities, particularly the claims of customers. The rule facilitates monitoring the financial condition of brokers and dealers by the Commission and the various selfregulatory organizations. It is estimated that t ]]> http://thefederalregister.com/d.p/2009-10-06-E9-23993 Tue, Oct 6 2009 11:00:00 GMT http://thefederalregister.com/d.p/2009-10-05-E9-24026

Notice is hereby given, pursuant to the provisions of the Government in the Sunshine Act, Public Law 94409, that the Securities and Exchange Commission will hold a Closed Meeting on Thursday, October 8, 2009 at 11 a.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 his designee, has certified that, in his 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), (5), (7), 9(ii) and (10), permit consideration of the scheduled matters at the Closed Meeting.

Commissioner Casey, as duty officer, voted to consider the items listed for the Closed Meeting in a closed session.

The subject matter of the Closed Meeting scheduled for Thursday, October 8, 2009 will be:
Institution and settlement of injunctive actions; ]]> http://thefederalregister.com/d.p/2009-10-05-E9-24026 Mon, Oct 5 2009 11:00:00 GMT http://thefederalregister.com/d.p/2009-10-01-E9-23669

The following is a notice of applications for deregistration under section 8(f) of the Investment Company Act of 1940 for the month of September, 2009. A copy of each application may be obtained via the Commission's Web site by searching for the file number, or an applicant using the Company name box, at http://www.sec.gov/search/search.htm or by calling (202) 5518090. An order granting each application will be issued unless the SEC orders a hearing. Interested persons may request a hearing on any application by writing to the SEC's Secretary at the address below and serving the relevant applicant with a copy of the request, personally or by mail. Hearing requests should be received by the SEC by 5:30 p.m. on October 20, 2009, and should be accompanied by proof of service on the applicant, in the form of an affidavit or, for lawyers, a ce ]]> http://thefederalregister.com/d.p/2009-10-01-E9-23669 Thu, Oct 1 2009 11:00:00 GMT http://thefederalregister.com/d.p/2009-10-01-E9-23730 Applicants: Ridgewood Capital Energy Growth Fund, LLC (the ``Company''), Ridgewood Capital Fund IV, LLC, Ridgewood Capital Fund IVB, LLC, Ridgewood Capital Fund IVC, LLC, Ridgewood Capital QP Fund IV, LLC, Ridgewood Capital QP Fund IVB, LLC, Ridgewood Capital QP Fund IVC, LLC, Ridgewood QP Fund III LLC, and Ridgewood Venture Fund III LLC (each individually, a ``Fund'' and collectively, the ``Funds''), and Ridgewood Capital Management, LLC (the ``Adviser'').
Filing Dates: The application was filed on August 25, 2008 and amended on February 6, 2009, June 4, 2009, and September 24, 2009.
Hearing or Notification of Hearing: An order granting the requested relief will be issued unless the Commission orders a hearing. Interested persons may request a hearing by writing to the Commission's Secretary and serving applicants ]]> http://thefederalregister.com/d.p/2009-10-01-E9-23730 Thu, Oct 1 2009 11:00:00 GMT http://thefederalregister.com/d.p/2009-10-01-E9-23805

It appears to the Securities and Exchange Commission that there is a lack of current and accurate information concerning the securities of Consumers Financial Corporation because it has not filed any periodic reports since the period ended December 31, 2005.

The Commission is of the opinion that the public interest and the protection of investors require a suspension of trading in the securities of the abovelisted company.

Therefore, it is ordered, pursuant to Section 12(k) of the Securities Exchange Act of 1934, that trading in the securities of the abovelisted company is suspended for the period from 9:30 a.m. EDT, on September 29, 2009, through 11:59 p.m. EDT, on October 12, 2009. [[Page 50852]]

By the Commission.
Florence E. Harmon,
Deputy Secretary.
[FR Doc. E923805 Filed 92909; 4:15 pm]
BILLING CODE 801101P ]]> http://thefederalregister.com/d.p/2009-10-01-E9-23805 Thu, Oct 1 2009 11:00:00 GMT http://thefederalregister.com/d.p/2009-10-01-E9-23624

On August 10, 2009, the Chicago Board Options Exchange, Incorporated (``CBOE'') filed with the Securities and Exchange Commission (``Commission''), pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (``Act'') \1\ and Rule 19b4 thereunder,\2\ a proposed rule change to eliminate Rule 6.73(d) and its requirement to orally identify a MarketMaker or a Specialist order in open outcry before requesting a quote. The proposed rule change was published for comment in the Federal Register on August 19, 2009.\3\ The Commission received no comments on the proposal. This order approves the proposed rule change.
\1\ 15 U.S.C. 78s(b)(1).
\2\ 17 CFR 240.19b4.
\3\ See Securities Exchange Act Release No. 60491 (August 12, 2009), 74 FR 41953.

The Commission finds that the proposed rule change is consistent with the requirements of the Act and the rules and regulations thereunder applicable to a national securities exchange.\4\ In particular, the Commission fi ]]> http://thefederalregister.com/d.p/2009-10-01-E9-23624 Thu, Oct 1 2009 11:00:00 GMT http://thefederalregister.com/d.p/2009-10-01-E9-23623

Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (``Act''),\1\ notice is hereby given that on August 28, 2009, The Depository Trust Company (``DTC'') filed with the Securities and Exchange Commission (``Commission'') the proposed rule change described in Items I, II, and III below, which items have been prepared primarily by DTC. DTC filed the proposal pursuant to Section 19(b)(3)(A)(iii) of the Act \2\ and Rule 19b4(f)(4) \3\ thereunder so that the proposal was effective upon filing with the Commission. The Commission is publishing this notice to solicit comments on the rule change from interested parties.
\1\ 15 U.S.C. 78s(b)(1).
\2\ 15 U.S.C. 78s(b)(3)(A)(iii).
\3\ 17 CFR 240.19b4(f)(4).
I. SelfRegulatory Organization's Statement of the Terms of Substance of the Proposed Rule Change

The proposed rule change establishes technical changes which are nonsubstantive in nature and are to support the industry wide Options Symbology Initiative ]]> http://thefederalregister.com/d.p/2009-10-01-E9-23623 Thu, Oct 1 2009 11:00:00 GMT http://thefederalregister.com/d.p/2009-10-01-E9-23699

Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (``Exchange Act'') \1\ and Rule 19b4 thereunder,\2\ notice is hereby given that on September 21, 2009, Financial Industry Regulatory Authority, Inc. (``FINRA'') 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 FINRA. FINRA has designated the proposed rule change as constituting a ``noncontroversial'' rule change under paragraph (f)(6) of Rule 19b4 under the Act,\3\ which renders the proposal effective upon receipt of this filing by the Commission. The Commission is
[[Page 50857]]
publishing this notice to solicit comments on the proposed rule change from interested persons.
\1\ 15 U.S.C. 78s(b)(1).
\2\ 17 CFR 240.19b4.
\3\ 17 CFR 240.19b4(f)(6).
I. SelfRegulatory Organization's Statement of the Terms of Substance of the Proposed Rule Change

FINRA is proposing to exten ]]> http://thefederalregister.com/d.p/2009-10-01-E9-23699 Thu, Oct 1 2009 11:00:00 GMT http://thefederalregister.com/d.p/2009-10-01-E9-23701

On August 6, 2009, the Municipal Securities Rulemaking Board (``MSRB''), filed with the Securities and Exchange Commission (``Commission'' or ``SEC''), pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934
[[Page 50856]]
(``Act''),\1\ and Rule 19b4 thereunder,\2\ a proposed rule change to amend Rule G11(i) (settlement of syndicate or similar account), Rule G11(j) (payment of designations), and Rule G12(i) (settlement of joint or similar account). The proposed rule change was published for comment in the Federal Register on August 18, 2009.\3\ The Commission received one comment letter about the proposed rule change.\4\ On September 22, 2009, the MSRB filed a response to the comment letter.\5\ This order approves the proposed rule change.
\1\ 15 U.S.C. 78s(b)(1).
\2\ 17 CFR 240.19b4.
\3\ See Securities Exchange Act Release No. 60487 (Aug. 12, 2009), 74 FR 41771 (August 18, 2009) (``Commission's Notice''). \4\ See letter from Michael Decker and M ]]> http://thefederalregister.com/d.p/2009-10-01-E9-23701 Thu, Oct 1 2009 11:00:00 GMT http://thefederalregister.com/d.p/2009-10-01-E9-23625

On July 29, 2009, NYSE Arca, Inc. (``NYSE Arca'' or ``Exchange'') filed with the Securities and Exchange Commission (``Commission''), pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (``Act'')\1\ and Rule 19b4 thereunder,\2\ a proposed rule change amending NYSE Arca Rule 10.12 (Minor Rule Plan) (``MRP'') to incorporate additional violations into the MRP, and to increase the fine levels for certain MRP violations. The proposed rule change was published for comment in the Federal Register on August 24, 2009.\3\ The Commission received no comments regarding the proposal. This order approves the proposed rule change.
\1\ 15 U.S.C. 78s(b)(1).
\2\ 17 CFR 240.19b4.
\3\ See Securities Exchange Act Release No. 60518 (August 18, 2009), 74 FR 42725 (``Notice'').

The Exchange proposes to amend its MRP to incorporate violations for trading in restricted classes, and failure to report position and account information. Specifically, the Exchange propose ]]> http://thefederalregister.com/d.p/2009-10-01-E9-23625 Thu, Oct 1 2009 11:00:00 GMT http://thefederalregister.com/d.p/2009-10-01-E9-23626

On August 12, 2009, NYSE Arca, Inc. (``NYSE Arca'' or ``Exchange''), through its wholly owned subsidiary, NYSE Arca Equities, Inc. (``NYSE Arca Equities''), filed with the Securities and Exchange Commission (``Commission''), pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (``Act'') \1\ and Rule 19b4 thereunder,\2\ a proposed rule change to list and trade shares (``Shares'') of the following Grail Advisors activelymanaged exchange traded funds: RP Growth ETF, RP Focused Large Cap Growth ETF, RP Technology ETF and the RP Financials
[[Page 50854]]
ETF (each an ``ETF'' or ``Fund'' and collectively the ``ETFs or ``Funds''). The proposed rule change was published in the Federal Register on August 28, 2009.\3\ The Commission received no comments on the proposal. On September 21, 2009, the Exchange filed Amendment No. 1.\4\ This order provides notice of the filing of Amendment No. 1, and approves the proposed rule change, as modified by Amendment No. 1, on an ]]> http://thefederalregister.com/d.p/2009-10-01-E9-23626 Thu, Oct 1 2009 11:00:00 GMT http://thefederalregister.com/d.p/2009-10-01-E9-23698

Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (the ``Act''),\1\ and Rule 19b4 thereunder,\2\ notice is hereby given that on September 23, 2009, NYSE Arca, Inc. (``NYSE Arca'' or the ``Exchange'') filed with the Securities and Exchange
[[Page 50859]]
Commission (the ``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 U.S.C. 78s(b)(1).
\2\ 17 CFR 240.19b4.
I. SelfRegulatory Organization's Statement of the Terms of Substance of the Proposed Rule Change

The Exchange proposes to amend Commentary .04 to Rule 6.4 Series of Options Open for Trading in order to establish strike price intervals of $0.50, beginning at $1, for certain options classes whose underlying security closed at or below $3 in its primary market on the previous trading day. The text of ]]> http://thefederalregister.com/d.p/2009-10-01-E9-23698 Thu, Oct 1 2009 11:00:00 GMT http://thefederalregister.com/d.p/2009-10-01-E9-23622

On December 24, 2008, in connection with its efforts to facilitate the establishment of one or more central counterparties for clearing credit default swap (``CDS'') transactions,\1\ the Securities and Exchange Commission (``Commission'') granted temporary, conditional exemptions from the registration requirements under Sections 5 and 6 of the Securities Exchange Act of 1934 (``Exchange Act'') to certain exchanges and brokerdealers (``December Order'').\2\ Subject to conditions specified in the December Order, any exchange that effects or reports transactions in CDS that are not swap agreements (``non excluded CDS'') \3\ and is not otherwise subject to the requirements under Sections 5 and 6 of the Exchange Act,\4\ and the rules and regulations thereunder, is exempt from the requirement to register as a national securities exchange.\5\ In addition, any broker or dealer that effects or reports transactions in nonexcluded CDS on such an exchange is exempt from the prohibiti ]]> http://thefederalregister.com/d.p/2009-10-01-E9-23622 Thu, Oct 1 2009 11:00:00 GMT http://thefederalregister.com/d.p/2009-09-30-E9-23492

Upon written request, copies available from: Securities and Exchange Commission, Office of Investor Education and Advocacy, Washington, DC 205490123.
Extension: Rule 17a25, OMB Control No. 32350540, SEC File No. 270 482.

Notice is hereby given that pursuant to the Paperwork Reduction Act of 1995 (44 U.S.C. 3501 et seq.), the Securities and Exchange Commission (``Commission'') is soliciting comments on the existing collection of information provided for in the following rule: Rule 17a 25 (17 CFR 240.17a25) under the Securities Exchange Act of 1934 (15 U.S.C. 78a et seq.) (``Exchange Act'').

Paragraph (a)(1) of Rule 17a25 requires registered brokerdealers to electronically submit securities transaction information, including identifiers for prime brokerage arrangements, average price accounts, and depository institutions, in a standardized format when requested by the Commission staff. In addition, paragraph (a)(3)(c) of Rule 17a25 requires brokerdealers to submit, and keep current, cont ]]> http://thefederalregister.com/d.p/2009-09-30-E9-23492 Wed, Sep 30 2009 11:00:00 GMT http://thefederalregister.com/d.p/2009-09-29-E9-23494

Extension:

Rule 17Ad4(b) and (c), OMB Control No. 32350341, SEC File No. 270264.

Notice is hereby given that pursuant to the Paperwork Reduction Act of 1995 (44 U.S.C. 3501 et seq.), the Securities and Exchange Commission (``Commission'') has submitted to the Office of Management and Budget a request for extension of the previously approved collection of information provided for in Rule 17Ad4(b) and (c) (17 CFR 240.17Ad4(b) and (c)) of the Securities Exchange Act of 1934 (15 U.S.C. 78a et seq.).

Rule 17Ad4(b) and (c) is used to document when transfer agents are exempt or no longer exempt from some of the Commission's transfer agent rules. Depending on which federal government organization is the transfer agent's appropriate regulatory agency (``ARA''), Rule 17Ad 4(b)(3) requires an exempt transfer agent to either prepare and maintain or ]]> http://thefederalregister.com/d.p/2009-09-29-E9-23494 Tue, Sep 29 2009 11:00:00 GMT http://thefederalregister.com/d.p/2009-09-29-E9-23496

Extension:

Rule 30e2, SEC File No. 270437, OMB Control No. 32350494.

Notice is hereby given that, under the Paperwork Reduction Act of 1995 (44 U.S.C. 350l et seq.), (the ``Paperwork Reduction Act'') the Securities and Exchange Commission (the ``Commission'') has submitted to the Office of Management and Budget a request for extension of the previously approved collection of information discussed below.

Section 30(e) of the Investment Company Act of 1940 (15 U.S.C. 80a 29(e)) (the ``Investment Company Act'') and Rule 30e2 \1\ (17 CFR 270.30e2) thereunder require registered unit investment trusts (``UITs'') that invest substantially all of their assets in securities of a management investment company \2\ (``fund'') to send to shareholders at least semiannually a report containing certain financial statements and other information. Specific ]]> http://thefederalregister.com/d.p/2009-09-29-E9-23496 Tue, Sep 29 2009 11:00:00 GMT http://thefederalregister.com/d.p/2009-09-28-E9-23308

Extension:

Form N4, SEC File No. 270282, OMB Control No. 32350318.

Notice is hereby given that, pursuant to the Paperwork Reduction Act of 1995 (44 U.S.C. 3501 et seq.), the Securities and Exchange Commission (the ``Commission'') has submitted to the Office of Management and Budget a request for extension of the previously approved collection of information discussed below.

The collection of information is entitled: ``Form N4 (17 CFR 239.17b and 274.11c) under the Securities Act of 1933 (15 U.S.C. 77a et seq.) and under the Investment Company Act of 1940 (15 U.S.C. 80a1 et seq.) registration statement of separate accounts organized as unit investment trusts.'' Form N4 is the form used by insurance company separate accounts organized as unit investment trusts that offer variable annuity contracts to register as investment companies under ]]> http://thefederalregister.com/d.p/2009-09-28-E9-23308 Mon, Sep 28 2009 11:00:00 GMT http://thefederalregister.com/d.p/2009-09-25-E9-23373

Notice is hereby given, pursuant to the provisions of the Government in the Sunshine Act, Public Law 94409, that the Securities and Exchange Commission will hold a Closed Meeting on Thursday, October 1, 2009 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 his designee, has certified that, in his 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), (5), (7), 9(ii) and (10), permit consideration of the scheduled matters at the Closed Meeting.

Commissioner Walter, as duty officer, voted to consider the items listed for the Closed Meeting in a closed session.

The subject matter of the Closed Meeting scheduled for Thursday, October 1, 2009 will be:
Institution and settlement of injunctive actions; ]]> http://thefederalregister.com/d.p/2009-09-25-E9-23373 Fri, Sep 25 2009 11:00:00 GMT http://thefederalregister.com/d.p/2009-09-23-E9-23016

Notice is hereby given, pursuant to the provisions of the Government in the Sunshine Act, Public Law 94409, that the Securities and Exchange Commission Investor Advisory Committee will hold an Open Meeting on Monday, October 5, 2009, in the Multipurpose Room, L006. The meeting will begin at 9 a.m. and will be open to the public, with seating on a firstcome, firstserved basis. Doors will open at 8:30 a.m. Visitors will be subject to security checks.

On September 15, 2009, the Commission issued notice of the Committee meeting (Release No. 339064), indicating that the meeting is open to the public and inviting the public to submit written comments to the Committee. This Sunshine Act notice is being issued because a majority of the Commission may attend the meeting. The agenda for the meeting includes: (i) A presentation by SEC staff of potential Commission initiatives; (ii) description of the composition and purpose of the Committee's subcommittees; (iii) consideration of a Committee recus ]]> http://thefederalregister.com/d.p/2009-09-23-E9-23016 Wed, Sep 23 2009 11:00:00 GMT http://thefederalregister.com/d.p/2009-09-23-E9-23017

Notice is hereby given, pursuant to the provisions of the Government in the Sunshine Act, Public Law 94409, that the Securities and Exchange Commission will hold a Closed Meeting on Thursday, September 24, 2009 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 his designee, has certified that, in his 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), (5), (7), 9(ii) and (10), permit consideration of the scheduled matters at the Closed Meeting.

Commissioner Casey, as duty officer, voted to consider the items listed for the Closed Meeting in a closed session, and determined that no earlier notice thereof was possible.

The subject matter of the Closed Meeting scheduled for Thursday, September 24 ]]> http://thefederalregister.com/d.p/2009-09-23-E9-23017 Wed, Sep 23 2009 11:00:00 GMT http://thefederalregister.com/d.p/2009-09-23-E9-22830

Federal Register Citation of Previous Announcement: 74 FR 47300, September 15, 2009.

Status: Open Meeting.

Place: 100 F. Street, NE., Washington, DC.

Date and Time of Previously Announced Meeting: September 17, 2009.

Change in the Meeting: Room Change.

The Open Meeting scheduled for Thursday, September 17, 2009 at 2:30 p.m. will be held in the Auditorium, Room L002.

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) 5515400.

Dated: September 17, 2009.
Elizabeth M. Murphy,
Secretary.
[FR Doc. E922830 Filed 92209; 8:45 am]
BILLING CODE 801001P ]]> http://thefederalregister.com/d.p/2009-09-23-E9-22830 Wed, Sep 23 2009 11:00:00 GMT http://thefederalregister.com/d.p/2009-09-23-E9-22900 ]]> http://thefederalregister.com/d.p/2009-09-23-E9-22900 Wed, Sep 23 2009 11:00:00 GMT http://thefederalregister.com/d.p/2009-09-23-E9-22878 Extension: Rule 206(3)2, SEC File No. 270216, OMB Control No. 32350243.

Notice is hereby given that, pursuant to the Paperwork Reduction Act of 1995 (44 U.S.C. 3501 et seq.) the Securities and Exchange Commission (the ``Commission'') has submitted to the Office of Management and Budget a request for extension of the previously approved collection of information discussed below.

Rule 206(3)2, (17 CFR 275.206(3)2) which is entitled ``Agency Cross Transactions for Advisory Clients,'' permits investment advisers to comply with section 206(3) of the Investment Advisers Act of 1940 (the ``Act'') (15 U.S.C. 80b6(3)) by obtaining a client's blanket consent to enter into agency cross transactions (i.e., a transaction in which an adviser acts as a broker to both the advisory client and the opposite party to the transaction). Rule 206(3)2 applies to a ]]> http://thefederalregister.com/d.p/2009-09-23-E9-22878 Wed, Sep 23 2009 11:00:00 GMT http://thefederalregister.com/d.p/2009-09-23-E9-22879

Extension:

Rule 8b1 to 8b33, SEC File No. 270135, OMB Control No. 3235 0176.

Notice is hereby given that, pursuant to the Paperwork Reduction Act of 1995
(44 U.S.C. 3501 et seq.), the Securities and Exchange Commission (the ``Commission'') has submitted to the Office of Management and Budget a request for extension of the previously approved collection of information discussed below.

Rules 8b1 to 8b33 (17 CFR 270.8b1 to 8b33) under the Investment Company Act of 1940 (15 U.S.C. 80a1 et seq.) (the ``Act'') are the procedural rules an investment company must follow when preparing and filing a registration statement. These rules were adopted to standardize the mechanics of registration under the Act and to provide more specific guidance for persons registering under the Act than the information contained in the statute. For the most part ]]> http://thefederalregister.com/d.p/2009-09-23-E9-22879 Wed, Sep 23 2009 11:00:00 GMT http://thefederalregister.com/d.p/2009-09-17-E9-22389 ]]> http://thefederalregister.com/d.p/2009-09-17-E9-22389 Thu, Sep 17 2009 11:00:00 GMT http://thefederalregister.com/d.p/2009-09-16-E9-22247

Extension: Form T6, OMB Control No. 32350391, SEC File No. 270344.

Notice is hereby given that, pursuant to the Paperwork Reduction Act of 1995 (44 U.S.C. 3501 et seq.), the Securities and Exchange Commission (``Commission'') has submitted to the Office of Management and Budget a request for extension of the previously approved collection of information discussed below.

Form T6 (17 CFR 269.9) is a statement of eligibility and qualification for a foreign corporate trustee under the Trust Indenture Act of 1939 (15 U.S.C. 77aaa et seq.). Form T6 provides the basis for determining if the foreign corporate trustee is qualified. Form T6 is filed on occasion. The information collected must be filed with the Commission and is publicly available. Form T6 takes approximately 17 burden hours per response and is filed by approximately 15 respondent ]]> http://thefederalregister.com/d.p/2009-09-16-E9-22247 Wed, Sep 16 2009 11:00:00 GMT http://thefederalregister.com/d.p/2009-09-16-E9-22431

Notice is hereby given, pursuant to the provisions of the Government in the Sunshine Act, Public Law 94409, that the Securities and Exchange Commission will hold a hold a roundtable about securities lending and short sale issues on September 29 and September 30, 2009.

The roundtable discussion will be held in the auditorium at SEC headquarters at 100 F Street, NE., in Washington, DC. On September 29, the roundtable will focus on securities lending issues and take place from 9:30 a.m. to approximately 4 p.m. On September 30, the roundtable will focus on short sale preborrowing and additional short sale disclosures and take place from 9:30 a.m. to approximately 12:30 p.m.

The roundtable will be open to the public with seating on a first come, firstserved basis. Visitors will be subject to security checks.

For further information, please contact:

The Office of the Secretary at (202) 5515400.

Dated: September 14, 2009.
Elizabeth M. Murphy,
Secretary.
[FR Doc. E922431 Filed 91409; ]]> http://thefederalregister.com/d.p/2009-09-16-E9-22431 Wed, Sep 16 2009 11:00:00 GMT http://thefederalregister.com/d.p/2009-09-16-E9-22244

I. Introduction

On June 7, 2009, the Consolidated Tape Association (``CTA'') Plan Participants (``Participants'') \1\ filed with the Securities and Exchange Commission (``SEC'' or ``Commission'') pursuant to Section 11A of the Securities Exchange Act of 1934 (``Act''),\2\ and Rule 608 thereunder,\3\ a proposal to amend the Second Restatement of the CTA Plan (the ``Plan'') \4\ to waive the automatic annual increase in the enterprise cap for 2008. The proposed Plan amendment was published for comment in the Federal Register on June 29, 2009.\5\ No comment letters were received in response to the Notice. This order approves the proposed Plan amendment.
\1\ Each Participant executed the proposed amendment. The Participants are the American Stock Exchange LLC (n/k/a NYSE Alternext US LLC); Boston Stock Exchange, Inc. (n/k/a NASDAQ OMX BX, Inc.); Chicago Board Options Exchange, Incorporated; Chicago Stock Exchange, Inc.; Financial Industry Regulatory Authority, Inc., Intern ]]> http://thefederalregister.com/d.p/2009-09-16-E9-22244 Wed, Sep 16 2009 11:00:00 GMT http://thefederalregister.com/d.p/2009-09-15-E9-22194

Notice is hereby given, pursuant to the provisions of the Government in the Sunshine Act, Public Law 94409, that the Securities and Exchange Commission will hold an Open Meeting on Thursday, September 17, 2009, at 2:30 p.m., in the Multipurpose Room, Room L006.

The subject matter of the Open Meeting will be:
1. Nationally Recognized Statistical Rating Organizations (``NRSROs'') A. Final Rule Amendments and Proposed Rule Amendments under the Credit Rating Agency Reform Act of 2006

The Commission will consider whether to adopt rules and propose other rules that impose additional disclosure and conflict of interest requirements on NRSROs in order to address concerns about the integrity of the credit rating procedures and methodologies.
B. References to Nationally Recognized Statistical Rating Organization Ratings in Commission Rules and Forms

The Commission will consider whether to eliminate references to credit ratings by NRSROs from certain rules and forms, and whether to reopen the ]]> http://thefederalregister.com/d.p/2009-09-15-E9-22194 Tue, Sep 15 2009 11:00:00 GMT http://thefederalregister.com/d.p/2009-09-14-E9-22105

Notice is hereby given, pursuant to the provisions of the Government in the Sunshine Act, Public Law 94409, that the Securities and Exchange Commission will hold an open meeting on September 16, 2009 at 10 a.m., in the Auditorium, Room L002, and a closed meeting on September 16, 2009 at 11 a.m.

The subject matter of the September 16, 2009 open meeting will be:

The Commission will hear oral argument in an appeal by Rodney R. Schoemann, a Louisiana resident, from the decision of an administrative law judge. The law judge found that Schoemann violated Sections 5(a) and 5(c) of the Securities Act of 1933 in November 2004 by offering and selling the securities of Stinger Systems, Inc.
[[Page 47032]]
when no registration statement was filed or in effect with respect to those securities and no exemption from registration was available. The law judge ordered Schoemann to cease and desist from committing or causing any violations or future violations of Sections 5(a) and 5(c) of the Securities ]]> http://thefederalregister.com/d.p/2009-09-14-E9-22105 Mon, Sep 14 2009 11:00:00 GMT http://thefederalregister.com/d.p/2009-09-08-E9-21618 Extension: Rule 2a7, SEC File No. 270258, OMB Control No. 3235 0268.

Notice is hereby given that under the Paperwork Reduction Act of 1995 (``PRA'') (44 U.S.C. 3501), the Securities and Exchange Commission (``Commission'') has submitted to the Office of Management and Budget a request for extension of the previously
[[Page 46251]]

approved collection of information discussed below.

Rule 2a7 (17 CFR 270.2a7) under the Investment Company Act of 1940 (15 U.S.C. 80a) (the ``Act'') governs money market funds. Money market funds are openend management investment companies that differ from other openend management investment companies in that they seek to maintain a stable price per share, usually $1.00. The rule exempts money market funds from the valuation requirements of the Act and, subject to certain risklimiting conditions, permits money marke ]]> http://thefederalregister.com/d.p/2009-09-08-E9-21618 Tue, Sep 8 2009 11:00:00 GMT http://thefederalregister.com/d.p/2009-09-08-E9-21716

Notice is hereby given, pursuant to the provisions of the Government in the Sunshine Act, Public Law 94409, that the Securities and Exchange Commission will hold a Closed Meeting on Thursday, September 10, 2009 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 his designee, has certified that, in his 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), (5), (7), 9(ii) and (10), permit consideration of the scheduled matters at the Closed Meeting.

Commissioner Paredes, as duty officer, voted to consider the items listed for the Closed Meeting in a closed session.

The subject matter of the Closed Meeting scheduled for Thursday, September 10, 2009 will be:
Institution and settlement of injunctive ac ]]> http://thefederalregister.com/d.p/2009-09-08-E9-21716 Tue, Sep 8 2009 11:00:00 GMT http://thefederalregister.com/d.p/2009-09-08-E9-21444 ]]> http://thefederalregister.com/d.p/2009-09-08-E9-21444 Tue, Sep 8 2009 11:00:00 GMT http://thefederalregister.com/d.p/2009-09-03-E9-21221

The following is a notice of applications for deregistration under section 8(f) of the Investment Company Act of 1940 for the month of August, 2009. A copy of each application may be obtained via the Commission's Web site by searching for the file number, or an applicant using the Company name box, at http://www.sec.gov/search/search.htm or by calling (202) 5518090. An order granting each application will be issued unless the SEC orders a hearing. Interested persons may request a hearing on any application by writing to the SEC's Secretary at the address below and serving the relevant applicant with a copy of the request, personally or by mail. Hearing requests should be received by the SEC by 5:30 p.m. on September 22, 2009, and should be accompanied by proof of service on the applicant, in the form of an affidavit or, for lawyers, a certif ]]> http://thefederalregister.com/d.p/2009-09-03-E9-21221 Thu, Sep 3 2009 11:00:00 GMT http://thefederalregister.com/d.p/2009-09-01-E9-21004

Extension:

Rule 154, SEC File No. 270438, OMB Control No. 32350495.

Notice is hereby given that, pursuant to the Paperwork Reduction Act of 1995 (44 U.S.C. 35013520), the Securities and Exchange Commission (``Commission'') is soliciting comments on the collection of information summarized below. The Commission plans to submit this existing collection of information to the Office of Management and Budget for extension and approval.

The Federal securities laws generally prohibit an issuer, underwriter, or dealer from delivering a security for sale unless a prospectus meeting certain requirements accompanies or precedes the security. Rule 154 (17 CFR 230.154) under the Securities Act of 1933 (15 U.S.C. 77a) (the ``Securities Act'') permits, under certain circumstances, delivery of a single prospectus to investors who purchase securities fr ]]> http://thefederalregister.com/d.p/2009-09-01-E9-21004 Tue, Sep 1 2009 11:00:00 GMT http://thefederalregister.com/d.p/2009-09-01-E9-21166

Notice is hereby given, pursuant to the provisions of the Government in the Sunshine Act, Public Law 94409, that the Securities and Exchange Commission will hold a Closed Meeting on Thursday, September 3, 2009 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 his designee, has certified that, in his 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), (5), (7), 9(ii) and (10), permit consideration of the scheduled matters at the Closed Meeting.

Commissioner Walter, as duty officer, voted to consider the items listed for the Closed Meeting in a closed session.

The subject matter of the Closed Meeting scheduled for Thursday, September 3, 2009 will be: Institution and settlement of injunctive acti ]]> http://thefederalregister.com/d.p/2009-09-01-E9-21166 Tue, Sep 1 2009 11:00:00 GMT http://thefederalregister.com/d.p/2009-08-31-E9-20867

Extension:

Form 18, OMB Control No. 32350121, SEC File No. 270105.

Notice is hereby given that, pursuant to the Paperwork Reduction Act of 1995 (44 U.S.C. 3501 et seq.), the Securities and Exchange Commission (``Commission'') has submitted to the Office of Management and Budget a request for extension of the previously approved collection of information discussed below.

Form 18 (17 CFR 249.218) is used for the registration of securities of any foreign government or political subdivision on a U.S. exchange. The information collected is intended to ensure that the information required to be filed by the Commission permits verification of compliance with securities law requirements and assures the public availability of the information. The information provided
[[Page 44884]]
is mandatory and all information is made available to the public u ]]> http://thefederalregister.com/d.p/2009-08-31-E9-20867 Mon, Aug 31 2009 11:00:00 GMT http://thefederalregister.com/d.p/2009-08-28-E9-20705 Extension: Form 1E, Regulation E; SEC File No. 270221; OMB Control No. 32350232.

Notice is hereby given that, pursuant to the Paperwork Reduction Act of 1995 (44 U.S.C. 3501 et seq.), the Securities and Exchange Commission (the ``Commission'') is soliciting comments on the collection of information summarized below. The Commission plans to submit this existing collection of information of the Office of Management and Budget for extension and approval.

Form 1E (17 CFR 239.200) under the Securities Act of 1933 (15 U.S.C. 77a et seq.) (``Securities Act'') is the form that a small business investment company (``SBIC'') or business development company (``BDC'') uses to notify the Commission that it is claiming an exemption under Regulation E from registering its securities under the Securities Act. Rule 605 of Regulation E (17 CFR 230.605) under ]]> http://thefederalregister.com/d.p/2009-08-28-E9-20705 Fri, Aug 28 2009 11:00:00 GMT http://thefederalregister.com/d.p/2009-08-27-E9-20843

Notice is hereby given, pursuant to the provisions of the Government in the Sunshine Act, Public Law 94409, that the Securities and Exchange Commission will hold a Joint Open Meeting with the Commodity Futures Trading Commission to seek input from the public on harmonization of market regulation on September 2, 2009 from 9 a.m. until 5 p.m. at the CFTC and on September 3, 2009 from 9 a.m. until 12:30 p.m. at the SEC.

The Joint Open Meeting will take place on September 2, 2009 at the CFTC's headquarters at Three Lafayette Centre, 1155 21st Street, NW., Lobby Level Hearing Room (Room 1000), Washington, DC 20581 and on September 3, 2009 at the SEC's headquarters at 100 F Street, NE., Auditorium (Room L002), Washington, DC 20549. The Joint Open Meeting will be open to the public with seating on a firstcome, firstserved basis. Visitors will be subject to security checks.

Discussion topics at the Joint Open Meeting will include the regulation of exchanges and markets; the regulation of int ]]> http://thefederalregister.com/d.p/2009-08-27-E9-20843 Thu, Aug 27 2009 11:00:00 GMT http://thefederalregister.com/d.p/2009-08-26-E9-20527 Extension: Rule 17f6, SEC File No. 270392, OMB Control No. 3235 0447.

Notice is hereby given that, pursuant to the Paperwork Reduction Act of 1995 (44 U.S.C. 35013520), the Securities and Exchange Commission (the ``Commission'') is soliciting comments on the collection of information summarized below. The Commission plans to submit this existing collection of information to the Office of Management and Budget for extension and approval.

Rule 17f6 (17 CFR 270.17f6) under the Investment Company Act of 1940 (15 U.S.C. 80a) permits registered investment companies (``funds'') to maintain assets (i.e., margin) with futures commission merchants (``FCMs'') in connection with commodity transactions effected on both domestic and foreign exchanges.\1\ Prior to the rule's adoption, funds generally were required to maintain these assets in special accou ]]> http://thefederalregister.com/d.p/2009-08-26-E9-20527 Wed, Aug 26 2009 11:00:00 GMT http://thefederalregister.com/d.p/2009-08-26-E9-20528 [[Page 43172]]
Education and Advocacy, Washington, DC 205490213.
Extension: Rule 35d1, SEC File No. 270491, OMB Control No. 3235 0548.

Notice is hereby given that, pursuant to the Paperwork Reduction Act of 1995 (44 U.S.C. 3501 et seq.) (``Act''), the Securities and Exchange Commission (the ``Commission'') has submitted to the Office of Management and Budget a request for extension of the previously approved collection of information discussed below.

Rule 35d1 (17 CFR 270.35d1) under the Investment Company Act of 1940 (15 U.S.C. 80a1 et seq.) generally requires that investment companies with certain names invest at least 80% of their assets according to what their names suggests. The rule provides that an affected investment company must either adopt this 80% requirement as a fundamental policy or adopt a policy to provide notice to shareholders at least 60 days prior to any change in i ]]> http://thefederalregister.com/d.p/2009-08-26-E9-20528 Wed, Aug 26 2009 11:00:00 GMT http://thefederalregister.com/d.p/2009-08-26-E9-20529 Extension: Rule 12b1, SEC File No. 270188, OMB Control No. 3235 0212.

Notice is hereby given that, pursuant to the Paperwork Reduction Act of 1995 (44 U.S.C. 3501 et seq.), the Securities and Exchange Commission (the ``Commission'') is soliciting comments on the collection of information summarized below. The Commission plans to submit this existing collection of information to the Office of Management and Budget for extension and approval.

Rule 12b1 (17 CFR 270.12b1) permits a registered openend investment company (``mutual fund'') to distribute its own shares and pay the expenses of distribution out of the mutual fund's assets provided, among other things, that the mutual fund adopts a written plan (``Rule 12b1 plan'') and has in writing any agreements relating to the implementation of the Rule 12b1 plan. The rule in part requires that (i ]]> http://thefederalregister.com/d.p/2009-08-26-E9-20529 Wed, Aug 26 2009 11:00:00 GMT http://thefederalregister.com/d.p/2009-08-25-E9-20381 ]]> http://thefederalregister.com/d.p/2009-08-25-E9-20381 Tue, Aug 25 2009 11:00:00 GMT http://thefederalregister.com/d.p/2009-08-25-E9-20506

Notice is hereby given, pursuant to the provisions of the Government in the Sunshine Act, Public Law 94409, that the Securities and Exchange Commission will hold a Closed Meeting on Thursday, August 27, 2009 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 his designee, has certified that, in his 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), (5), (7), 9(ii) and (10), permit consideration of the scheduled matters at the Closed Meeting.

Commissioner Casey, as duty officer, voted to consider the items listed for the Closed Meeting in a closed session.

The subject matter of the Closed Meeting scheduled for Thursday, August 27, 2009 will be:

Institution and settlement of injunctive action ]]> http://thefederalregister.com/d.p/2009-08-25-E9-20506 Tue, Aug 25 2009 11:00:00 GMT http://thefederalregister.com/d.p/2009-08-24-E9-20186 Extension: Rules 17h1T and 17h2T; SEC File No. 270359; OMB Control No. 32350410.

Notice is hereby given that pursuant to the Paperwork Reduction Act of 1995 (44 U.S.C. 3501 et seq.) the Securities and Exchange Commission (``Commission'') has submitted to the Office of Management and Budget requests for extension of the previously approved collections of information discussed below.

Rule 17h1T (17 CFR 240.17h1T) under the Securities Exchange Act of 1934 (15 U.S.C. 78a et seq.) (the ``Act'') requires a brokerdealer to maintain and preserve records and other information concerning certain entities that are associated with the brokerdealer. This requirement extends to the financial and securities activities of the holding company, affiliates and subsidiaries of the brokerdealer that are reasonably likely to have a material impact on the financial ]]> http://thefederalregister.com/d.p/2009-08-24-E9-20186 Mon, Aug 24 2009 11:00:00 GMT http://thefederalregister.com/d.p/2009-08-24-E9-20187 Extension: Form F80, OMB Control No.
[[Page 42708]]

32350404, SEC File No. 270357.

Notice is hereby given that, pursuant to the Paperwork Reduction Act of 1995 (44 U.S.C. 3501 et seq. ), the Securities and Exchange Commission (``Commission'') has submitted to the Office of Management and Budget a request for extension of the previously approved collection of information discussed below.

Form F80 (17 CFR 239.41) is used by large, publiclytraded Canadian foreign private issuers registering securities that are offered in business combinations and exchange offers. The information collected is intended to ensure that the information required to be filed by the Commission permits verification of compliance with securities law requirements and assures the public availability of the information. The information provided is mandatory and all informat ]]> http://thefederalregister.com/d.p/2009-08-24-E9-20187 Mon, Aug 24 2009 11:00:00 GMT http://thefederalregister.com/d.p/2009-08-24-E9-20188

Extension:

Rule 17Ad15, OMB Control No. 32350409, SEC File No. 270360.

Notice is hereby given that pursuant to the Paperwork Reduction Act of 1995 (44 U.S.C. 3501 et seq.) the Securities and Exchange Commission (``Commission'') is soliciting comments on the existing collection of information provided for in the following rule: Rule 17a10 (17 CFR 240.17Ad15) under the Securities Exchange Act of 1934 (15 U.S.C. 78a et seq.). The Commission plans to submit this existing collection of information to the Office of Management and Budget for extension and approval.

Rule 17Ad15 requires approximately 587 transfer agents to establish written standards for accepting and rejecting guarantees of securities transfers from eligible guarantor institutions. Transfer agents are also required to establish procedures to ensure that those standards ar ]]> http://thefederalregister.com/d.p/2009-08-24-E9-20188 Mon, Aug 24 2009 11:00:00 GMT http://thefederalregister.com/d.p/2009-08-24-E9-20189 Extension: Rule 17f1(c) and Form X17F1A; SEC File No. 27029; OMB Control No. 32350037.

Notice is hereby given that pursuant to the Paperwork Reduction Act of 1995 (44 U.S.C. 3501 et seq. ) the Securities and Exchange Commission (``Commission'') has submitted to the Office of Management and Budget a request for approval of extension of the existing collection of information provided for in the following rule: Rule 17f 1(c) and Form X17FIA (17 CFR 249.100) under the Securities Exchange Act of 1934 (15 U.S.C. 78a et seq. ).

Rule 17f1(c) (17 CFR 240.17f1(c)) under the Securities Exchange Act of 1934 (15 U.S.C. 78a et seq. ) requires approximately 26,000 entities in the securities industry to report lost, stolen, missing, or counterfeit securities certificates to the Commission or its designee, to a registered transfer agent for the issue, a ]]> http://thefederalregister.com/d.p/2009-08-24-E9-20189 Mon, Aug 24 2009 11:00:00 GMT http://thefederalregister.com/d.p/2009-08-24-E9-20191

I. Introduction

Pursuant to Section 11A of the Securities Exchange Act of 1934 (the ``Act'') \1\ and Rule 608 of Regulation NMS thereunder (``Rule 608''),\2\ notice is hereby given that on August 7, 2009, August 7, 2009, August 7, 2009, August 7, 2009, August 11, 2009, August 11, 2009, and August 11, 2009, NYSE Arca, Inc. (``NYSE Arca''), NYSE Amex, LLC (``NYSE Amex''), International Securities Exchange, LLC (``ISE''), NASDAQ OMX BX, Inc. (``BOX''), Chicago Board Options Exchange, Incorporated (``CBOE''), NASDAQ OMX PHLX, Inc. (``Phlx''), and The NASDAQ Stock Market LLC (``Nasdaq'') (collectively,
``Participants''),\3\ respectively, filed with the Securities and Exchange Commission (``Commission'') an amendment to the Options Order Protection and Locked/Crossed Market Plan (``Plan'') \4\ (``Joint Amendment No. 1''). In Joint Amendment No. 1, the Participants propose to modify Section 5(b) of the Plan to eliminate the requirement that policies and procedures be submitted to ]]> http://thefederalregister.com/d.p/2009-08-24-E9-20191 Mon, Aug 24 2009 11:00:00 GMT http://thefederalregister.com/d.p/2009-08-20-E9-19989 ]]> http://thefederalregister.com/d.p/2009-08-20-E9-19989 Thu, Aug 20 2009 11:00:00 GMT http://thefederalregister.com/d.p/2009-08-20-E9-20099 Place: 100 F Street, NE., Washington, DC.
Date and Time of Previously Announced Meeting: Thursday, August 20, 2009 at 2 p.m.

Change in the Meeting: Cancellation of Meeting.

The Closed Meeting scheduled for Thursday, August 20, 2009 at 2 p.m. has been cancelled.

For further information please contact the Office of the Secretary at (202) 5515400.

Dated: August 18, 2009.
Florence E. Harmon,
Deputy Secretary.
[FR Doc. E920099 Filed 81909; 8:45 am]
BILLING CODE 801001P ]]> http://thefederalregister.com/d.p/2009-08-20-E9-20099 Thu, Aug 20 2009 11:00:00 GMT http://thefederalregister.com/d.p/2009-08-19-E9-19891 Extension: Rule 17f2(a), OMB Control No. 32350034, SEC File No. 27034.

Notice is hereby given that pursuant to the Paperwork Reduction Act of 1995 (44 U.S.C. 3501 et seq.), the Securities and Exchange Commission (``Commission'') is soliciting comments on the collection of information provided for in Rule 17f2(a) (17 CFR 240.17f2(a) under the Securities Exchange Act of 1934 (15 U.S.C. 78a et seq.) (``Exchange Act''). The Commission plans to submit this existing collection of information to the Office of Management and Budget for extension and approval.

Rule 17f2(a) requires that securities professionals be fingerprinted. This requirement serves to identify security risk personnel, to allow an employer to make fully informed employment decisions, and to deter possible wrongdoers from seeking employment in the securities industry. Partners, dire ]]> http://thefederalregister.com/d.p/2009-08-19-E9-19891 Wed, Aug 19 2009 11:00:00 GMT http://thefederalregister.com/d.p/2009-08-19-E9-19896 Extension: Rule 17a11, OMB Control No. 32350085, SEC File No. 270 94.

Notice is hereby given that pursuant to the Paperwork Reduction Act of 1995 (44 U.S.C. 3501 et seq.) the Securities and Exchange Commission (``Commission'') has submitted to the Office of Management and Budget a request for approval of extension of the existing collection of information provided for in the following rule: Rule 17a11 (17 CFR 240.17a11) under the Securities Exchange Act of 1934 (15 U.S.C. 78a et seq.) (``Exchange Act'').

In response to an operational crisis in the securities industry between 1967 and 1970, the Commission adopted Rule 17a11 under the Exchange Act on July 11, 1971. Rule 17a11 requires brokerdealers that are experiencing financial or operational difficulties to provide notice to the Commission, the brokerdealer's designated examining auth ]]> http://thefederalregister.com/d.p/2009-08-19-E9-19896 Wed, Aug 19 2009 11:00:00 GMT http://thefederalregister.com/d.p/2009-08-17-E9-19798

Notice is hereby given, pursuant to the provisions of the Government in the Sunshine Act, Public Law 94409, that the Securities and Exchange Commission will hold a Closed Meeting on Thursday, August 20, 2009 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 his designee, has certified that, in his 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), (5), (7), 9(ii) and (10), permit consideration of the scheduled matters at the Closed Meeting.

Chairman Schapiro, as duty officer, voted to consider the items listed for the Closed Meeting in a closed session.

The subject matter of the Closed Meeting scheduled for Thursday, August 20, 2009 will be:
Institution and settlement of injunctive actions;
In ]]> http://thefederalregister.com/d.p/2009-08-17-E9-19798 Mon, Aug 17 2009 11:00:00 GMT http://thefederalregister.com/d.p/2009-08-14-E9-19478

The Credit Rating Agency Reform Act of 2006 (``Rating Agency Act'') \1\ defined the term ``nationally recognized statistical rating organization''
[[Page 41177]]
(``NRSRO'') and provided authority for the Securities and Exchange Commission (``Commission'') to implement registration, recordkeeping, financial reporting, and oversight rules with respect to registered credit rating agencies. The regulations implemented by the Commission pursuant to this mandate include Securities Exchange Act of 1934 (``Exchange Act'') Rule 17g2,\2\ which requires an NRSRO to make and retain certain records relating to its business and to retain certain other business records made in the normal course of business operations.
\1\ Public Law 109291 (2006).

\2\ 17 CFR 240.17g2.

On February 2, 2009, the Commission adopted amendments to its NRSRO rules imposing additional requirements on NRSROs in order to address concerns about the integrity of their credit rating procedures and methodologi ]]> http://thefederalregister.com/d.p/2009-08-14-E9-19478 Fri, Aug 14 2009 11:00:00 GMT http://thefederalregister.com/d.p/2009-08-11-E9-19116 ]]> http://thefederalregister.com/d.p/2009-08-11-E9-19116 Tue, Aug 11 2009 11:00:00 GMT http://thefederalregister.com/d.p/2009-08-11-E9-19121 Extension: Regulation SP; OMB Control No. 32350537; SEC File No. 270480.

Notice is hereby given that pursuant to the Paperwork Reduction Act of 1995 (44 U.S.C. 3501 et seq.), the Securities and Exchange Commission (``Commission'') has submitted to the Office of Management and Budget (``OMB'') a request for approval of extension of the existing collection of information provided for in the following rule: Regulation SP (17 CFR part 248) under the Securities Exchange Act of 1934 (15 U.S.C. 78a et seq.) (``Exchange Act'').

The Commission adopted Regulation SP (17 CFR part 248) under the authority set forth in section 504 of the GrammLeachBliley Act (15 U.S.C. 6804), sections 17 and 23 of the Securities Exchange Act of 1934 (15 U.S.C. 78q, 78w), sections 31 and 38 of the Investment Company Act of 1940 (15 U.S.C. 80a30(a), 80a37), and sections 2 ]]> http://thefederalregister.com/d.p/2009-08-11-E9-19121 Tue, Aug 11 2009 11:00:00 GMT http://thefederalregister.com/d.p/2009-08-11-E9-19125 ]]> http://thefederalregister.com/d.p/2009-08-11-E9-19125 Tue, Aug 11 2009 11:00:00 GMT http://thefederalregister.com/d.p/2009-08-10-E9-19234

Notice is hereby given, pursuant to the provisions of the Government in the Sunshine Act, Public Law 94409, that the Securities and Exchange Commission will hold a Closed Meeting on Thursday, August 13, 2009 at 1 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 his designee, has certified that, in his 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), (5), (7), 9(ii) and (10), permit consideration of the scheduled matters at the Closed Meeting.

Commissioner Paredes, as duty officer, voted to consider the items listed for the Closed Meeting in a closed session.

The subject matter of the Closed Meeting scheduled for Thursday, August 13, 2009 will be:
Institution and settlement of injunctive actions; ]]> http://thefederalregister.com/d.p/2009-08-10-E9-19234 Mon, Aug 10 2009 11:00:00 GMT http://thefederalregister.com/d.p/2009-08-07-E9-18979

Extension:

Form T1, OMB Control No. 32350110, SEC File No. 270121.

Notice is hereby given that, pursuant to the Paperwork Reduction Act of 1995 (44 U.S.C. 3501 et seq.), the Securities and Exchange Commission (``Commission'') is soliciting comments on the collection of information summarized below. The Commission plans to submit this existing collection of information to the Office of Management and Budget for approval.

Form T1 (17 CFR 269.1) is a statement of eligibility and qualification under the Trust Indenture Act of 1939 (15 U.S.C. 77aaa et seq.) of a corporation designated to act as a trustee. The information is used to determine whether the corporate trustee is qualified to serve under the indenture. Form T1 takes approximately 15 hours per response to prepare and is filed by approximately 13 respondents. We estimate that 25% of ]]> http://thefederalregister.com/d.p/2009-08-07-E9-18979 Fri, Aug 7 2009 11:00:00 GMT http://thefederalregister.com/d.p/2009-08-07-E9-18980

Extension:

Form T2, OMB Control No. 32350111, SEC File No. 270122.

Notice is hereby given that, pursuant to the Paperwork Reduction Act of 1995 (44 U.S.C. 3501 et seq.), the Securities and Exchange Commission (``Commission'') is soliciting comments on the collection of information summarized below. The Commission plans to submit this existing collection of information to the Office of Management and Budget for approval.

Form T2 (17 CFR 269.2) is a statement of eligibility of an individual trustee to serve under an indenture relating to debt securities offered publicly. The information is used to determine whether the trustee is qualified to serve under the indenture. Form T2 takes approximately 9 hours per response to prepare and is filed by 36 respondents. We estimate that 25% of the 9 burden hours (2 hours per responses) is prepared b ]]> http://thefederalregister.com/d.p/2009-08-07-E9-18980 Fri, Aug 7 2009 11:00:00 GMT http://thefederalregister.com/d.p/2009-08-07-E9-18981

Extension:

Form T3, OMB Control No. 32350105, SEC File No. 270123.

Notice is hereby given that, pursuant to the Paperwork Reduction Act of 1995 (44 U.S.C. 3501 et seq.), the Securities and Exchange Commission (``Commission'') is soliciting comments on the collection of information summarized below. The Commission plans to submit this existing collection of information to the Office of Management and Budget for approval.

Form T3 (17 CFR 269.3) is an application for qualification of an indenture under the Trust Indenture Act of 1939 (15 U.S.C. 77aaa et seq.). The information provided by Form T3 is used by the staff to decide whether to qualify an indenture relating to securities offered to the public in an offering registered under the Securities Act of 1933 (15 U.S.C. 77a et seq.). Form T3 takes approximately 43 hours per response to pre ]]> http://thefederalregister.com/d.p/2009-08-07-E9-18981 Fri, Aug 7 2009 11:00:00 GMT http://thefederalregister.com/d.p/2009-08-07-E9-18983

Extension:

Form N6, SEC File No. 270446, OMB Control No. 32350503.

Notice is hereby given that, pursuant to the Paperwork Reduction Act of 1995 (44 U.S.C. 3501 et seq.), the Securities and Exchange Commission (the ``Commission'') is soliciting comments on the collection of information summarized below. The Commission plans to submit this existing collection of information to the Office of Management and Budget for extension and approval.

The title for the collection of information is ``Form N6 (17 CFR 239.17c and 274.11d) under the Securities Act of 1933 (15 U.S.C. 77a et seq.) and under the Investment Company Act of 1940 (15 U.S.C. 80a1 et seq.) registration statement of separate accounts organized as unit investment trusts that offer variable life insurance policies.'' Form N6 is the form used by insurance company separate accounts org ]]> http://thefederalregister.com/d.p/2009-08-07-E9-18983 Fri, Aug 7 2009 11:00:00 GMT http://thefederalregister.com/d.p/2009-08-07-E9-19042

Notice is hereby given, pursuant to the provisions of the Government in the Sunshine Act, Public Law 94409, that the Securities and Exchange Commission will hold a Closed Meeting on Thursday, August 6, 2009 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 his designee, has certified that, in his 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), (5), (7), 9(ii) and(10), permit consideration of the scheduled matters at the Closed Meeting.

Chairman Schapiro, as duty officer, voted to consider the items listed for the Closed Meeting in a closed session, and determined that no earlier notice thereof was possible.

The subject matter of the Closed Meeting scheduled for Thursday, August 6, 2009 wil ]]> http://thefederalregister.com/d.p/2009-08-07-E9-19042 Fri, Aug 7 2009 11:00:00 GMT http://thefederalregister.com/d.p/2009-08-07-E9-18974

Upon Written Request; Copies Available From: Securities and Exchange Commission, Office of Investor and Advocacy, Washington, DC 205490213.

Extension:

Form T4, OMB Control No. 32350107, SEC File No. 270124.

Notice is hereby given that, pursuant to the Paperwork Reduction Act of 1995 (44 U.S.C. 3501 et seq.), the Securities and Exchange Commission
[[Page 39718]]
(``Commission'') is soliciting comments on the collection of information summarized below. The Commission plans to submit this existing collection of information to the Office of Management and Budget for approval.

Form T4 (17 CFR 269.4) is used to apply for an exemption pursuant to Section 304(c) (15 U.S.C. 77ddd (c)) of the Trust Indenture Act of 1939 (15 U.S.C. 77aaa et seq.) and is transmitted to shareholders. Form T4 takes approximately 5 hours per response to prepare and is filed by 3 respondents. We estimate that 25% of the 5 burden hours (1 hour per response) is prepared by the filer for a total reporting burden of ]]> http://thefederalregister.com/d.p/2009-08-07-E9-18974 Fri, Aug 7 2009 11:00:00 GMT http://thefederalregister.com/d.p/2009-08-06-E9-18765

The following is a notice of applications for deregistration under section 8(f) of the Investment Company Act of 1940 for the month of July, 2009. A copy of each application may be obtained via the Commission's Web site by searching for the file number, or an applicant using the Company name box, at http://www.sec.gov/search/search.htm or by calling (202) 5518090. An order granting each application will be issued unless the SEC orders a hearing. Interested persons may request a hearing on any application by writing to the SEC's Secretary at the address below and serving the relevant applicant with a copy of the request, personally or by mail. Hearing requests should be received by the SEC by 5:30 p.m. on August 25, 2009, and should be accompanied by proof of service on the applicant, in the form of an affidavit or, for lawyers, a certificate o ]]> http://thefederalregister.com/d.p/2009-08-06-E9-18765 Thu, Aug 6 2009 11:00:00 GMT http://thefederalregister.com/d.p/2009-08-06-E9-18761 ]]> http://thefederalregister.com/d.p/2009-08-06-E9-18761 Thu, Aug 6 2009 11:00:00 GMT http://thefederalregister.com/d.p/2009-08-04-E9-18434 ]]> http://thefederalregister.com/d.p/2009-08-04-E9-18434 Tue, Aug 4 2009 11:00:00 GMT http://thefederalregister.com/d.p/2009-08-04-E9-18559

Extension:

Form 11K; OMB Control No. 32350082; SEC File No. 270101.

Notice is hereby given that, pursuant to the Paperwork Reduction Act of 1995 (44 U.S.C. 3501 et seq.), the Securities and Exchange Commission (``Commission'') has submitted to the Office of Management and Budget a request for extension of the previously approved collection of information discussed below.

Form 11K (17 CFR 249.311) is the annual report designed for use by employee stock purchase, savings and similar plans to comply with the reporting requirements under Section 15(d) of the Securities Exchange Act of 1934 (the ``Exchange Act'') (15 U.S.C. 78o(d)). Section 15(d) establishes a periodic reporting obligation for every
[[Page 38676]]
issuer of a class of securities registered under the Securities Act of 1933 (the ``Securities Act'') (15 U.S.C. 77a et seq.). Form ]]> http://thefederalregister.com/d.p/2009-08-04-E9-18559 Tue, Aug 4 2009 11:00:00 GMT http://thefederalregister.com/d.p/2009-08-04-E9-18560

Extension:

Rule 204, OMB Control No. 32350647, SEC File No. 270586.

Notice is hereby given that pursuant to the Paperwork Reduction Act of 1995 (44 U.S.C. 3501 et seq.), the Securities and Exchange Commission (``Commission'') is soliciting comments on the collection of information summarized below. The Commission plans to submit this existing collection of information to the Office of Management and Budget for extension and approval.

Rule 204 (17 CFR 242.204) under the Securities Exchange Act of 1934 (15 U.S.C. 78a et seq.) requires that, subject to certain limited exceptions, if a participant of a registered clearing agency has a fail to deliver position at a registered clearing agency it must immediately close out the fail to deliver position by purchasing or borrowing securities by no later than the beginning of regular trading hours ]]> http://thefederalregister.com/d.p/2009-08-04-E9-18560 Tue, Aug 4 2009 11:00:00 GMT http://thefederalregister.com/d.p/2009-07-30-E9-18171

Extension:

Rule 15c31, OMB Control No. 32350200, SEC File No. 270197.

Notice is hereby given that pursuant to the Paperwork Reduction Act of 1995 (44 U.S.C. 3501 et seq.), the Securities
[[Page 38065]]
and Exchange Commission (``Commission'') is soliciting comments on the collection of information summarized below. The Commission plans to submit this existing collection of information to the Office of Management and Budget for extension and approval.

Rule 15c31 (17 CFR 240.15c31) under the Securities Exchange Act of 1934 (15 U.S.C. 78a et seq.) requires brokers and dealers to have at all times sufficient liquid assets to meet their current liabilities, particularly the claims of customers. The rule facilitates monitoring the financial condition of brokers and dealers by the Commission and the various selfregulatory organizations. It is es ]]> http://thefederalregister.com/d.p/2009-07-30-E9-18171 Thu, Jul 30 2009 11:00:00 GMT http://thefederalregister.com/d.p/2009-07-30-E9-18172

Extension:

Rule 30e1; SEC File No. 27021; OMB Control No. 32350025.

Notice is hereby given that, pursuant to the Paperwork Reduction Act of 1995 (44 U.S.C. 3501 et seq.), the Securities and Exchange Commission (the ``Commission'') is soliciting comments on the collection of information summarized below. The Commission plans to submit this existing collection of information to the Office of Management and Budget for extension and approval.

The title for the collection of information is: ``Rule 30e1 (CFR 270.30e1) under the Investment Company Act of 1940, Reports to Stockholders of Management Companies.'' Section 30(e) (15 U.S.C. 80a 29(e)) of the Investment Company Act of 1940 (``Investment Company Act'') (15 U.S.C. 80a1 et seq.) requires a registered investment company (``fund'') to transmit to its shareholders, at least semi annually, re ]]> http://thefederalregister.com/d.p/2009-07-30-E9-18172 Thu, Jul 30 2009 11:00:00 GMT http://thefederalregister.com/d.p/2009-07-29-E9-17943 ]]> http://thefederalregister.com/d.p/2009-07-29-E9-17943 Wed, Jul 29 2009 11:00:00 GMT http://thefederalregister.com/d.p/2009-07-29-E9-17989 Status: Closed Meeting.
Place: 100 F Street, NE., Washington, DC.
Date and Time of Previously Announced Meeting: Friday, July 24, 2009 at 8 a.m.

Change in the Meeting: Time Change.

The Closed Meeting scheduled for Friday, July 24, 2009 at 8 a.m. has been changed to Friday, July 24, 2009 at 9 a.m.

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) 5515400.

Dated: July 23, 2009.
Elizabeth M. Murphy,
Secretary.
[FR Doc. E917989 Filed 72809; 8:45 am]
BILLING CODE 801001P ]]> http://thefederalregister.com/d.p/2009-07-29-E9-17989 Wed, Jul 29 2009 11:00:00 GMT http://thefederalregister.com/d.p/2009-07-28-E9-17859 Extension:

[[Page 37256]]

Rule 17f1(b), OMB Control No. 32350032, SEC File No. 27028.

Notice is hereby given that pursuant to the Paperwork Reduction Act of 1995 (44 U.S.C. 3501 et seq.) the Securities and Exchange Commission (``Commission'') is soliciting comments on the existing collection of information provided for in the following rule: Rule 17f1(b) Requirements for reporting and inquiry with respect to missing, lost, counterfeit, or stolen securities (17 CFR 240.17f1(b)) under the Securities Exchange Act of 1934 (15 U.S.C. 78a et seq.) (the ``Exchange Act''). The Commission plans to submit this existing collection of information to the Office of Management and Budget (``OMB'') for extension and approval.

Rule 17f1(b) (17 CFR 240.17f1(b)) under the Exchange Act requires approximately 26,000 entities in the securities industry to ]]> http://thefederalregister.com/d.p/2009-07-28-E9-17859 Tue, Jul 28 2009 11:00:00 GMT http://thefederalregister.com/d.p/2009-07-28-E9-17860

Notice is hereby given, pursuant to the provisions of the Government in the Sunshine Act, Public Law 94409, that the Securities and Exchange Commission will hold a Closed Meeting on Thursday, July 30, 2009 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 his designee, has certified that, in his 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), (5), (7), 9(ii) and (10), permit consideration of the scheduled matters at the Closed Meeting.

Commissioner Walter, as duty officer, voted to consider the items listed for the Closed Meeting in a closed session.

The subject matter of the Closed Meeting scheduled for Thursday, July 30, 2009 will be:
Institution and settlement of injunctive actions;
Inst ]]> http://thefederalregister.com/d.p/2009-07-28-E9-17860 Tue, Jul 28 2009 11:00:00 GMT http://thefederalregister.com/d.p/2009-07-28-E9-17861

Notice is hereby given, pursuant to the provisions of the Government in the Sunshine Act, Public Law 94409, that the Securities and Exchange Commission Investor Advisory Committee will hold an Open Meeting on Monday, July 27, 2009, in the Auditorium, Room L002. The meeting will begin at 10 a.m. and will be open to the public, with seating on a firstcome, firstserved basis. Doors will open at 9:30 a.m. Visitors will be subject to security checks.

On July 8, 2009, the Commission published notice of the Committee meeting (Release No. 339049), indicating that the meeting is open to the public and inviting the public to submit written comments to the Committee. This Sunshine Act notice is being issued because a majority of the Commission plans to attend the meeting. Commissioner Walter, as duty officer, determined that no earlier Sunshine Act notice was possible.

The agenda for the meeting includes opening remarks, introduction of Committee members, discussion of Committee agenda and orga ]]> http://thefederalregister.com/d.p/2009-07-28-E9-17861 Tue, Jul 28 2009 11:00:00 GMT http://thefederalregister.com/d.p/2009-07-28-E9-18070

Notice is hereby given, pursuant to the provisions of the Government in the Sunshine Act, Public Law 94409, that the Securities and Exchange Commission will hold a Closed Meeting on Tuesday, July 28, 2009 at 3 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 his designee, has certified that, in his opinion, one or more of the exemptions set forth in 5 U.S.C. 552b(c)(10) and 17 CFR 200.402(a)(10), permit consideration of the scheduled matters at the Closed Meeting.

Commissioner Walter, as duty officer, voted to consider the items listed for the Closed Meeting in a closed session, and determined that no earlier notice thereof was possible.

The subject matter of the Closed Meeting scheduled for Tuesday, July 28, 2009 will be:
A litigation matter; and
Consideration of ami ]]> http://thefederalregister.com/d.p/2009-07-28-E9-18070 Tue, Jul 28 2009 11:00:00 GMT http://thefederalregister.com/d.p/2009-07-27-E9-17768 Extension: Rule 17Ad4(b) and (c); OMB Control No. 32350341;SEC File No. 270264.

Notice is hereby given that pursuant to the Paperwork Reduction Act of 1995 (44 U.S.C. 3501 et seq.) the Securities and Exchange Commission (``Commission'') is soliciting comments on the existing collection of information provided for in the following rule: Rule 17Ad4(b) and (c) under the Securities Exchange Act of 1934 (15 U.S.C. 78a et seq.) (``Exchange Act''). The Commission plans to submit this existing collection of information to the Office of Management and Budget (``OMB'') for extension and approval.

Rule 17Ad4(b) and (c) (17 CFR 240.17Ad4) is used to document when transfer agents are exempt, or no longer exempt, from the minimum performance standards and certain recordkeeping provisions of the Commission's transfer agent rules. Rule 17Ad4(c) sets f ]]> http://thefederalregister.com/d.p/2009-07-27-E9-17768 Mon, Jul 27 2009 11:00:00 GMT http://thefederalregister.com/d.p/2009-07-24-E9-17769 Extension: Rule 30e2; SEC File No. 270437; OMB Control No. 3235 0494.

Notice is hereby given that, pursuant to the Paperwork Reduction Act of 1995 (44 U.S.C. 3501 et seq.), (the ``Paperwork Reduction Act'') the Securities and Exchange Commission (the ``Commission'') is soliciting comments on the collection of information summarized below. The Commission plans to submit this existing collection of information to the Office of Management and Budget for extension and approval.

Section 30(e) of the Investment Company Act of 1940 (15 U.S.C. 80a 29(e)) (the ``Investment Company Act'') and Rule 30e2 \1\ (17 CFR 270.30e2) thereunder require registered unit investment trusts (``UITs'') that invest substantially all of their assets in securities of a management investment company \2\ (``fund'') to send to shareholders at least semiannually a report con ]]> http://thefederalregister.com/d.p/2009-07-24-E9-17769 Fri, Jul 24 2009 11:00:00 GMT http://thefederalregister.com/d.p/2009-07-23-E9-17532

Extension:

Form N4, SEC File No. 270282, OMB Control No. 32350318.

Notice is hereby given that, pursuant to the Paperwork Reduction Act of 1995 (44 U.S.C. 3501 et seq.), the Securities and Exchange Commission (the ``Commission'') is soliciting comments on the collection of information summarized below. The Commission plans to submit this existing collection of information to the Office of Management and Budget for extension and approval.

The collection of information is entitled: ``Form N4 (17 CFR 239.17b and 274.11c) under the Securities Act of 1933 (15 U.S.C. 77a et seq.) under the Investment Company Act of 1940 (15 U.S.C. 80a1 et seq.) registration statement of separate accounts organized as unit investment trusts.'' Form N4 is the form used by insurance company separate accounts organized as unit investment trusts that offer variabl ]]> http://thefederalregister.com/d.p/2009-07-23-E9-17532 Thu, Jul 23 2009 11:00:00 GMT http://thefederalregister.com/d.p/2009-07-23-E9-17517

Order of Suspension of Trading

In the Matter of RDM Sports Group, Inc., Real Del Monte Mining Corp., Recoton Corp., Red Hot Concepts, Inc., RedHand International, Inc. (n/k/a African Diamond Co., Inc. or Coal Corp.), Redlaw Industries, Inc., Republic Resources, Inc., Reward Enterprises, Inc., Rhino Enterprises Group, Inc. (n/k/a Physicians Adult Daycare, Inc.), Ridgeview, Inc., Riverside Group, Inc., and Rocky Mount Undergarment Co., Inc.; Respondents.

It appears to the Securities and Exchange Commission that there is a lack of current and accurate information concerning the securities of RDM Sports Group, Inc. because it has not filed any periodic reports since the period ended June 29, 1997.

It appears to the Securities and Exchange Commission that there is a lack of current and accurate information concerning the securities of Real Del Monte Mining Corp. because it has not filed any periodic reports since the period ended December 31, 1997.

It appears to the Secu ]]> http://thefederalregister.com/d.p/2009-07-23-E9-17517 Thu, Jul 23 2009 11:00:00 GMT http://thefederalregister.com/d.p/2009-07-22-E9-17488

Notice is hereby given, pursuant to the provisions of the Government in the Sunshine Act, Public Law 94409, that the Securities and Exchange Commission will hold Closed Meetings on Thursday, July 23, 2009 at 2 p.m. and on Friday, July 24, 2009 at 8 a.m.

Commissioners, Counsel to the Commissioners, the Secretary to the Commission, and recording secretaries will attend the Closed Meetings. Certain staff members who have an interest in the matters also may be present.

The General Counsel of the Commission, or his designee, has certified that, in his 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), (5), (7), 9(ii) and (10), permit consideration of the scheduled matters at the Closed Meetings.

Commissioner Casey, as duty officer, voted to consider the items listed for the Closed Meetings in a closed session, and determined that no earlier notice thereof was possible.

The subject matter of the Closed Meeting s ]]> http://thefederalregister.com/d.p/2009-07-22-E9-17488 Wed, Jul 22 2009 11:00:00 GMT http://thefederalregister.com/d.p/2009-07-22-E9-17348 [[Page 36282]]
``Information Pertaining or Relevant to SEC Registrants and Their Activities (SEC55)'', ``Mailing, Contact and Other Lists (SEC56)'', ``International Program Oversight Database (InternationalPOD) (SEC 57)'', ``System for Enforcement Case Tracking and Routing (SEC58)'', and ``Office of Interpretation and Guidance Log; Office of Broker Dealer Finances NRSRO Log; and Office of Financial Responsibility Log (SEC59)''. ]]> http://thefederalregister.com/d.p/2009-07-22-E9-17348 Wed, Jul 22 2009 11:00:00 GMT http://thefederalregister.com/d.p/2009-07-20-E9-17234

Notice is hereby given, pursuant to the provisions of the Government in the Sunshine Act, Public Law 94409, that the Securities and Exchange Commission will hold an Open Meeting on Wednesday, July 22, 2009 at 2 p.m., in the Auditorium, Room L002.

The subject matter of the Open Meeting will be:

The Commission will consider whether to propose a rule to address ``pay to play'' practices by investment advisers. The proposal is designed, among other things, to prohibit advisers from seeking to influence the award of advisory contracts by public entities through political contributions to or for those officials who are in a position to influence the awards.

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) 5515400.

Dated: July 15, 2009.
Elizabeth M. Murphy,
Secretary.
[FR Doc. E9 ]]> http://thefederalregister.com/d.p/2009-07-20-E9-17234 Mon, Jul 20 2009 11:00:00 GMT http://thefederalregister.com/d.p/2009-07-16-E9-17000

Notice is hereby given, pursuant to the provisions of the Government in the Sunshine Act, Public Law 94409, that the Securities and Exchange Commission will hold Open Meetings on Monday, July 20, 2009 at 2 p.m. and Tuesday, July 21, 2009 at 10 a.m., in the Auditorium, Room L002.

The subject matter of the July 20, 2009 Open Meeting will be:

The Commission will hear oral argument in an appeal by Joseph John VanCook from the decision of an administrative law judge. The law judge found that VanCook, a registered representative formerly associated with Pritchard Capital Partners, LLC, willfully violated Section 10(b) of the Securities Exchange Act of 1934 and Exchange Act Rule 10b5 by orchestrating a fraudulent scheme involving material misrepresentations to permit his clients to ``late trade'' shares of certain registered investment companies. The law judge also found that VanCook aided and abetted and willfully caused Pritchard Capital's clearing broker to violate Rule 22c1 of the Inves ]]> http://thefederalregister.com/d.p/2009-07-16-E9-17000 Thu, Jul 16 2009 11:00:00 GMT http://thefederalregister.com/d.p/2009-07-16-E9-17001

Notice is hereby given, pursuant to the provisions of the Government in the Sunshine Act, Public Law 94409, that the Securities and Exchange Commission will hold Closed Meetings on Monday, July 20, 2009 at 3 p.m. and on Tuesday, July 21, 2009 at 2 p.m.

Commissioners, Counsel to the Commissioners, the Secretary to the Commission, and recording secretaries will attend the Closed Meetings. Certain staff members who have an interest in the matters also may be present.

The General Counsel of the Commission, or his designee, has certified that, in his opinion, one or more of the exemptions set forth in 5 U.S.C. 552b(c)(10) and 17 CFR 200.402(a)(10), permit consideration of the scheduled matters at the Closed Meetings.

Commissioner Casey, as duty officer, voted to consider the items listed for the Closed Meetings in a closed session.

The subject matter of the Closed Meetings scheduled for Monday, July 20, 2009 and Tuesday, July 21, 2009 will be: Postargument discussions.

At times ]]> http://thefederalregister.com/d.p/2009-07-16-E9-17001 Thu, Jul 16 2009 11:00:00 GMT http://thefederalregister.com/d.p/2009-07-16-E9-17091 Status: Closed meeting.
Place: 100 F Street, NE., Washington, DC.
Date and Time of Previously Announced Meeting: Tuesday, July 21, 2009 at 2 p.m.

Change in the Meeting: Additional item.

The following item has been added to the Tuesday, July 21, 2009 Closed Meeting agenda:

Opinion

The General Counsel of the Commission, or his designee, has certified that, in his opinion, one or more of the exemptions set forth in 5 U.S.C. 552(b)(c)(10) and 17 CFR 200.402(a)(10) permit consideration of the scheduled matter at the Closed Meeting.

Commissioner Aguilar, as duty officer, determined that Commission business required the above change.

At times, changes in Commission priorities require alterations in the
[[Page 34602]]
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) 5515400.

Dated: July 14, 2009.
El ]]> http://thefederalregister.com/d.p/2009-07-16-E9-17091 Thu, Jul 16 2009 11:00:00 GMT http://thefederalregister.com/d.p/2009-07-15-E9-16712

Extension:

Rule 206(3)2; SEC File No. 270216; OMB Control No. 32350243.

Notice is hereby given that, pursuant to the Paperwork Reduction Act of 1995 (44 U.S.C. 3501 et seq.), the Securities and Exchange Commission (the ``Commission'') is soliciting comments on the collection of information summarized below. The Commission plans to submit this existing collection of information to the Office of Management and Budget for extension and approval.

Rule 206(3)2, (17 CFR 275.206(3)2) which is entitled ``Agency Cross Transactions for Advisory Clients,'' permits investment advisers to comply with section 206(3) of the Investment Advisers Act of 1940 (the ``Act'') (15 U.S.C. 80b6(3)) by obtaining a client's blanket consent to enter into agency cross transactions (i.e., a transaction in which an adviser acts as a broker to both the advisory client ]]> http://thefederalregister.com/d.p/2009-07-15-E9-16712 Wed, Jul 15 2009 11:00:00 GMT http://thefederalregister.com/d.p/2009-07-13-E9-16387

Extension:

Rule 27f1 and Form N27F1, SEC File No. 270487, OMB Control No. 32350546.

Notice is hereby given that, pursuant to the Paperwork Reduction Act of 1995 (44 U.S.C. 3501 et seq.), the Securities and Exchange Commission (the ``Commission'') has submitted to the Office of Management and Budget a request for extension of the previously approved collection of information discussed below.

Section 27(f) of the Investment Company Act of 1940 (``Act'') (15 U.S.C. 80a27(f)) provides that ``[w]ith respect to any periodic payment plan (other than a plan under which the amount of sales load deducted from any payment thereon does not exceed 9 per centum of such payment), the custodian bank for such plan shall mail to each certificate holder, within sixty days after the issuance of the certificate, a statement of charges to be deducted from th ]]> http://thefederalregister.com/d.p/2009-07-13-E9-16387 Mon, Jul 13 2009 11:00:00 GMT http://thefederalregister.com/d.p/2009-07-13-E9-16479

Extension:

Rules 8b1 to 8b33; SEC File No. 270135; OMB Control No. 3235 0176.

Notice is hereby given that, pursuant to the Paperwork Reduction Act of 1995 (44 U.S.C. 3501 et seq.), the Securities and Exchange Commission (the ``Commission'') is soliciting comments on the collection of information summarized below. The Commission plans to submit this existing collection of information to the Office of Management and Budget for extension and approval.

Rules 8b1 to 8b33 (17 CFR 270.8b1 to 8b33) under the Investment Company Act of 1940 (15 U.S.C. 80a1 et seq.) (the ``Act'') are the procedural rules an investment company must follow when preparing and filing a registration statement. These rules were adopted to standardize the mechanics of registration under the Act and to provide more specific guidance for persons registering under the Act th ]]> http://thefederalregister.com/d.p/2009-07-13-E9-16479 Mon, Jul 13 2009 11:00:00 GMT http://thefederalregister.com/d.p/2009-07-13-E9-16587

Notice is hereby given, pursuant to the provisions of the Government in the Sunshine Act, Public Law 94409, that the Securities and Exchange Commission will hold an Open Meeting on Wednesday, July 15, 2009 at 10 a.m., in the Auditorium, Room L002.

The subject matter of the Open Meeting will be:

The Commission will consider a recommendation regarding amendments to Rule 15c212 (``Rule'') under the Securities Exchange Act of 1934 (``Act''), concerning the responsibilities of a broker, dealer, or municipal securities dealer acting as an underwriter in a primary offering of municipal securities and interpretive guidance intended to assist municipal securities issuers, brokers, dealers and municipal securities dealers in meeting their obligations under the antifraud provisions of the Act.

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 postpon ]]> http://thefederalregister.com/d.p/2009-07-13-E9-16587 Mon, Jul 13 2009 11:00:00 GMT http://thefederalregister.com/d.p/2009-07-13-E9-16596

Notice is hereby given, pursuant to the provisions of the Government in the Sunshine Act, Public Law 94409, that the Securities and Exchange Commission will hold a Closed Meeting on Thursday, July 16, 2009 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 his designee, has certified that, in his opinion, one or more of the exemptions set forth in 5 U.S.C. 552b(c)(5), (7), 9(B) and (10) and 17 CFR 200.402(a)(5), (7), 9(ii) and (10), permit consideration of the scheduled matters at the Closed Meeting.

Commissioner Walter, as duty officer, voted to consider the items listed for the Closed Meeting in a closed session.

The subject matter of the Closed Meeting scheduled for Thursday, July 16, 2009 will be:

Institution and settlement of injunctive actions; institutio ]]> http://thefederalregister.com/d.p/2009-07-13-E9-16596 Mon, Jul 13 2009 11:00:00 GMT http://thefederalregister.com/d.p/2009-07-10-Z9-16036

In notice document E916036 beginning on page 32212 in the issue of Tuesday, July 7, 2009, make the following correction:

On page 32213, in the third column, in the 17th line from the top, ``July 29, 2009'' should read ``July 28, 2009''.
[FR Doc. Z916036 Filed 7909; 8:45 am]
BILLING CODE 150501D ]]> http://thefederalregister.com/d.p/2009-07-10-Z9-16036 Fri, Jul 10 2009 11:00:00 GMT http://thefederalregister.com/d.p/2009-07-09-E9-16181

Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (``Act''),\1\ and Rule 19b4 thereunder,\2\ notice is hereby given that on June 25, 2009, NASDAQ OMX BX, Inc. (the ``Exchange'') filed with the Securities and Exchange Commission (``Commission'') the proposed rule change as described in Items I and II below, which Items have been prepared by the selfregulatory organization. The Exchange filed the proposed rule change pursuant to Section 19(b)(3)(A) of the Act,\3\ and Rule 19b4(f)(6) thereunder,\4\ which renders the proposal effective upon filing with the Commission. The Commission is publishing this notice to solicit comments on the proposed rule change from interested persons.
\1\ 15 U.S.C. 78s(b)(1).
\2\ 17 CFR 240.19b4.
\3\ 15 U.S.C. 78s(b)(3)(A).
\4\ 17 CFR 240.19b4(f)(6).
I. SelfRegulatory Organization's Statement of the Terms of Substance of the Proposed Rule Change

The Exchange proposes to amend Chapter V, Section 33 (Penny Pilot Progra ]]> http://thefederalregister.com/d.p/2009-07-09-E9-16181 Thu, Jul 9 2009 11:00:00 GMT http://thefederalregister.com/d.p/2009-07-09-E9-16183

Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (``Act''),\1\ and Rule 19b4 thereunder,\2\ notice is hereby given that on June 26, 2009, NASDAQ OMX BX, Inc. (the ``Exchange'') filed with the Securities and Exchange Commission (``Commission'') the proposed rule change as described in Items I and II and III below, which Items have been prepared by the Exchange. The Commission is publishing this notice to solicit comments on the proposed rule from interested persons. \1\ 15 U.S.C. 78s(b)(1).
\2\ 17 CFR 240.19b4.
I. SelfRegulatory Organization's Statement of the Terms of Substance of the Proposed Rule Change

NASDAQ OMX BX, Inc. (the ``Exchange'') proposes to amend the Fee Schedule of the Boston Options Exchange Group, LLC (``BOX''). The text of the proposed rule change is available from the principal office of the Exchange, at the Commission's Public Reference Room and also on the Exchange's Internet Web site at ]]> http://thefederalregister.com/d.p/2009-07-09-E9-16183 Thu, Jul 9 2009 11:00:00 GMT http://thefederalregister.com/d.p/2009-07-09-E9-16172

Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (``Act'') \1\, and Rule 19b4 thereunder,\2\ notice is hereby given that on June 19, 2009, NASDAQ OMX PHLX, Inc. (``Phlx'' or ``Exchange'') filed with the Securities and Exchange Commission (``SEC'' or ``Commission'') the proposed rule change as described in Items I, II, and III 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 U.S.C. 78s(b)(1).
\2\ 17 CFR 240.19b4.
I. SelfRegulatory Organization's Statement of the Terms of Substance of the Proposed Rule Change

The Exchange proposes to aggregate options orders within a specified time period for the purpose of assessing the Cancellation Fee. In addition, the Exchange purposes several technical amendments to delete obsolete language and further clarify the Fee Schedule.

While changes to the Exchange's fee schedule pursuant to ]]> http://thefederalregister.com/d.p/2009-07-09-E9-16172 Thu, Jul 9 2009 11:00:00 GMT http://thefederalregister.com/d.p/2009-07-09-E9-16177

Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (the ``Act'') \1\ and Rule 19b4 thereunder,\2\ notice is hereby given that, on June 29, 2009, NASDAQ OMX PHLX, Inc. (``Phlx'' or the ``Exchange'') filed with the Securities and Exchange Commission (the ``Commission'') the proposed rule change as described in Items I, II and III 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 U.S.C. 78s(b)(1).
\2\ 17 CFR 240.19b4.
I. SelfRegulatory Organization's Statement of the Terms of Substance of the Proposed Rule Change

The Exchange proposes to extend for a oneyear period until July 31, 2010, its current pilot programs relating to: (1) An option transaction charge credit of $0.21 per contract for Exchange options specialist units \3\ that incur Phlx option transaction charges when a customer order is delivered electronically via Phlx XL ]]> http://thefederalregister.com/d.p/2009-07-09-E9-16177 Thu, Jul 9 2009 11:00:00 GMT http://thefederalregister.com/d.p/2009-07-09-E9-16178

Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (the ``Act'') \1\ and Rule 19b4 thereunder,\2\ notice is hereby given that, on June 29, 2009, NASDAQ OMX PHLX, Inc. (``Phlx'' or the ``Exchange'') filed with the Securities and Exchange Commission (the ``Commission'') the proposed rule change as described in Items I, II and III 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 U.S.C. 78s(b)(1).
\2\ 17 CFR 240.19b4.
I. SelfRegulatory Organization's Statement of the Terms of Substance of the Proposed Rule Change

The Exchange proposes to extend for a oneyear period until July 31, 2010, a pilot program relating to transaction fees applicable to the execution of Principal Acting as Agent Orders (``P/A Orders'') \3\ and Principal Orders (``P Orders'') \4\ sent to the Exchange via the Intermarket Option Linkage (``Linkage'') under th ]]> http://thefederalregister.com/d.p/2009-07-09-E9-16178 Thu, Jul 9 2009 11:00:00 GMT http://thefederalregister.com/d.p/2009-07-09-E9-16179

Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (``Act''),\1\ and Rule 19b4 thereunder,\2\ notice is hereby given that on June 26, 2009, NASDAQ OMX PHLX, Inc. (``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 U.S.C. 78s(b)(1).
\2\ 17 CFR 240.19b4.
I. SelfRegulatory Organization's Statement of the Terms of Substance of the Proposed Rule Change

The Exchange proposes to extend a pilot (the ``pilot'') that permits certain options series to be quoted and traded in increments of $0.01. The Exchange proposes to extend the pilot through October 31, 2009.

The text of the proposed rule change is available on the Exchange's Web site at ]]> http://thefederalregister.com/d.p/2009-07-09-E9-16179 Thu, Jul 9 2009 11:00:00 GMT http://thefederalregister.com/d.p/2009-07-09-E9-16180

Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (``Act'') \1\, and Rule 19b4 thereunder,\2\ notice is hereby given that on June 25, 2009, The NASDAQ Stock Market LLC (``Nasdaq'' 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 Nasdaq. The Commission is publishing this notice to solicit comments on the proposed rule change from interested persons.
\1\ 15 U.S.C. 78s(b)(1).
\2\ 17 CFR 240.19b4.
I. SelfRegulatory Organization's Statement of the Terms of Substance of the Proposed Rule Change

NASDAQ is filing a proposal for the NASDAQ Options Market (``NOM'' or ``Exchange'') to amend Chapter VI, Section 5 to extend until October 31, 2009, a pilot program to quote and to trade certain options in pennies.

The text of the proposed rule change is available on Nasdaq's Web site at ]]> http://thefederalregister.com/d.p/2009-07-09-E9-16180 Thu, Jul 9 2009 11:00:00 GMT http://thefederalregister.com/d.p/2009-07-09-E9-16187

Pursuant to Section 19(b)(1) \1\ of the Securities Exchange Act of 1934 (``Act''),\2\ and Rule 19b4 thereunder,\3\ notice is hereby given that on June 29, 2009, NYSE Amex LLC (``NYSE Amex'' or the ``Exchange'') filed with the Securities and Exchange Commission (``Commission'') the proposed rule change as described in Items I and II below, which Items have been prepared by the selfregulatory organization. The Commission is publishing this notice to solicit comments on the proposed rule change from interested persons. \1\ 15 U.S.C. 78s(b)(1).
\2\ 15 U.S.C. 78a.
\3\ 17 CFR 240.19b4.
I. SelfRegulatory Organization's Statement of the Terms of Substance of the Proposed Rule Change

The Exchange proposes to amend its option trading rules in order to extend the Penny Pilot in options classes in certain issues (``Pilot Program'') previously approved by the Securities and Exchange Commission (``Commission'') through October 31, 2009. The text of the proposed rule change is ]]> http://thefederalregister.com/d.p/2009-07-09-E9-16187 Thu, Jul 9 2009 11:00:00 GMT http://thefederalregister.com/d.p/2009-07-09-E9-16188

Pursuant to Section 19(b)(1) \1\ of the Securities Exchange Act of 1934 (``Act'') \2\ and Rule 19b4 thereunder,\3\ notice is hereby given that on June 26, 2009, the NYSE Amex LLC (``NYSE Amex'' or ``Exchange'') filed with the Securities and Exchange Commission (the ``Commission'') the proposed rule change as described in Items I and II below, which Items have been prepared by the selfregulatory organization. The Commission is publishing this notice to solicit comments on the proposed rule change from interested persons and grant accelerated approval of the proposed rule change.
\1\ 15 U.S.C. 78s(b)(1).
\2\ 15 U.S.C. 78a.
\3\ 17 CFR 240.19b4.
I. SelfRegulatory Organization's Statement of the Terms of Substance of the Proposed Rule Change

The Exchange proposes to [sic] the Linkage Fees portion of the Schedule of Fees and Charges for Exchange Services (``Schedule''). The Exchange intends for these changes to become operative on July 1, 2009 in conjunction with chang ]]> http://thefederalregister.com/d.p/2009-07-09-E9-16188 Thu, Jul 9 2009 11:00:00 GMT http://thefederalregister.com/d.p/2009-07-09-E9-16173

Pursuant to Section 19(b)(1) \1\ of the Securities Exchange Act of 1934 (the ``Act'') \2\ and Rule 19b4 thereunder,\3\ notice is hereby given that on June 24, 2009, NYSE Arca, Inc. (``NYSE Arca'' or the ``Exchange'') filed with the Securities and Exchange Commission (the ``Commission'') the proposed rule change as described in Items I and II below, which Items have been prepared by the selfregulatory organization. The Commission is publishing this notice to solicit comments on the proposed rule change from interested persons. \1\ 15 U.S.C.78s(b)(1).
\2\ 15 U.S.C. 78a.
\3\ 17 CFR 240.19b4.
I. SelfRegulatory Organization's Statement of the Terms of Substance of the Proposed Rule Change

The Exchange proposes to amend Rule 6.9Exercise Limits. The text of the proposed rule change is attached as Exhibit 5 to the 19b4 form. A copy of this filing is available on the Exchange's Web site at ]]> http://thefederalregister.com/d.p/2009-07-09-E9-16173 Thu, Jul 9 2009 11:00:00 GMT http://thefederalregister.com/d.p/2009-07-09-E9-16175

Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (the ``Act'') \1\ and Rule 19b4 thereunder,\2\ notice is hereby given that, on June 29, 2009, the NYSE Arca Inc. (``NYSE Arca'' or the ``Exchange'') filed with the Securities and Exchange Commission (the ``Commission'') the proposed rule change as described in Items I, II and III 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 U.S.C.78s(b)(1).
\2\ 17 CFR 240.19b4.
I. SelfRegulatory Organization's Statement of the Terms of Substance of the Proposed Rule Change

The Exchange proposes to amend its Schedule of Fees and Charges for Exchange Services in order to extend until December 31, 2009 the current pilot program regarding transaction fees charged for trades executed through the intermarket options linkage (``Linkage''). The text of the proposed rule change is available at the ]]> http://thefederalregister.com/d.p/2009-07-09-E9-16175 Thu, Jul 9 2009 11:00:00 GMT http://thefederalregister.com/d.p/2009-07-09-E9-16186

Pursuant to Section 19(b)(1) \1\ of the Securities Exchange Act of 1934 (``Act''),\2\ and Rule 19b4 thereunder,\3\ notice is hereby given that on June 29, 2009, NYSE Arca, Inc. (``NYSE Arca'' or the ``Exchange'') filed with the Securities and Exchange Commission (``Commission'') the proposed rule change as described in Items I and II below, which Items have been prepared by the selfregulatory organization. The Commission is publishing this notice to
[[Page 32992]]
solicit comments on the proposed rule change from interested persons. \1\ 15 U.S.C. 78s(b)(1).
\2\ 15 U.S.C. 78a.
\3\ 17 CFR 240.19b4.
I. SelfRegulatory Organization's Statement of the Terms of Substance of the Proposed Rule Change

The Exchange proposes to amend its option trading rules in order to extend the Penny Pilot in options classes in certain issues (``Pilot Program'') previously approved by the Securities and Exchange Commission (``Commission'') through October 31, 2009. The text of the proposed ]]> http://thefederalregister.com/d.p/2009-07-09-E9-16186 Thu, Jul 9 2009 11:00:00 GMT http://thefederalregister.com/d.p/2009-07-08-E9-16037 ]]> http://thefederalregister.com/d.p/2009-07-08-E9-16037 Wed, Jul 8 2009 11:00:00 GMT http://thefederalregister.com/d.p/2009-07-07-E9-16035

Notice is hereby given, pursuant to the provisions of the Government in the Sunshine Act, Public Law 94409, that the Securities and Exchange Commission will hold a Closed Meeting on Thursday, July 9, 2009 at 1 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 following is a notice of applications for deregistration under section 8(f) of the Investment Company Act of 1940 for the month of June, 2009. A copy of each application may be obtained via the Commission's Web site by searching for the file number, or an applicant using the Company name box, at http://www.sec.gov/search/search.htm or by calling (202) 5518090. An order granting each application will be issued unless the SEC orders a hearing. Interested persons may request a hearing on any application by writing to the SEC's Secretary at the address below and serving the relevant applicant with a copy of the request, personally or by mail. Hearing requests should be received by the SEC by 5:30 p.m. on July 21, 2009, and should be accompanied by proof of service on the applicant, in the form of an affidavit or, for lawyers, a certificate of ]]> http://thefederalregister.com/d.p/2009-07-02-E9-15614 Thu, Jul 2 2009 11:00:00 GMT http://thefederalregister.com/d.p/2009-06-30-E9-15399

Extension:

Rule 2a7, SEC File No. 270258, OMB Control No. 32350268.

Notice is hereby given that under the Paperwork Reduction Act of 1995 (44 U.S.C. 3501), the Securities and Exchange Commission (``Commission'') is soliciting comments on the collection of information summarized below. The Commission plans to submit this existing collection of information to the Office of Management and Budget for extension and approval.

Rule 2a7 (17 CFR 270.2a7) under the Investment Company Act of 1940 (15 U.S.C. 80a) (the ``Act'') governs money market funds. Money market funds are openend management investment companies that differ from other openend management investment companies in that they seek to maintain a stable price per share, usually $1.00. The rule exempts money market funds from the valuation requirements of the Act, and, subject to certai ]]> http://thefederalregister.com/d.p/2009-06-30-E9-15399 Tue, Jun 30 2009 11:00:00 GMT http://thefederalregister.com/d.p/2009-06-26-E9-15252

Notice is hereby given, pursuant to the provisions of the Government in the Sunshine Act, Public Law 94409, that the Securities and Exchange Commission will hold an Open Meeting on Wednesday, July 1, 2009 at 10 a.m., in the Auditorium, Room L002.

The subject matter of the Open Meeting will be:

Item 1: The Commission will consider whether to propose amendments to the proxy rules under the Securities Exchange Act of 1934 to set forth requirements for U.S. registrants that have received financial assistance under the Troubled Asset Relief Program and that are required, pursuant to Section 111(e) of the Emergency Economic Stabilization Act of 2008, to include an advisory shareholder vote on executive compensation.

Item 2: The Commission will consider whether to approve the proposed rule change, as modified by Amendment No. 4, filed by the New York Stock Exchange, Inc. to amend NYSE Rule 452 and corresponding Listed Company Manual Section 402.08 to eliminate broker discretionary votin ]]> http://thefederalregister.com/d.p/2009-06-26-E9-15252 Fri, Jun 26 2009 11:00:00 GMT http://thefederalregister.com/d.p/2009-06-23-E9-14656 Place: 100 F Street, NW., Washington, DC.
Date and Time of Previously Announced Meeting: June 19, 2009 at 11 a.m. Change In the Meeting: Deletion of an Item.

The following item will not be considered during the Closed Meeting on Friday, June 19, 2009: Formal order of investigation.

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) 5515400.

Dated: June 17, 2009.
Elizabeth M. Murphy,
Secretary.
[FR Doc. E914656 Filed 62209; 8:45 am]
BILLING CODE 801001P ]]> http://thefederalregister.com/d.p/2009-06-23-E9-14656 Tue, Jun 23 2009 11:00:00 GMT http://thefederalregister.com/d.p/2009-06-22-E9-14657

Notice is hereby given, pursuant to the provisions of the Government in the Sunshine Act, Public Law 94409, that the Securities and Exchange Commission will hold an Open Meeting on Wednesday, June 24, 2009 at 10 a.m., in the Auditorium, Room L002.

The subject matter of the Open Meeting will be: The Commission will consider whether to propose amendments governing the operations of money market funds.

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) 5515400.

Dated: June 17, 2009.
Elizabeth M. Murphy,
Secretary.
[FR Doc. E914657 Filed 61809; 11:15 am]
BILLING CODE 801001P ]]> http://thefederalregister.com/d.p/2009-06-22-E9-14657 Mon, Jun 22 2009 11:00:00 GMT http://thefederalregister.com/d.p/2009-06-19-E9-14538 Status: Closed Meeting.
Place: 100 F Street, NE., Washington, DC.
Date and Time of Previously Announced Meeting: Friday, June 19, 2009 at 11 a.m.

Change in the Meeting: Additional Item.

The following item has been added to the Friday, June 19, 2009 Closed Meeting agenda: Formal Order of Investigation.

The General Counsel of the Commission, or his designee, has certified that, in his opinion, one or more of the exemptions set forth in 5 U.S.C. 552(b)(c)(3), (5), (7) and (10) and 17 CFR 200.402(a)(3), (5), (7) and (10) permit consideration of the scheduled matter at the Closed Meeting.

Commissioner Walter, as duty officer, determined that Commission business required the above change and that no earlier notice thereof was possible.

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 add ]]> http://thefederalregister.com/d.p/2009-06-19-E9-14538 Fri, Jun 19 2009 11:00:00 GMT http://thefederalregister.com/d.p/2009-06-17-E9-14149

Extension:

Rule 17Ad15, OMB Control No. 32350409, SEC File No. 270360.

Notice is hereby given that pursuant to the Paperwork Reduction Act of 1995 (44 U.S.C. 3501 et seq.) the Securities and Exchange Commission (``Commission'') is soliciting comments on the existing collection of information provided for in the following rule: Rule 17aAd15 (17 CFR 240.17Ad15) under the Securities Exchange Act of 1934 (15 U.S.C. 78a et seq.) (``Exchange Act''). The Commission plans to submit this existing collection of information to the Office of Management and Budget for extension and approval.

Rule 17Ad15 (17 CFR 240.17Ad15) under the Securities Exchange Act of 1934 (15 U.S.C. 78a et seq.) (the ``Act'') requires approximately 587 transfer agents to establish written standards for the acceptance or rejection of guarantees of securities transfers fr ]]> http://thefederalregister.com/d.p/2009-06-17-E9-14149 Wed, Jun 17 2009 11:00:00 GMT http://thefederalregister.com/d.p/2009-06-17-E9-14150

Extension:

Rule 17f1(c) and Form X17F1A, OMB Control No. 32350037, SEC File No. 27029.

Notice is hereby given that pursuant to the Paperwork Reduction Act of 1995 (44 U.S.C. 3501 et seq.) the Securities and Exchange Commission (``Commission'') is soliciting comments on the existing collection of information provided for in the following rule: Rule 17f1(c) and Form X17F1A (17 CFR 249.100) under the Securities Exchange Act of 1934 (15 U.S.C. 78a et seq.) (``Exchange Act''). The Commission plans to submit this existing collection of information to the Office of Management and Budget for extension and approval.

Rule 17f1(c) (17 CFR 240.17f1(c)) requires approximately 26,000 entities in the securities industry to report lost, stolen, missing, or counterfeit securities to a central database. Form X17F1A (17 CFR 249.100) facilitates the a ]]> http://thefederalregister.com/d.p/2009-06-17-E9-14150 Wed, Jun 17 2009 11:00:00 GMT http://thefederalregister.com/d.p/2009-06-17-E9-14174

Extension:

Form 18, OMB Control No. 32350121, SEC File No. 270105.

Notice is hereby given that, pursuant to the Paperwork Reduction Act of 1995 (44 U.S.C. 3501 et seq.), the Securities and Exchange Commission (``Commission'') is soliciting comments on the collection of information summarized below. The Commission plans to submit this existing collection of information to the Office of Management Budget for extension and approval.

Form 18 (17 CFR 249.218) is used for the registration of securities of any foreign government or political subdivision on a U.S. exchange. The information collected is intended to ensure that the information required to be filed by the Commission permits verification of compliance with securities law requirements and assures the public availability of the information. Form 18 takes approximately 8 hours per res ]]> http://thefederalregister.com/d.p/2009-06-17-E9-14174 Wed, Jun 17 2009 11:00:00 GMT http://thefederalregister.com/d.p/2009-06-17-E9-14175

Extension:

Form F80; OMB Control No. 32350404; SEC File No. 270357.

Notice is hereby given that, pursuant to the Paperwork Reduction Act of 1995 (44 U.S.C. 3501 et seq.), the Securities and Exchange Commission (``Commission'') is soliciting comments on the collection of information summarized below. The Commission plans to submit this existing collection of information to the Office of Management Budget for extension and approval.

Form F80 (17 CFR 239.41) is used by large, publiclytraded Canadian foreign private issuers registering securities that are offered in business combinations and exchange offers. The information collected is intended to ensure that the information required to be filed by the Commission permits verification of compliance with securities law requirements and assures the public availability of the information. Form ]]> http://thefederalregister.com/d.p/2009-06-17-E9-14175 Wed, Jun 17 2009 11:00:00 GMT http://thefederalregister.com/d.p/2009-06-17-E9-14176

Extension:

Rules 17h1T and 17h2T, SEC File No. 270359, OMB Control No. 32350410.

Notice is hereby given that pursuant to the Paperwork Reduction Act of 1995 (44 U.S.C. 3501 et seq.) the Securities and Exchange Commission (``Commission'') has submitted to the Office of Management and Budget requests for extension of the previously approved collections of information discussed below. The Code of Federal Regulation citations to this collection of information are the following rules: 17 CFR 240.17h1T and 17 CFR 240.17h2T under the Securities Exchange Act of 1934 (15 U.S.C. 78a et seq.) (the ``Act'').

Rule 17h1T requires a brokerdealer to maintain and preserve records and other information concerning certain entities that are associated with the brokerdealer. This requirement extends to the financial and securities activities of the holding ]]> http://thefederalregister.com/d.p/2009-06-17-E9-14176 Wed, Jun 17 2009 11:00:00 GMT http://thefederalregister.com/d.p/2009-06-17-E9-14190

Extension:

Rule 35d1; SEC File No. 270491; OMB Control No. 32350548.

Notice is hereby given that, pursuant to the Paperwork Reduction Act of 1995 (44 U.S.C. 3501 et seq.) (``Act''), the Securities and Exchange Commission (the ``Commission'') is soliciting comments on the collection of information summarized below. The Commission plans to submit this existing collection of information to the Office of Management and Budget for extension and approval.

Rule 35d1 (17 CFR 270.35d1) under the Investment Company Act of 1940 (15 U.S.C. 80a1 et seq.) generally requires that investment companies with certain names invest at least 80% of their assets according to what their names suggests. The rule provides that an affected investment company must either adopt this 80% requirement as a fundamental policy or adopt a policy to provide notice to ]]> http://thefederalregister.com/d.p/2009-06-17-E9-14190 Wed, Jun 17 2009 11:00:00 GMT http://thefederalregister.com/d.p/2009-06-15-E9-14007

Extension:

Rule 38a1; SEC File No. 270522; OMB Control No. 32350586.

Notice is hereby given that, pursuant to the Paperwork Reduction Act of 1995 (44 U.S.C. 3501 et seq.), the Securities and Exchange Commission (the ``Commission'') is soliciting comments on the collection of information summarized below. The Commission plans to submit this existing collection of information to the Office of Management and Budget for extension and approval.

Rule 38a1 (17 CFR 270.38a1) under the Investment Company Act of 1940 (15 U.S.C. 80a) (``Investment Company Act'') is intended to protect investors by fostering better fund compliance with securities laws. The rule requires every registered investment company and business development company (``fund'') to: (i) Adopt and implement written policies and procedures reasonably designed to prevent violations ]]> http://thefederalregister.com/d.p/2009-06-15-E9-14007 Mon, Jun 15 2009 11:00:00 GMT http://thefederalregister.com/d.p/2009-06-15-E9-13934

In FR Doc. No. E913349, on page 27359 for Tuesday, June 9, 2009, the link for sending electronic comments to the Commission was incorrectly stated in two places. The correct link reads as follows: (http://www.sec.gov/rules/other.shtml).

Dated: June 9, 2009.
Florence E. Harmon,
Deputy Secretary.
[FR Doc. E913934 Filed 61209; 8:45 am]
BILLING CODE 801001P ]]> http://thefederalregister.com/d.p/2009-06-15-E9-13934 Mon, Jun 15 2009 11:00:00 GMT http://thefederalregister.com/d.p/2009-06-15-E9-14075

Notice is hereby given, pursuant to the provisions of the Government in the Sunshine Act, Public Law 94409, that the Securities and Exchange Commission will hold a Closed Meeting on Friday, June 19, 2009 at 11 a.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 his designee, has certified that, in his 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), (5), (7), 9(ii) and (10), permit consideration of the scheduled matters at the Closed Meeting.

Commissioner Paredes, as duty officer, voted to consider the items listed for the Closed Meeting in a closed session.

The subject matter of the Closed Meeting scheduled for Friday, June 19, 2009 will be: institution and settlement of injunctive actions; insti ]]> http://thefederalregister.com/d.p/2009-06-15-E9-14075 Mon, Jun 15 2009 11:00:00 GMT http://thefederalregister.com/d.p/2009-06-12-E9-13813 Extension:

Form 13F; SEC File No. 27022; OMB Control No. 32350006.

Notice is hereby given that, pursuant to the Paperwork Reduction Act of 1995 (44 U.S.C. 35013520), the Securities and Exchange Commission (the ``Commission'') has submitted to the Office of Management and Budget a request for extension of the previously approved collection of information discussed below.

Section 13(f)\1\ of the Securities Exchange Act of 1934\2\ (the ``Exchange Act'') empowers the Commission to: (1) Adopt rules that create a reporting and disclosure system to collect specific information; and (2) disseminate such information to the public. Rule 13f1\3\ under the Exchange Act requires institutional investment managers that exercise investment discretion over accountshaving in the aggregate a fair market value of at least $100,000,000 of exchange traded or NASD ]]> http://thefederalregister.com/d.p/2009-06-12-E9-13813 Fri, Jun 12 2009 11:00:00 GMT http://thefederalregister.com/d.p/2009-06-12-E9-13814

Extension:

Rule 17a11; OMB Control No. 32350085; SEC File No. 27094.

Notice is hereby given that pursuant to the Paperwork Reduction Act of 1995 (44 U.S.C. 3501 et seq.), the Securities and Exchange Commission (``Commission'') is soliciting comments on the existing collection of information provided for in the following rule: Rule 17a 11 (17 CFR 240.17a11) under the Securities Exchange Act of 1934 (15 U.S.C. 78a et seq.) (``Exchange Act''). The Commission plans to submit this existing collection of information to the Office of Management and Budget (``OMB'') for extension and approval.

In response to an operational crisis in the securities industry between 1967 and 1970, the Commission adopted Rule 17a11 (17 CFR 240.17a11) under the Exchange Act on July 11, 1971. The Rule requires brokerdealers that are experiencing financial or oper ]]> http://thefederalregister.com/d.p/2009-06-12-E9-13814 Fri, Jun 12 2009 11:00:00 GMT http://thefederalregister.com/d.p/2009-06-11-E9-13683

Notice is hereby given, pursuant to the provisions of the Government in the Sunshine Act, Public Law 94409, that the Securities and Exchange Commission will hold a Joint Hearing with the Department of Labor to examine target date funds and similar investment options on Thursday, June 18, 2009 beginning at 9 a.m.

The Joint Hearing will take place in the Auditorium of the Department of Labor's headquarters at 200 Constitution Avenue, NW., Washington, DC. The Joint Hearing will be open to the public with seating on a firstcome, firstserved basis. Visitors will be subject to security checks.

Discussion topics at the Joint Hearing will include issues related to how target date fund managers determine asset allocations and changes to asset allocations (including glide paths) over the course of a fund's operation; how they select and monitor underlying investments; how the foregoing and related risks are disclosed to investors; and the approaches or factors for comparing and evaluating targ ]]> http://thefederalregister.com/d.p/2009-06-11-E9-13683 Thu, Jun 11 2009 11:00:00 GMT http://thefederalregister.com/d.p/2009-06-10-E9-13511 ]]> http://thefederalregister.com/d.p/2009-06-10-E9-13511 Wed, Jun 10 2009 11:00:00 GMT http://thefederalregister.com/d.p/2009-06-09-E9-13547

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) 5515400.

Dated: June 4, 2009.
Elizabeth M. Murphy,
Secretary.
[FR Doc. E913547 Filed 6509; 11:15 am]
BILLING CODE 801001P ]]> http://thefederalregister.com/d.p/2009-06-09-E9-13547 Tue, Jun 9 2009 11:00:00 GMT http://thefederalregister.com/d.p/2009-06-09-E9-13349 ]]> http://thefederalregister.com/d.p/2009-06-09-E9-13349 Tue, Jun 9 2009 11:00:00 GMT http://thefederalregister.com/d.p/2009-06-08-E9-13254

Extension:

Regulation SP, OMB Control No. 32350537, SEC File No. 270480.

Notice is hereby given that pursuant to the Paperwork Reduction Act of 1995 (44 U.S.C. 3501 et seq.) the Securities and Exchange Commission (``Commission'') is soliciting comments on the existing collection of information provided for in the following rule:
[[Page 27207]]
Regulation SPPrivacy of Consumer Financial Information (17 CFR Part 248) under the Securities Exchange Act of 1934 (15 U.S.C. 78a et seq.) (``Exchange Act''). The Commission plans to submit this existing collection of information to the Office of Management and Budget for extension and approval.

The Commission adopted Regulation SP (17 CFR Part 248) under the authority set forth in section 504 of the GrammLeachBliley Act (15 U.S.C. 6804), sections 17 and 23 of the Securities Exchange Act of 1934 (1 ]]> http://thefederalregister.com/d.p/2009-06-08-E9-13254 Mon, Jun 8 2009 11:00:00 GMT http://thefederalregister.com/d.p/2009-06-08-E9-13255

Extension:

Rule 6c7; SEC File No. 270269; OMB Control No. 32350276.

Notice is hereby given that, pursuant to the Paperwork Reduction Act of 1995 (44 U.S.C. 3501 et seq.), the Securities and Exchange Commission (the ``Commission'') has submitted to the Office of Management and Budget a request for extension of the previously approved collection of information discussed below.

Rule 6c7 (17 CFR 270.6c7) under the Investment Company Act of 1940 (15 U.S.C. 80a1 et seq.) (``1940 Act'') provides exemption from certain provisions of Sections 22(e) and 27 of the 1940 Act for registered separate accounts offering variable annuity contracts to certain employees of Texas institutions of higher education participating in the Texas Optional Retirement Program. There are approximately 100 registrants governed by Rule 6c7. The burden of compliance with ]]> http://thefederalregister.com/d.p/2009-06-08-E9-13255 Mon, Jun 8 2009 11:00:00 GMT http://thefederalregister.com/d.p/2009-06-08-E9-13256

Extension:

Rule 12d11; SEC File No. 270526; OMB Control No. 32350584.

Notice is hereby given that, pursuant to the Paperwork Reduction Act of 1995 (44 U.S.C. 3501 et seq.), the Securities and Exchange Commission (the ``Commission'') has submitted to the Office of Management and Budget a request for extension of the previously approved collection of information discussed below.

Under current law, an investment company (``fund'') is limited in the amount of securities the fund (``acquiring fund'') can acquire from another fund (``acquired fund''). In general under the Investment Company Act of 1940 (15 U.S.C. 80a) (the ``Investment Company Act'' or ``Act''), a registered fund (and companies it controls) cannot: (i) Acquire more than three percent of another fund's securities; (ii) invest more than five percent of its own assets in another ]]> http://thefederalregister.com/d.p/2009-06-08-E9-13256 Mon, Jun 8 2009 11:00:00 GMT http://thefederalregister.com/d.p/2009-06-08-E9-13257

Extension:

Rule 17g1; SEC File No. 270208; OMB Control No. 32350213. [[Page 27204]]

Notice is hereby given that, pursuant to the Paperwork Reduction Act of 1995 (44 U.S.C. 35013520), the Securities and Exchange Commission (the ``Commission'') has submitted to the Office of Management and Budget a request for extension of the previously approved collection of information discussed below.

Rule 17g1 (17 CFR 270.17g1) under the Investment Company Act of 1940 (the ``Act'') (15 U.S.C. 80a17(g)) governs the fidelity bonding of officers and employees of registered management investment companies (``funds'') and their advisers. Rule 17g1 requires, in part, the following:

Independent Directors' Approval

The form and amount of the fidelity bond must be approved by a majority of the fund's independent directors at least once annually, and the am ]]> http://thefederalregister.com/d.p/2009-06-08-E9-13257 Mon, Jun 8 2009 11:00:00 GMT http://thefederalregister.com/d.p/2009-06-08-E9-13258

Extension:

Rule 20a1; SEC File No. 270132; OMB Control No. 32350158.

Notice is hereby given that, pursuant to the Paperwork Reduction Act of 1995 (44 U.S.C. 35013520), the Securities and Exchange Commission (the ``Commission'') has submitted to the Office of Management and Budget a request for extension of the previously [[Page 27209]]

approved collection of information discussed below.

Rule 20a1 (17 CFR 270.20a1) under the Investment Company Act of 1940 (15 U.S.C. 80a1 et seq.) requires that the solicitation of a proxy, consent, or authorization with respect to a security issued by a registered investment company (``fund'') be in compliance with Regulation 14A (17 CFR 240.14a1 et seq.), Schedule 14A (17 CFR 240.14a101), and all other rules and regulations adopted under section 14(a) of the Securities Exchange Act of 1934 (15 U.S.C. 78n(a ]]> http://thefederalregister.com/d.p/2009-06-08-E9-13258 Mon, Jun 8 2009 11:00:00 GMT http://thefederalregister.com/d.p/2009-06-08-E9-13259

Extension:

Rule 23c1; SEC File No. 270253; OMB Control No. 32350260.

Notice is hereby given that, pursuant to the Paperwork Reduction Act of 1995 (44 U.S.C. 35013520), the Securities and Exchange Commission (the ``Commission'') has submitted to the Office of Management and Budget a request for extension of the previously approved collection of information discussed below.

Rule 23c1 (17 CFR 270.23c1) under the Investment Company Act of 1940 (15 U.S.C. 80a), among other things, permits a closedend fund to repurchase its securities for cash if in addition to the other requirements set forth in the rule: (i) Payment of the purchase price is accompanied or preceded by a written confirmation of the purchase; (ii) the asset coverage per unit of the security to be purchased is disclosed to the seller or his agent; and (iii) if the security is a ]]> http://thefederalregister.com/d.p/2009-06-08-E9-13259 Mon, Jun 8 2009 11:00:00 GMT http://thefederalregister.com/d.p/2009-06-08-E9-13260

Extension:

Rule 27e1 and Form N27E1, SEC File No. 270486, OMB Control No. 32350545.

Notice is hereby given that, pursuant to the Paperwork Reduction Act of 1995 (44 U.S.C. 3501 et seq.), the Securities and Exchange Commission (the ``Commission'') has submitted to the Office of Management and Budget a request for extension of the previously approved collection of information discussed below.

Section 27(e) of the Investment Company Act of 1940 (``Act'') (15 U.S.C. 80a27(e)) provides in part that a registered investment company issuing a periodic payment plan certificate,\1\ or any depositor or underwriter for such company (collectively ``issuer''), must notify in writing ``each certificate holder who has missed three payments or more, within thirty days following the expiration of fifteen months after the issuance of the certificate, or, ]]> http://thefederalregister.com/d.p/2009-06-08-E9-13260 Mon, Jun 8 2009 11:00:00 GMT http://thefederalregister.com/d.p/2009-06-04-E9-12956 ]]> http://thefederalregister.com/d.p/2009-06-04-E9-12956 Thu, Jun 4 2009 11:00:00 GMT http://thefederalregister.com/d.p/2009-06-04-E9-12996

The following is a notice of applications for deregistration under section 8(f) of the Investment Company Act of 1940 for the month of May, 2009. A copy of each application may be obtained via the Commission's Web site by searching for the file number, or an applicant using the Company name box, at http://www.sec.gov/search/search.htm or by calling (202)5518090. An order granting each application will be issued unless the SEC orders a hearing. Interested persons may request a hearing on any application by writing to the SEC's Secretary at the address below and serving the relevant applicant with a copy of the request, personally or by mail. Hearing requests should be received by the SEC by 5:30 p.m. on June 23, 2009, and should be accompanied by proof of service on the applicant, in the form of an affidavit or, for lawyers, a certificate of ser ]]> http://thefederalregister.com/d.p/2009-06-04-E9-12996 Thu, Jun 4 2009 11:00:00 GMT http://thefederalregister.com/d.p/2009-06-03-E9-12914

Notice is hereby given, pursuant to the provisions of the Government in the Sunshine Act, Public Law 94409, that the Securities and Exchange Commission will hold a Closed Meeting on Thursday, June 4, 2009 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 his designee, has certified that, in his 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), (5), (7), 9(ii) and (10), permit consideration of the scheduled matters at the Closed Meeting.

Chairman Schapiro, as duty officer, voted to consider the items listed for the Closed Meeting in a closed session and determined that no earlier notice thereof was possible.

The subject matter of the Closed Meeting scheduled for Thursday, June 4, 2009 will be ]]> http://thefederalregister.com/d.p/2009-06-03-E9-12914 Wed, Jun 3 2009 11:00:00 GMT http://thefederalregister.com/d.p/2009-06-02-E9-12719

Extension:

Form 11K; OMB Control No. 32350082; SEC File No. 270101.

Notice is hereby given that, pursuant to the Paperwork Reduction Act of 1995 (44 U.S.C. 3501 et seq.), the Securities and Exchange Commission (``Commission'') is soliciting comments on the collection of information summarized below. The Commission plans to submit this existing collection of information to the Office of Management and Budget for extension and approval.

Form 11K (17 CFR 249.311) is the annual report designed for use by employee stock purchase, savings and similar plans to comply with the reporting requirements under Section 15(d) of the Securities and Exchange Act of 1934 (the ``Exchange Act'') (15 U.S.C. 78o(d)). Section 15(d) establishes a periodic reporting obligation for every issuer of a class of securities registered under the Securities Act of 1933 ]]> http://thefederalregister.com/d.p/2009-06-02-E9-12719 Tue, Jun 2 2009 11:00:00 GMT http://thefederalregister.com/d.p/2009-05-28-E9-12347

Notice is hereby given, pursuant to the provisions of the Government in the Sunshine Act, Public Law 94409, that the Securities and Exchange Commission will hold Closed Meetings on Wednesday, May 27, 2009 at 1 p.m. and Thursday, May 28, 2009 at 2 p.m.

Commissioners, Counsel to the Commissioners, the Secretary to the Commission, and recording secretaries will attend the Closed Meetings. Certain staff members who have an interest in the matters also may be present.

The General Counsel of the Commission, or his designee, has certified that, in his 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), (5), (7), 9(ii) and (10), permit consideration of the scheduled matters at the Closed Meetings.

Commissioner Casey, as duty officer, voted to consider the item listed for the Closed Meetings in closed sessions, and determined that no earlier notice of the May 27, 2009 Closed Meeting was possible.

The subject matter ]]> http://thefederalregister.com/d.p/2009-05-28-E9-12347 Thu, May 28 2009 11:00:00 GMT http://thefederalregister.com/d.p/2009-05-22-E9-12024 ]]> http://thefederalregister.com/d.p/2009-05-22-E9-12024 Fri, May 22 2009 11:00:00 GMT http://thefederalregister.com/d.p/2009-05-20-E9-11702

Notice is hereby given, pursuant to the provisions of the Government in the Sunshine Act, Public Law 94409, that the Securities and Exchange Commission will hold a Closed Meeting on Thursday, May 21, 2009 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 his designee, has certified that, in his 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), (5), (7), 9(ii) and (10), permit consideration of the scheduled matters at the Closed Meeting.

Commissioner Paredes, as duty officer, voted to consider the item listed for the Closed Meeting in closed session.

The subject matter of the Closed Meeting scheduled for Thursday, May 21, 2009 will be: institution and settlement of injunctive actions; institu ]]> http://thefederalregister.com/d.p/2009-05-20-E9-11702 Wed, May 20 2009 11:00:00 GMT http://thefederalregister.com/d.p/2009-05-20-E9-11701

In FR Doc. E911077 for Monday, May 11, 2009, (73 FR 21839) in the second column of the Sunshine Act Notice make the following correction:

Revise the sixth line of the third paragraph to read: ``The proposed amendments are designed to''.

Dated: May 14, 2009.
Elizabeth M. Murphy,
Secretary.
[FR Doc. E911701 Filed 51909; 8:45 am]
BILLING CODE 801001P ]]> http://thefederalregister.com/d.p/2009-05-20-E9-11701 Wed, May 20 2009 11:00:00 GMT http://thefederalregister.com/d.p/2009-05-15-E9-11361 Extension: Rule 489 and Form FN; SEC File No. 270361; OMB Control No. 32350411.

Notice is hereby given that, pursuant to the Paperwork Reduction Act of 1995 (44 U.S.C. 3501 et seq.), the Securities and Exchange Commission (the ``Commission'') has submitted to the Office of Management and Budget a request for extension of the previously approved collection of information discussed below:

Rule 489 (17 CFR 230.489) under the Securities Act of 1933 (15 U.S.C. 77a et seq.) requires foreign banks and foreign insurance companies and holding companies and finance subsidiaries of foreign banks and foreign insurance companies that are exempted from the definition of ``investment company'' by virtue of Rules 3a1 (17 CFR 270.3a1), 3a5 (17 CFR 270.3a5), and 3a6 (17 CFR 270.3a6) under the Investment Company Act of 1940 (15 U.S.C. 80a1 et seq.) to file Fo ]]> http://thefederalregister.com/d.p/2009-05-15-E9-11361 Fri, May 15 2009 11:00:00 GMT http://thefederalregister.com/d.p/2009-05-14-E9-11380

Notice is hereby given, pursuant to the provisions of the Government in the Sunshine Act, Public Law 94409, that the Securities and Exchange Commission will hold an Open Meeting on Wednesday, May 20, 2009 at 10 a.m., in the Auditorium, Room L002.

The subject matter of the Open Meeting will be: The Commission will consider whether to propose changes to the federal proxy rules to facilitate director nominations by shareholders.

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) 5515400.

May 12, 2009.
Elizabeth M. Murphy,
Secretary. ]]> http://thefederalregister.com/d.p/2009-05-14-E9-11380 Thu, May 14 2009 11:00:00 GMT http://thefederalregister.com/d.p/2009-05-14-E9-11170

Extension:

Rule 17a6; OMB Control No. 32350489; SEC File No. 270433.

Notice is hereby given that pursuant to the Paperwork Reduction Act of 1995 (44 U.S.C. 3501 et seq.), the Securities and Exchange Commission (``Commission'') is soliciting comments on the collection of information summarized below. The Commission plans to submit this existing collection of information to the Office of Management and Budget for extension and approval.

Rule 17a6 (17 CFR 240.17a6) under the Securities Exchange Act of 1934 (15 U.S.C. 78a et seq.) permits national securities exchanges, national securities associations, registered clearing agencies, and the Municipal Securities Rulemaking Board (collectively, ``SROs'') to destroy or convert to microfilm or other recording media records maintained under Rule 17a1, if they have filed a record destruction plan ]]> http://thefederalregister.com/d.p/2009-05-14-E9-11170 Thu, May 14 2009 11:00:00 GMT http://thefederalregister.com/d.p/2009-05-12-E9-11100

Notice is hereby given, pursuant to the provisions of the Government in the Sunshine Act, Public Law 94409, that the Securities and Exchange
[[Page 22190]]
Commission will hold a Closed Meeting on Thursday, May 14, 2009 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 his designee, has certified that, in his opinion, one or more of the exemptions set forth in 5 U.S.C. 552b(c)(5), (7), 9(B) and (10) and 17 CFR 200.402(a)(5), (7), 9(ii) and (10), permit consideration of the scheduled matters at the Closed Meeting.

Commissioner Walter, as duty officer, voted to consider the item listed for the Closed Meeting in closed session.

The subject matter of the Closed Meeting scheduled for Thursday, May 14, 2009 will be: Institution and settlement of injunctive actions; Ins ]]> http://thefederalregister.com/d.p/2009-05-12-E9-11100 Tue, May 12 2009 11:00:00 GMT http://thefederalregister.com/d.p/2009-05-11-E9-11015

Notice is hereby given, pursuant to the provisions of the Government in the Sunshine Act, Public Law 94409, that the Securities and Exchange Commission will hold an Open Meeting on Wednesday, May 13, 2009 at 10 a.m., in the Auditorium, Room L002.

The subject matter of the Open Meeting will be:

The Commission will hear oral argument in an appeal by Thomas C. Bridge, James D. Edge, and Jeffrey K. Robles from the decision of an administrative law judge. The law judge found that Bridge, a registered representative formerly associated with A.G. Edwards, and Charles Sacco, another former A.G. Edwards registered representative who settled a related Commission proceeding against him, willfully violated Section 17(a) of the Securities Act of 1933, Section 10(b) of the Securities Exchange Act of 1934, and Exchange Act Rule 10b5 by taking action to ``continue market timing after they had been restricted from doing so'' by registered investment companies. The law judge further found that Edge, B ]]> http://thefederalregister.com/d.p/2009-05-11-E9-11015 Mon, May 11 2009 11:00:00 GMT http://thefederalregister.com/d.p/2009-05-11-E9-11077

Notice is hereby given, pursuant to the provisions of the Government in the Sunshine Act, Public Law 94409, that the Securities and Exchange Commission will hold an Open Meeting on Thursday, May 14, 2009 at 10 a.m., in the Auditorium, Room L002.

The subject matter of the Open Meeting will be:

The Commission will consider custodyrelated matters, including whether to propose amendments to rule 206(4)2 under the Investment Advisers Act of 1940 and related forms and rules. The proposed amendments would enhance the protections provided advisory clients when they entrust their funds and securities to an investment adviser. If adopted, the amendments would require investment advisers having custody of client funds and securities to obtain a surprise examination by an independent public accountant, and, unless the client assets are maintained with an independent custodian, obtain a review of custodial controls from an independent public accountant.

For further information and to ascertain ]]> http://thefederalregister.com/d.p/2009-05-11-E9-11077 Mon, May 11 2009 11:00:00 GMT http://thefederalregister.com/d.p/2009-05-08-E9-10690 Extension: Rule 27f1 and Form N27F1, SEC File No. 270487, OMB Control No. 32350546.

Notice is hereby given that, pursuant to the Paperwork Reduction Act of 1995 (44 U.S.C. 3501 et seq.), the Securities and Exchange Commission (the ``Commission'') is soliciting comments on the collection of information summarized below. The Commission plans to submit this existing collection of information to the Office of Management and Budget for extension and approval.

Section 27(f) of the Investment Company Act of 1940 (``Act'') (15 U.S.C. 80a27(f)) provides that ``[w]ith respect to any periodic payment plan (other than a plan under which the amount of sales load deducted from any payment thereon does not exceed 9 per centum of such payment), the custodian bank for such plan shall mail to each certificate holder, within sixty days after the issuance of t ]]> http://thefederalregister.com/d.p/2009-05-08-E9-10690 Fri, May 8 2009 11:00:00 GMT http://thefederalregister.com/d.p/2009-05-07-E9-10716

It appears to the Securities and Exchange Commission that there is a lack of current and accurate information concerning the securities of Harvard Industries, Inc. because it has not filed any periodic reports since it filed a Form 10Q for the period ended June 30, 2001.

It appears to the Securities and Exchange Commission that there is a lack of current and accurate information concerning the securities of HealthCor Holdings, Inc. because it has not filed any periodic reports since it filed a Form 10Q for the period ended March 31, 1999.

It appears to the Securities and Exchange Commission that there is a lack of current and accurate information concerning the securities of Helm Capital Group, Inc. because it has not filed any periodic reports since it filed a Form 10QSB for the period ended September 30, 2000.

The Commission is of the opinion that the public interest and the protection of investors require a suspension of trading in the securities of the abovelisted ]]> http://thefederalregister.com/d.p/2009-05-07-E9-10716 Thu, May 7 2009 11:00:00 GMT http://thefederalregister.com/d.p/2009-05-07-E9-10483

The proposing release is available on the Commission's Internet Web site at http://www.sec.gov/rules/proposed/2009/3459748.pdf. The Commission will host a roundtable to discuss the effectiveness a ]]> http://thefederalregister.com/d.p/2009-05-07-E9-10483 Thu, May 7 2009 11:00:00 GMT http://thefederalregister.com/d.p/2009-05-06-E9-10401

The Commission collects fees under various provisions of the securities laws. Section 6(b) of the Securities Act of 1933 (``Securities Act'') requires the Commission to collect fees from issuers on the registration of securities.\1\ Section 13(e) of the Securities Exchange Act of 1934 (``Exchange Act'') requires the Commission to collect fees on specified repurchases of securities.\2\ Section 14(g) of the Exchange Act requires the Commission to collect fees on proxy solicitations and statements in corporate control transactions.\3\ Finally, Sections 31(b) and (c) of the Exchange Act require national securities exchanges and national securities associations, respectively, to pay fees to the Commission on transactions in specified securities.\4\
\1\ 15 U.S.C. 77f(b).
\2\ 15 U.S.C. 78m(e).
\3\ 15 U.S.C. 78n(g).
\4\ 15 U.S.C. 78ee(b) and (c). In addition, Section 31(d) of the Exchange Act requires the Commission to collect assessments from national securities exchan ]]> http://thefederalregister.com/d.p/2009-05-06-E9-10401 Wed, May 6 2009 11:00:00 GMT http://thefederalregister.com/d.p/2009-05-05-E9-10400

Notice is hereby given, pursuant to the provisions of the Government in the Sunshine Act, Public Law 94409, that the Securities and Exchange Commission will hold a Closed Meeting on Monday, May 4, 2009 at 9 a.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 his designee, has certified that, in his opinion, one or more of the exemptions set forth in 5 U.S.C. 552b(c)(5), (7), and (10) and 17 CFR 200.402(a)(5), (7), and (10), permit consideration of the scheduled matters at the Closed Meeting.

Commissioner Paredes, as duty officer, voted to consider the item listed for the Closed Meeting in closed session, and determined that no earlier notice thereof was possible.

The subject matter of the Closed Meeting scheduled for Monday, May 4, 2009 will be:

Institution of an in ]]> http://thefederalregister.com/d.p/2009-05-05-E9-10400 Tue, May 5 2009 11:00:00 GMT http://thefederalregister.com/d.p/2009-05-04-E9-10123

A delegation of authority to the General Counsel to designate officers would spare the Commissioners and their staffs from having to review matters in which the Commission has already issued an order and which implicate no policy issues. This would allow the General Counsel to designate additional officers to take testimony and conduct investigations in those matters or similarly remove officer designation ]]> http://thefederalregister.com/d.p/2009-05-04-E9-10123 Mon, May 4 2009 11:00:00 GMT http://thefederalregister.com/d.p/2009-05-01-E9-10014

Extension:

Rule 11a2; SEC File No. 270267; OMB Control No. 32350272.

Notice is hereby given that, pursuant to the Paperwork Reduction Act of 1995 (44 U.S.C. 3501 et seq.), the Securities and Exchange Commission (the ``Commission'') is soliciting comments on the collection of information summarized below. The Commission plans to submit this existing collection of information to the Office of Management and Budget for extension and approval.

Rule 11a2 (17 CFR 270.11a2) under the Investment Company Act of 1940 (15 U.S.C. 80a1 et seq.) permits certain registered insurance company separate accounts, subject to certain conditions, to make exchange offers without prior approval by the Commission of the terms of those offers. Rule 11a2 requires disclosure, in certain registration statements filed pursuant to the Securities Act of 1933 (15 U.S.C ]]> http://thefederalregister.com/d.p/2009-05-01-E9-10014 Fri, May 1 2009 11:00:00 GMT http://thefederalregister.com/d.p/2009-04-29-E9-9671

Extension:

Rule 17Ac22, SEC File No. 270298, OMB Control No. 32350337, Form TA2, SEC File No. 270298, OMB Control No. 32350337.

Notice is hereby given that pursuant to the Paperwork Reduction Act of 1995 (44 U.S.C. 3501 et seq.), the Securities and Exchange Commission (``Commission'') has submitted to the Office of Management and Budget a request for extension of the previously approved collection of information discussed below.