[Federal Register Volume 66, Number 185 (Monday, September 24, 2001)]
[Notices]
[Pages 48895-48896]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 01-23838]


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SECURITIES AND EXCHANGE COMMISSION


Agency Meetings

    Notice is hereby given, pursuant to the provisions of the 
Government in the Sunshine Act, Pub. L. 94-409, that the Securities and 
Exchange Commission will hold the following meetings during the week of 
September 24, 2001: an open meeting will be held on Tuesday, September 
25, 2001, in Room 1C30, the William O. Douglas Room, at 1 p.m., and 
closed meetings will be held on Wednesday, September 26, 2001 and 
Friday, September 28, 2001, at 10 a.m.
    Commissioner Hunt, as duty officer, determined that no earlier 
notice thereof was possible.
    The subject matters of the open meeting scheduled for Tuesday, 
September 25, 20001, will be:
    1. The Commission will consider a recommendation to propose rules 
and form amendments that would require foreign private issuers and 
foreign governments to file their securities documents electronically 
through the Commission's Electronic Data Gathering, Analysis, and 
Retrieval (EDGAR) system. Currently the Commission's rules only permit, 
but do not require, foreign issuers to file their securities documents 
on EDGAR.
    For further information, please contact Elliot B. Staffin, Special 
Counsel, Office of International Corporate Finance, Division of 
Corporation Finance at (202) 942-2990.
    2. The Commission will consider proposed rules regarding margin 
requirements for security futures. The Commission would propose these 
rules jointly with the Commodity Futures Trading Commission pursuant to 
authority delegated by the Board of Governors of the Federal Reserve 
System.
    For further information, please contact Lisa Jones, Attorney, 
Division of Market Regulation at (202) 942-0063.
    3. The Commission will consider whether to amend Securities 
Exchange Act of 1934 Rules 15c3-3, 17a-3, 17a-4, 17a-5, 17a-7, 17a-11, 
and 17a-13. These amendments are designed to eliminate duplicative or 
conflicting regulations applicable to firms that are fully-registered 
with the CFTC as an FCM and fully-registered with the SEC as a broker-
dealer relating to the treatment of customer funds, securities or 
property, maintenance of books and records, financial reporting or 
other financial responsibility rules involving security futures 
products (``SFPs''), as directed by the Commodity Futures Modernization 
Act of 2000. The amendments are also designed to eliminate certain 
conflicting or duplicative recordkeeping, reporting, telegraphic 
notice, and quarterly count requirements involving SFPs for firms that 
are ``notice'' registered with the Commission under Exchange Act 
Section 15(b)(11)(A). These amendments were developed in consultation 
with the CFTC.
    For further information, please contact Michael Macchiaroli, 
Associate Director, Division of Market Regulation at (202) 942-0132, 
Thomas McGowan, Assistant Director, Division of Market Regulation at 
(202) 942-4886, or Bonnie Gauch, Attorney, Division of Market 
Regulation at (202) 942-0765.
    4. The Commission will consider extending the compliance date of 
Rule 11Ac1-7 under the Securities Exchange Act of 1934. Rule 11Ac1-7 
requires a broker-dealer to disclose to its customer when the 
customer's order for listed options is executed at a price inferior to 
a better published quote, and to disclose the better published quote 
available at that time, unless the broker-dealer effects the 
transaction on an exchange

[[Page 48896]]

that participates in an approved linkage plan.
    For further information, please contact Jennifer Colihan, Attorney, 
Division of Market Regulation at (202) 942-0735.
    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 may also 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)(A), (9)(B), and (10) and 17 CFR 
200.402(a)(5), (7), 9(i), 9(ii) and (10), permit consideration of the 
scheduled matters at the closed meeting.
    The subject matters of the closed meetings scheduled for Wednesday, 
September 26, 2001, and Friday, September 28, 2001 will be: institution 
and settlement of injunctive actions; institution and settlement of 
administrative proceedings of an enforcement nature; and a formal 
order.
    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) 942-7070.

    Dated: September 19, 2001.
Jonathan G. Katz,
Secretary.
[FR Doc. 01-23838 Filed 9-19-01; 4:50 pm]
BILLING CODE 8010-01-M