[Federal Register Volume 66, Number 189 (Friday, September 28, 2001)]
[Notices]
[Page 49727]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 01-24452]


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SECURITIES AND EXCHANGE COMMISSION


Sunshine Act 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 
October 1, 2001: closed meetings will be held on Tuesday, October 2, 
2001 at 10:30 a.m. and Thursday, October 4, 2001, at 10:00 a.m. and an 
open meeting will be held on Wednesday, October 3, 2001, in Room 1C30, 
the William O. Douglas Room, 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 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 meeting scheduled for Tuesday, 
October 2, 2001 and Thursday, October 4, 2001, will be:
    Institution and settlement of injunctive actions; and
    Institution and settlement of administrative proceedings of an 
enforcement nature.
    The subject matters of the open meeting scheduled for Wednesday, 
October 3, 2001, will be:
    1. The Commission will consider a recommendation to adopt final 
amendments to its broker-dealer books and records rules, Rule 17a-3 and 
Rule 17a-4 under the Securities Exchange Act of 1934. The amendments to 
Rule 17a-3 would clarify and expand recordkeeping requirements with 
respect to purchase and sale documents, customer records, associated 
person records, customer complaints, and certain other matters. The 
amendments to Rule 17a-4 would expand the types of records that broker-
dealers must maintain and require broker-dealers to maintain or 
promptly produce certain records at each office to which those records 
relate. These amendments are designed to assist securities regulators, 
particularly state securities regulators, when conducting sales 
practice examinations of broker-dealers. These amendments were 
originally proposed on October 22, 1996 (see Exchange Act Release No. 
37850, 61 FR 55593 (Oct. 28, 1996)), and were reproposed on October 2, 
1998 (see Exchange Act Release No. 40518, 63 FR 54404 (Oct. 9, 1998)).
    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.
    2. The Commission will consider a recommendation to propose 
amendments to Rule 17f-4 under the Investment Company Act of 1940, the 
rule that governs investment companies' use of securities depositories. 
The proposed amendments would permit additional types of organizations 
to operate as depositories under the rule, allow depositories to 
perform additional functions, and expand the types of investment 
companies that can rely on the rule.
    For further information, please contact Hugh P. Lutz, Attorney, 
Division of Investment Management, at (202) 942-0690.
    3. The Commission will consider approving proposed amendments to 
its debt collection rules to conform to the Debt Collection Act, as 
amended, and the Federal Claims Collection Standards, as amended; the 
rule amendments would facilitate offset of unpaid debts against amounts 
owed by the government to the debtor, and permit administrative 
garnishment of non-federal wages.
    For further information contact, please contact Kenneth H. Hall, 
Division of Enforcement at (202) 942-4635.
    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 25, 2001.
Jonathan G. Katz,
Secretary.
[FR Doc. 01-24452 Filed 9-26-01; 10:21 am]
BILLING CODE 8010-01-M