[Federal Register Volume 66, Number 203 (Friday, October 19, 2001)]
[Notices]
[Pages 53273-53274]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 01-26570]


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SECURITIES AND EXCHANGE COMMISSION


Sunshine Act Meeting

    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 22, 2001:

    A closed meeting will be held on Tuesday, October 23, 2001, at 
9:30 a.m., and an open meeting will be held on Thursday, October 25, 
2001, in Room 1C30, the William O. Douglas Room, at 2:30 p.m.

    Commissioner Hunt, as duty officer, determined that no earlier 
notice thereof was possible.
    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 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

[[Page 53274]]

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 meetings.
    The subject matters of the closed meeting scheduled for Tuesday, 
October 23, 2001, will be:

    Institution and settlement of injunctive actions;
    Institution and settlement of administrative proceedings of an 
enforcement nature; and
    Formal orders.

    The subject matters of the open meeting scheduled for Thursday, 
October 25, 2001, will be:

    1. The Commission will consider whether 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 the Pacific Exchange's proposal, 
filed with the Commission pursuant to Section 19(b)(1) of the 
Securities Exchange Act of 1934, to establish the Archipelago 
Exchange as its equities trading facility.
    For further information, please contact John Polise at (202) 
942-0068.

    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: October 17, 2001.
Jonathan G. Katz,
Secretary.
[FR Doc. 01-26570 Filed 10-17-01; 3:57 pm]
BILLING CODE 8010-01-M