[Federal Register Volume 67, Number 199 (Tuesday, October 15, 2002)]
[Notices]
[Page 63713]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 02-26221]


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SECURITIES AND EXCHANGE COMMISSION


Sunshine Act Meeting Notice

    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 14, 2002: an Open Meeting will be held on Wednesday, October 
16, 2002 at 10 a.m., and a Closed Meeting will be held on Thursday, 
October 17, 2002, 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)(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.
    The subject matter of the Open Meeting scheduled for Wednesday, 
October 16, 2002 will be:
    1. The Commission will consider publication of acknowledgements of 
receipt of Forms 1-N from the Chicago Mercantile Exchange Inc., 
OneChicago, LLC and Nasdaq LIFFE Markets, LLC to trade security 
futures.
    The Commission will also consider whether to delegate authority to 
the Director of the Division of Market Regulation to publish in the 
Federal Register acknowledgements of receipt of Forms 1-N filed 
pursuant to Section 6(g) of the Securities Exchange Act of 1934.
    2. The Commission will consider whether to propose rules relating 
to Sections 404, 406 and 407 of the Sarbanes-Oxley Act of 2002. The 
proposed rules would require companies to include in their Exchange Act 
filings: (1) an annual internal control report, (2) disclosure 
regarding whether a company has adopted a code of ethics that applies 
to certain senior officers, and (3) disclosure regarding whether a 
company has a financial expert on its audit committee.
    3. The Commission will consider whether to propose amendments to 
implement Section 303 of the Sarbanes-Oxley Act of 2002. Section 303(a) 
prohibits an issuer's officers, directors, and persons acting under the 
direction of an officer or director, from taking any action to 
fraudulently influence, coerce, manipulate or mislead the auditor of 
the issuer's financial statements for the purpose of rendering those 
financial statements materially misleading.
    The subject matter of the Closed Meeting scheduled for Thursday, 
October 17, 2002 will be:

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

    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 9, 2002.
Jill M. Peterson,
Assistant Secretary.
[FR Doc. 02-26221 Filed 10-9-02; 4:34 pm]
BILLING CODE 8010-01-P