76 FR 198 pg. 63680 - Public Roundtable on Execution, Clearance and Settlement of Microcap Securities
Type: NOTICEVolume: 76Number: 198Page: 63680
Docket number: [Release No. 34-65511; File No. 4-639]
FR document: [FR Doc. 2011-26440 Filed 10-12-11; 8:45 am]
Agency: Securities and Exchange Commission
Official PDF Version: PDF Version
SECURITIES AND EXCHANGE COMMISSION
[Release No. 34-65511; File No. 4-639]
Public Roundtable on Execution, Clearance and Settlement of Microcap Securities
AGENCY:
Securities and Exchange Commission.
ACTION:
Notice of roundtable discussion; request for comment.
SUMMARY:
On Monday, October 17, 2011, commencing at 1 p.m. and ending at 5 p.m., staff of the Securities and Exchange Commission ("SEC" or "Agency") will hold a public roundtable meeting at which invited participants will discuss various issues related to the Execution, Clearance and Settlement of Microcap Securities.
The roundtable discussion will be held in the multi-purpose room of the Securities and Exchange Commission headquarters at 100 F Street, NE., in Washington, DC on Monday, October 17, 2011, commencing at 1 p.m. and ending at 5 p.m. The public is invited to observe the roundtable discussion. Seating will be available on a first-come, first-served basis. The roundtable discussion also will be available via webcast on the Commission's Web site at http://www.sec.gov.
The roundtable will consist of a series of three panels. Panelists will consider a range of microcap securities topics, such as the current issues facing small cap issuers in the clearance and settlement process, potential regulatory changes impacting the Over-The-Counter markets, and Anti-Money Laundering concerns specific to microcap issuers.
DATES:
The roundtable discussion will be held on Monday, October 17, 2011. The Commission will accept comments regarding issues addressed at the roundtable until October 31, 2011.
ADDRESSES:
Comments may be submitted by any of the following methods:
Electronic Comments
• Use the Commission's Internet comment form ( http://www.sec.gov/rules/other.shtml ); or
• Send an e-mail to rule-comments@sec.gov. Please include File Number 4-639 on the subject line.
Paper Comments
• Send paper comments in triplicate to Elizabeth M. Murphy, Secretary, Securities and Exchange Commission, 100 F Street, NE., Washington, DC 20549-1090.
All submissions should refer to File Number 4-639. This file number should be included on the subject line if e-mail is used. To help us process and review your comments more efficiently, please use only one method. The Commission will post all comments on the Commission's Internet Web site ( http://www.sec.gov ). Comments are also available for Web site viewing and printing in the Commission's Public Reference Room, 100 F Street, NE., Washington, DC 20549, on official business days between the hours of 10 a.m. and 3 p.m. All comments received will be posted without change; we do not edit personal identifying information from submissions. You should submit only information that you wish to make available publicly.
FOR FURTHER INFORMATION CONTACT:
The Microcap Roundtable Hotline at (202) 551-6607, Division of Enforcement, Securities and Exchange Commission, 100 F Street, NE., in Washington, DC 20549-7010.
Dated: October 7, 2011.
By the Commission.
Elizabeth M. Murphy,
Secretary.
[FR Doc. 2011-26440 Filed 10-12-11; 8:45 am]
BILLING CODE 8011-01-P