94-29416. Agency Meetings  

  • [Federal Register Volume 59, Number 227 (Monday, November 28, 1994)]
    [Unknown Section]
    [Page ]
    From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
    [FR Doc No: 94-29416]
    
    
    [Federal Register: November 28, 1994]
    
    
    -----------------------------------------------------------------------
    
    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 
    November 28, 1994.
        An open meeting will be held on Thursday, December 1, 1994, at 
    10:00 a.m., in Room 1C30. A closed meeting will be held on Thursday, 
    December 1, 1994, following the 10:00 a.m. open meeting.
        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) (4), (8), (9)(A) and (10) and 17 CFR 200.402(a) 
    (4), (8), (9)(i) and (10), permit consideration of the scheduled 
    matters at a closed meeting.
        Commissioner Wallman, as duty officer, voted to consider the items 
    listed for the closed meeting in a closed session.
        The subject matter of the open meeting scheduled for Thursday, 
    December 1, 1994, at 10:00 a.m., will be:
    
        1. The Commission will consider whether to adopt proposed Rule 
    17Ad-16 under the Securities Exchange Act of 1934. The proposed rule 
    would require a registered transfer agent to provide written notice 
    to securities depositories when terminating or assuming transfer 
    agent responsibilities on behalf of an issuer or when changing its 
    name or address. For further information, please contact Ester 
    Saverson, Jr. at (202) 942-4187.
        The Commission will consider whether to issue a release 
    soliciting comment on interpretation of transfer agent rules to 
    address the problems of undeliverable dividend and interest 
    distributions and other issues related to lost security holders and 
    abandoned property. For further information, please contact Ester 
    Saverson, Jr. at (202) 942-4187.
        2. Consideration of whether to publish: (1) a concept release, 
    which solicits public comment on a direct registration system 
    permitting shareholders to hold securities in book-entry form 
    directly with the issuer; and (2) a release proposing amendments to 
    Rules 17Ad-2, 17Ad-10, and 17Ad-12 under the Securities Exchange Act 
    of 1934 (``Exchange Act'') regarding turnaround time, recordkeeping, 
    and the safekeeping of funds, and soliciting comment on whether 
    additional rules are needed, including net worth and insurance 
    requirements. For further information, please contact Ester Saverson 
    or Michele Bianco at (202) 942-4187.
        Consideration of whether the staff should issue a letter to 
    First Chicago Trust Company of New York granting no-action relief 
    from the registration requirements of the Securities Act of 1933, 
    and certain statutory provisions of the Exchange Act, and Rules 10b-
    6 and 10b-13 thereunder, in connection with a limited version of a 
    direct registration system. For further information, please contact 
    Susan Grafton at (202) 942-0779.
        Consideration of whether the staff should issue a letter 
    granting a class exemption from Rule 10b-6 under the Exchange Act 
    for issuers' dividend reinvestment stock purchase plans 
    (``DRSPPs''), subject to certain conditions. This letter also sets 
    forth the staff's views regarding broker-dealer registration issues 
    under Section 15(a) of the Exchange Act. For further information, 
    please contact Susan Grafton at (202) 942-0779 (for issues relating 
    to Rule 10b-6), or Belinda Blaine at (202) 942-0073 (for issues 
    relating to Section 15(a)).
        Consideration of whether the staff should issue a letter to the 
    New York Stock Exchange, granting no-action relief from Section 16 
    of Regulation T, subject to certain conditions, if broker-dealers 
    borrow securities for the purpose of participating in DRSPPs. For 
    further information, please contact Thomas McGowan at (202) 942-
    4886.
        3. Consideration of recommendation of amendments regarding 
    limited partnership roll-up transactions that implement the 
    provisions of the Limited Partnership Rollup Reform Act of 1993 
    (``Act''). The amendments revise the current definition of ``roll-up 
    transaction'' in Regulation S-K to conform more closely to the 
    definition of that term in the Act, and add to the Commission's 
    rules certain disclosure and other requirements with respect to 
    roll-up transactions. For further information, please contact Robert 
    B. Toomey at (202) 942-2910.
    
        The subject matter of the closed meeting scheduled for Thursday, 
    December 1, 1994, following the 10:00 a.m. open meeting will be:
    
        Institution of injunctive actions.
        Institution of administrative proceedings of an enforcement 
    nature.
        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 (202) 942-7070.
    
        Dated: November 23, 1994.
    Jonathan G. Katz,
    Secretary.
    [FR Doc. 94-29416 Filed 11-23-94; 3:50 pm]
    BILLING CODE 8010-01-M
    
    
    

Document Information

Published:
11/28/1994
Department:
Securities and Exchange Commission
Entry Type:
Uncategorized Document
Document Number:
94-29416
Pages:
0-0 (None pages)
Docket Numbers:
Federal Register: November 28, 1994