[Federal Register Volume 59, Number 43 (Friday, March 4, 1994)]
[Unknown Section]
[Page 0]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 94-5180]
[[Page Unknown]]
[Federal Register: March 4, 1994]
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securities and exchange commission
Notice is hereby given, pursuant to the provisions of the
Government in the Sunshine Act, Public Law 94-409, that the Securities
and Exchange Commission will hold the following open meeting during the
week of March 7, 1994.
An open meeting will be held on Wednesday, March 9, 1994, at 9
a.m., in Room 1C30.
The subject matter of the open meeting scheduled for Wednesday,
March 9, 1994, at 9 a.m., will be:
1. Consideration of a proposed release regarding the application
of the antifraud provisions of the federal securities laws to
municipal securities issuers and other market participants in
connection with both primary offerings and continuing disclosure to
the secondary market. For further information, please contact Ann D.
Wallace at (202) 272-7282, Amy Meltzer Starr at (202) 272-3654,
Vincent W. Mathis at (202) 272-3968, Division of Corporation
Finance; Janet W. Russell-Hunter at (202) 504-2418, Division of
Market Regulation.
2. Consideration of whether to propose amendments to Rule 15c2-
12, which would make it unlawful for a broker, dealer, or municipal
securities dealer (a) to act as an underwriter of an issue of
municipal securities unless the issuer has agreed to provide annual
financial information and notices of material events to a nationally
recognized municipal securities information repository and (b) to
recommend the purchase or sale of such a municipal security without
having previously reviewed that information. For further
information, please contact Catherine McGuire, Janet W. Russell-
Hunter at (202) 504-2418, Division of Market Regulation; Amy Meltzer
Starr at (202) 272-3654, Division of Corporation Finance.
3. Consideration of a proposed release amending Rule 10b-10 to
require confirmation disclosure of: (a) The mark-up and mark-down in
connection with a riskless principal transaction in debt securities,
other than U.S. savings bonds and municipal securities; (b) the
unrated status of a debt security; (c) the mark-up and mark-down in
connection with a transaction in a small-cap NASDAQ or regional
exchange-listed security; (d) the fact that a broker-dealer is not a
member of SIPC; and (e) enhanced yield information with respect to
collateralized debt securities.
In addition, consideration will be given to a proposed rule
requiring confirmation disclosure of: (a) The mark-up and mark-down
in connection with riskless principal transactions in municipal
securities; and (b) the unrated status of a municipal security. For
further information, please contact C. Dirk Peterson at (202) 504-
2418, Division of Market Regulation.
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: Bruce Rosenblum at (202) 272-2300.
Dated: March 2, 1994.
Jonathan G. Katz,
Secretary.
[FR Doc. 94-5180 Filed 3-2-94; 3:49 pm]
BILLING CODE 8010-01-M
