Document ID: SEC-2014-1215-0001
Agency: sec
Document Type: Notice
Title: Meetings; Sunshine Act
Posted Date: 2014-07-21T04:00Z

[Federal Register Volume 79, Number 139 (Monday, July 21, 2014)]
[Notices]
[Page 42384]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: 2014-17188]

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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, Public Law 94-409, that the Securities 
and Exchange Commission will hold an Open Meeting on July 25, 2014, at 
10 a.m., in the Auditorium (L-002) at the Commission's headquarters 
building, to hear oral argument in an appeal by the Division of 
Enforcement from an initial decision of an administrative law judge.
    On October 28, 2011, the law judge dismissed proceedings brought by 
the Division against Respondents John P. Flannery and James D. Hopkins, 
former employees of State Street Bank and Trust Company. The law judge 
held that Respondents did not violate the antifraud provisions of 
Section 17(a) of the Securities Act of 1933, Section 10(b) of the 
Securities Exchange Act of 1934, and Exchange Act Rule 10b-5 because 
she found that, among other things, they did not make misleading 
statements regarding the portfolio holdings of an unregistered 
collective trust fund, the Limited Duration Bond Fund (``LDBF''), in 
communications with LDBF investors.
    The issues likely to be considered at oral argument include whether 
Respondents violated the antifraud provisions as alleged and, if so, 
the extent to which they should be sanctioned for those violations.
    For further information, please contact the Office of the Secretary 
at (202) 551-5400.

    Dated: July 17, 2014.
Kevin M. O'Neill,
Deputy Secretary.
[FR Doc. 2014-17188 Filed 7-17-14; 11:15 am]
BILLING CODE 8011-01-P