Document ID: SEC-2010-0019-0001
Agency: sec
Document Type: Notice
Title: Sunshine Act Meeting Notice
Posted Date: 2010-01-07T05:00Z

[Federal Register Volume 75, Number 4 (Thursday, January 7, 2010)]
[Notices]
[Page 1009]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: X10-360107]

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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, Public Law 94-409, that the Securities 
and Exchange Commission will hold an Open Meeting on January 11, 2010 
at 9:30 a.m., in the Auditorium, Room L-002, to hear oral argument in 
an appeal by Diane M. Keefe (``Keefe''), a former employee of Pax World 
Management Corp. (``Pax Management''), a registered investment adviser, 
from the decision of an administrative law judge. The law judge found 
that Keefe, a portfolio manager of the Pax World High Yield Fund 
(``Fund''), an investment company registered with the Commission and 
advised by Pax Management, willfully violated Section 34(b) of the 
Investment Company Act of 1940. The law judge suspended Keefe for 
twelve months from association with an investment adviser, broker, or 
dealer.
    Among the issues likely to be argued are whether Keefe willfully 
violated Investment Company Act Section 34(b) and, if so, whether and 
to what extent sanctions should be imposed on her.
    Commissioner Paredes, as duty officer, determined that no earlier 
notice thereof was possible.
    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) 551-5400.

    Dated: January 5, 2010.
Florence E. Harmon,
Deputy Secretary.
 [FR Doc. 2010-117 Filed 1-5-10; 4:15 pm]
BILLING CODE 8011-01-P