Document ID: SEC-2010-1665-0001
Agency: sec
Document Type: Notice
Title: Meetings; Sunshine Act
Posted Date: 2010-10-29T04:00Z

[Federal Register: October 29, 2010 (Volume 75, Number 209)]
[Notices]               
[Page 66811]
From the Federal Register Online via GPO Access [wais.access.gpo.gov]
[DOCID:fr29oc10-136]                         

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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 November 3, 2010 
at 10 a.m., in the Auditorium, Room L-002.
    The subject matter of the Open Meeting will be:
    1. The Commission will consider whether to adopt new Rule 15c3-5, 
Risk Management Controls for Brokers or Dealers with Market Access, 
under the Securities Exchange Act of 1934. The new rule would require 
brokers or dealers with access to trading directly on an exchange or 
alternative trading system (``ATS''), including those providing 
sponsored or direct market access to customers or other persons, to 
implement risk management controls and supervisory procedures 
reasonably designed to manage the financial, regulatory, and other 
risks of this business activity. Among other things, new Rule 15c3-5 
would effectively prohibit broker-dealers from providing ``unfiltered'' 
or ``naked'' sponsored access to any exchange or ATS.
    2. The Commission will consider whether to propose a new rule under 
Section 763(g) of the Dodd-Frank Wall Street Reform and Consumer 
Protection Act, Public Law 111-203, to prohibit fraud, manipulation, 
and deception in connection with security-based swaps.
    3. The Commission will consider whether to propose rules and forms 
to implement Section 21F of the Securities Exchange Act of 1934 
(``Exchange Act'') entitled ``Securities Whistleblower Incentives and 
Protection.'' Section 21F, as added by Section 922 of the Dodd-Frank 
Wall Street Reform and Consumer Protection Act, provides that the 
Commission shall pay awards, under regulations prescribed by the 
Commission and subject to certain limitations, to eligible 
whistleblowers who voluntarily provide the Commission with original 
information about a violation of the Federal securities laws that leads 
to the successful enforcement of a covered judicial or administrative 
action, or a related action.
    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: October 27, 2010.
Elizabeth M. Murphy,
Secretary.
[FR Doc. 2010-27493 Filed 10-27-10; 4:15 pm]
BILLING CODE 8011-01-P