Notices. Notice of roundtable discussion; request for comment
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/register/2011/10/13/2011-26440·A research copy — for the controlling text, always check the official state or federal source. Not legal advice.
BILLING CODE 8011-01-P SECURITIES AND EXCHANGE COMMISSION [Release No. 34-65511; File No. 4-639] Public Roundtable on Execution, Clearance and Settlement of Microcap Securities AGENCY: Securities and Exchange Commission. ACTION: Notice of roundtable discussion; request for comment. SUMMARY: On Monday, October 17, 2011, commencing at 1 p.m. and ending at 5 p.m., staff of the Securities and Exchange Commission (“SEC” or “Agency”) will hold a public roundtable meeting at which invited participants will discuss various issues related to the Execution, Clearance and Settlement of Microcap Securities.
The roundtable discussion will be held in the multi-purpose room of the Securities and Exchange Commission headquarters at 100 F Street, NE., in Washington, DC on Monday, October 17, 2011, commencing at 1 p.m. and ending at 5 p.m. The public is invited to observe the roundtable discussion. Seating will be available on a first-come, first-served basis. The roundtable discussion also will be available via webcast on the Commission's Web site at *http://www.sec.gov.* The roundtable will consist of a series of three panels.
Panelists will consider a range of microcap securities topics, such as the current issues facing small cap issuers in the clearance and settlement process, potential regulatory changes impacting the Over-The-Counter markets, and Anti-Money Laundering concerns specific to microcap issuers. DATES: The roundtable discussion will be held on Monday, October 17, 2011. The Commission will accept comments regarding issues addressed at the roundtable until October 31, 2011. ADDRESSES:
Comments may be submitted by any of the following methods: Electronic Comments • Use the Commission's Internet comment form ( *http://www.sec.gov/rules/other.shtml* ); or • Send an e-mail to *rule-comments@sec.gov.* Please include File Number 4-639 on the subject line. Paper Comments • Send paper comments in triplicate to Elizabeth M. Murphy, Secretary, Securities and Exchange Commission, 100 F Street, NE., Washington, DC 20549-1090. All submissions should refer to File Number 4-639.
This file number should be included on the subject line if e-mail is used. To help us process and review your comments more efficiently, please use only one method. The Commission will post all comments on the Commission's Internet Web site ( *http://www.sec.gov* ). Comments are also available for Web site viewing and printing in the Commission's Public Reference Room, 100 F Street, NE., Washington, DC 20549, on official business days between the hours of 10 a.m. and 3 p.m. All comments received will be posted without change; we do not edit personal identifying information from submissions.
You should submit only information that you wish to make available publicly. FOR FURTHER INFORMATION CONTACT: The Microcap Roundtable Hotline at
(202)551-6607, Division of Enforcement, Securities and Exchange Commission, 100 F Street, NE., in Washington, DC 20549-7010. Dated: October 7, 2011. By the Commission. Elizabeth M. Murphy, Secretary. [FR Doc. 2011-26440 Filed 10-12-11; 8:45 am]