
[Federal Register: February 3, 2010 (Volume 75, Number 22)]
[Notices]               
[Page 5636]
From the Federal Register Online via GPO Access [wais.access.gpo.gov]
[DOCID:fr03fe10-94]                         

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SECURITIES AND EXCHANGE COMMISSION

 
Sunshine Act Meetings

    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 February 8, 2010 
at 10 a.m., in the Auditorium, Room L-002, and a Closed Meeting on 
February 8, 2010 at 11 a.m.
    The subject matter of the February 8, 2010 Open Meeting will be:

    The Commission will hear oral argument in an appeal by vFinance 
Investments, Inc., a registered broker-dealer (the ``Firm''), and 
Richard Campanella, the Firm's former chief compliance officer 
(together with the Firm, ``Respondents'') from the decision of an 
administrative law judge. The law judge found that the Firm 
willfully violated Section 17(a) of the Securities Exchange Act of 
1934 and Rules 17a-4(b)(4) and 17a-4(j) thereunder, by failing to 
preserve and promptly produce electronic communications, and that 
Campanella willfully aided and abetted and caused these violations. 
The law judge ordered Respondents to cease and desist, censured 
Campanella, and fined the Firm $100,000 and Campanella $30,000.

    The subject matter of the February 8, 2010 Closed Meeting will be:

    [P]ost argument discussion.

    Commissioners, Counsel to the Commissioners, the Secretary to the 
Commission, and recording secretaries will attend the Closed Meeting. 
Certain staff members who have an interest in the matters also may be 
present.
    The General Counsel of the Commission, or his designee, has 
certified that, in his opinion, one or more of the exemptions set forth 
in 5 U.S.C. 552b(c)(3), (5), (7), 9(B) and (10) and 17 CFR 
200.402(a)(3), (5), (7), 9(ii) and (10), permit consideration of the 
scheduled matter at the Closed Meeting.
    Commissioner Paredes, as duty officer, voted to consider the item 
listed for the Closed Meeting in a closed session.
    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: February 1, 2010.
Florence E. Harmon,
Deputy Secretary.
[FR Doc. 2010-2424 Filed 2-1-10; 4:15 pm]
BILLING CODE 8011-01-P

