
[Federal Register Volume 76, Number 198 (Thursday, October 13, 2011)]
[Notices]
[Page 63680]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: 2011-26440]


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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.

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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]
BILLING CODE 8011-01-P


