
[Federal Register Volume 78, Number 229 (Wednesday, November 27, 2013)]
[Notices]
[Page 70987]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: 2013-28501]



[[Page 70987]]

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SECURITIES AND EXCHANGE COMMISSION

[Release No. 34-70929; IA-3721; File No. 4-670]


Proxy Advisory Firm Roundtable

AGENCY: Securities and Exchange Commission.

ACTION: Notice of roundtable discussion; request for comment.

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SUMMARY: The Securities and Exchange Commission will host a roundtable 
about proxy advisory firms. The panel will be asked to discuss topics 
including the current state of proxy advisory firm use by investment 
advisers and institutional investors and potential changes that have 
been suggested by market participants. Panelists will also be invited 
to discuss any new ideas.
    The roundtable discussion will be held in the multi-purpose room of 
the Securities and Exchange Commission headquarters at 100 F Street 
NE., Washington, DC, on December 5, 2013 from 9:30 a.m. to 
approximately 1:30 p.m. The public is invited to observe the roundtable 
discussion. Seating will be available on a first-come, first-serve 
basis. The roundtable discussion will also be available via webcast on 
the Commission's Web site at www.sec.gov.

DATES: The roundtable discussion will take place on December 5, 2013. 
The Commission will accept comments regarding issues addressed at the 
roundtable until January 10, 2014.

ADDRESSES: Comments may be submitted by any of the following methods:

Electronic Comments

     Use the Commission's internet comment form (http://sec.gov/rules/other.shtml); or
     Send an email to rule-comments@sec.gov. Please include 
File Number x-xxx 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 4-670. This file number 
should be included on the subject line if email is used. To help us 
process and review your comments more efficiently, please only use one 
method. The Commission will post all comments on the Commission's 
Internet Web site (http://www.sec.gov/rules/other.shtml). 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 10:00 a.m. and 3:00 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: Sara Cortes, Senior Special Counsel, 
Division of Investment Management, at 202-551-6700, or Raymond Be, 
Special Counsel, Division of Corporation Finance, at 202-551-3500, 
Securities and Exchange Commission, 100 F Street NE., Washington, DC 
20549.

    By the Commission.

    Dated: November 22, 2013.
Elizabeth M. Murphy,
Secretary.
[FR Doc. 2013-28501 Filed 11-26-13; 8:45 am]
BILLING CODE 8011-01-P


