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U.S. Securities and Exchange Commission

SECURITIES AND EXCHANGE COMMISSION

Sunshine Act Meeting.

Notice is hereby given, pursuant to the provisions of the Government in the Sunshine Act, Pub. L. 94-409, that the Securities and Exchange Commission will hold a Roundtable on Execution, Clearance and Settlement of Microcap Securities on Monday, October 17, 2011, commencing at 1:00 p.m.

This Sunshine Act notice is being issued because a majority of the Commission may attend the meeting.

The Roundtable will take place in the Multi-Purpose Room of the Commission's headquarters at 100 F Street, NE, Washington D.C. The Roundtable will be open to the public with seating on a first-come, first-served basis. Doors will open at 12:30 p.m. Visitors will be subject to security checks.

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.

For further information, please contact the Office of the Secretary at (202) 551-5400.

Elizabeth M. Murphy
Secretary

October 7, 2011

http://www.sec.gov/news/openmeetings/2011/ssamtg101711.htm


Modified: 10/07/2011