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SEC Announces Jan. 13 Open Meeting on Trading and Risk

The SEC has announced that it will hold an open meeting on January 13, 2010 to consider whether to propose rules on dark pools and risk management for broker-dealers.  In a recent notice the Commission stated that the January 13 meeting would cover the following items:

Item 1: The Commission will consider whether to publish a concept release on equity market structure. The concept release would invite public comment on a wide range of issues, including the performance of equity market structure in recent years, high frequency trading, and undisplayed, or "dark," liquidity.

Item 2: The Commission will consider whether to propose a new rule regarding risk management controls and supervisory procedures to manage financial, regulatory and other risks for brokers or dealers that provide market access.


The January 13 meeting will begin at 10:00AM, and be held at the SEC's Washington, DC headquarters, located at 100 F Street NE.  The meeting is open to the public on a first come, first served basis.  The meeting will also be webcast via a link on the Commission's website.

The full text of the Commission's Sunshine Act Notice is available at:  http://sec.gov/news/openmeetings/2010/ssamtg011310.htm