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SEC Announces November 19 Open Meeting

The Securities and Exchange Commission has announced that it will hold an open meeting at 10:00AM EST on Friday, November 19.  At this meeting the Commission will consider: 

  1. Whether to propose new rules and rule amendments under the Investment Advisers Act of 1940 to implement provisions of the Dodd-Frank Wall Street Reform and Consumer Protection Act. These rules and rule amendments are designed to give effect to provisions of Title IV of the Dodd-Frank Act that, among other things, increase the statutory threshold for registration by investment advisers with the Commission, require advisers to hedge funds and other private funds to register with the Commission, and address reporting by certain investment advisers that are exempt from registration.

  2. Whether to propose rules that would implement new exemptions from the registration requirements of the Investment Advisers Act of 1940 for advisers to venture capital funds and advisers with less than $150 million in private fund assets under management in the United States. These exemptions were enacted as part of the Dodd-Frank Wall Street Reform and Consumer Protection Act. The proposed rules also would clarify the meaning of certain terms included in a new exemption for foreign private advisers.

  3. Whether to propose new rules under Section 763(i) of the Dodd-Frank Wall Street Reform and Consumer Protection Act governing the security-based swap data repository registration process, the duties of such repositories, and the core principles applicable to such repositories.

  4. Whether to propose Regulation SBSR under Title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act to provide for the reporting of security-based swap information to registered security-based swap data repositories or the Commission and the public dissemination of security-based swap transaction, volume, and pricing information.

This meeting is open to the public, and will be held at the Commission's Washington, DC headquarters located at 100 F Street NE.  The meeting will also be webcast live via link on the SEC's website, www.sec.gov.  

The meeting will be the final appearance of Andrew J. Donohue before the Commission as Director of the Division of Investment Management.  

The Sunshine Act notice for this meeting is available at:  http://sec.gov/news/openmeetings/2010/ssamtg111910.htm