For live links to today's webcast, click onto:  SEC Open Meetings.  Here's today's agenda: 

1.  Risk Management Controls for Brokers or Dealers with Market Access.
2.  Prohibition Against Fraud, Manipulation, and Deception in Connection with Security-Based Swaps. 
3.  Implementing Whistleblower Provisions of Sec. 21F, Securities Exchange Act of 1934. 

    1.  Risk Management Controls for Brokers or Dealers with Market Access.   SEC considers adopting new Rule 15c3-5, Risk Management Controls for Brokers or Dealers with Market Access, under the '34 Exchange Act, which would require brokers or dealers with access to trading directly on an exchange or ATS, including those providing sponsored or direct market access to customers or other persons, to implement risk management controls and supervisory procedures reasonably designed to manage the financial, regulatory, and other risks of this business activity.  It also would would effectively prohibit B/D's from providing "unfiltered" or "naked" sponsored access to any exchange or ATS.  Contact:  Daniel Gien, (202) 551-5747.

    2.  Prohibition Against Fraud, Manipulation, and Deception in Connection with Security-Based Swaps.   SEC considers whether to propose a new rule under Section 763(g) of Dodd-Frank to prohibit fraud, manipulation, and deception in connection with security-based swaps.  Contacts:  Josephine Tao or Joan Collopy, (202) 551-5720.

    3.  Proposed Rules for Implementing the Whistleblower Provisions of Secton 21F of the Securities Exchange Act of 1934.   SEC considers whether to propose rules and forms to implement Section 21F of the '34 Exchange Act entitled "Securities Whistleblower Incentives and Protection."  Section 21F, as added by Section 922 of Dodd-Frank provides that the "Commission shall pay awards, under regulations prescribed by the Commission and subject to certain limitations, to eligible whistleblowers who voluntarily provide the Commission with original information about a violation of the federal securities laws that leads to the successful enforcement of a covered judicial or administrative action, or a related action."  Contacts:  Sarit Klein, (202) 551-4577.