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TRENDING TAGS
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- Sarah ten Siethoff is New Associate Director of SEC Investment Management Rulemaking Office
- Catherine Keating Appointed CEO of BNY Mellon Wealth Management
- Credit Suisse to Pay $47Mn to Resolve DOJ Asia Probe
- SEC Chair Clayton Goes 'Hat in Hand' Before Congress on 2019 Budget Request
- SEC's Opening Remarks to the Elder Justice Coordinating Council
- Massachusetts Jury Convicts CA Attorney of Securities Fraud
- Deutsche Bank Says 3 Senior Investment Bankers to Leave Firm
- World’s Biggest Hedge Fund Reportedly ‘Bearish On Financial Assets’
- SEC Fines Constant Contact, Popular Email Marketer, for Overstating Subscriber Numbers
- SocGen Agrees to Pay $1.3 Billion to End Libya, Libor Probes
- Cryptocurrency Exchange Bitfinex Briefly Halts Trading After Cyber Attack
- SEC Names Valerie Szczepanik Senior Advisor for Digital Assets and Innovation
- SEC Modernizes Delivery of Fund Reports, Seeks Public Feedback on Improving Fund Disclosure
- NYSE Says SEC Plan to Limit Exchange Rebates Would Hurt Investors
- Deutsche Bank faces another challenge with Fed stress test
- Former JPMorgan Broker Files racial discrimination suit against company
- $3.3Mn Winning Bid for Lunch with Warren Buffett
- Julie Erhardt is SEC's New Acting Chief Risk Officer
- Chyhe Becker is SEC's New Acting Chief Economist, Acting Director of Economic and Risk Analysis Division
- Getting a Handle on Virtual Currencies - FINRA
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SEC's Friday A.M. Open Meeting Agenda
Tomorrow's meeting is set to cover four (4) key agenda items addressing Investment Adviser and Trading and Markets issues; further discussion on Madoff will probably be added - given that the SEC views Bernie to be a "fifth wheel."
Item 1: Rules Implementing Amendments to the Investment Advisers Act of 1940
- Presentation by Investment Management Staff - Robert Plaze, Sarah Bessin, Matthew Goldin, Daniel Kahl, Daniele Marchesani, Jennifer Porter, Melissa Roverts, Devin Sullivan.
Item 2: Exemptions for Advisers to V/C Funds, Private Fund Advisers With <$150mn under mgmt, and Foreign Private Advisers.
- Presentation by Investment Management Staff - Robert Plaze, David Vaughan, Tram Nguyen, Daniele Marchesani.
Item 3: Security-Based Swap Data Repository Registration, Duties, and Core Principles
- Presentation by Trading and Markets Staff - Jo Anne Swindler, Richard Vorosmarti, Angie Le, Miles Treakle, Bradley Gude.
Item 4: Regulation SBSR — Reporting and Dissemination of Security-Based Swap Information
- Presentation by Trading And Markets Staff - Michael Gaw, David Michehl, Sarah Albertson, Natasha Cowen, Yvonne Fraticelli, Geoffrey Pemble, Brian Trackman, Mia Zur, Kathleen Gray.
For further details, click onto: [SEC's 11/19 Open Meeting Agenda, 11/18 ]
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