Open Meeting Agenda
Wednesday, September 25, 2019
| Item 1: | Publication or Submission of Quotations without Specified Information |
| Office: | Division of Trading and Markets |
| Staff: | Brett Redfearn and John Guidroz |
The Commission will consider whether to propose amendments to Rule 15c2-11 under the Securities Exchange Act of 1934 that governs the publication of quotations for securities in a quotation medium other than a national securities exchange, and issue proposed guidance on the Rule and a concept release requesting public comment on information repositories.
For further information, please contact John Guidroz, Laura Gold, Theresa Hajost, Quinn Kane, Sam Litz, Aaron Washington, Elizabeth Sandoe, Timothy M. Riley, Josephine Tao, or Mark Wolfe, in the Division of Trading and Markets at (202) 551-5777.
| Item 2: | Solicitations of Interest Prior to a Registered Public Offering |
| Office: | Division of Corporation Finance |
| Staff: | William Hinman, Elizabeth Murphy, Luna Boom, and Maryse Mills-Apenteng |
The Commission will consider whether to adopt a new rule and related amendments under the Securities Act of 1933 that permits issuers to engage in oral or written communications with certain institutional investors, either prior to or following the filing of a registration statement, to determine whether such investors might have an interest in a contemplated registered securities offering.
For further information, please contact Maryse Mills-Apenteng in the Division of Corporation Finance at (202) 551-3430.
| Item 3: | Exchange-Traded Funds |
| Office: | Division of Investment Management |
| Staff: | Dalia Blass and Kay-Mario Vobis |
The Commission will consider whether to adopt a new rule under the Investment Company Act of 1940 that will permit exchange-traded funds that satisfy certain conditions to operate without first obtaining an exemptive order, as well as related form amendments and the rescission of certain exemptive relief to ETFs and their sponsors.
For further information, please contact Jacob D. Krawitz and Melissa S. Gainor, Division of Investment Management, at (202) 551-6792.
| Item 4: | Order Granting a Conditional Exemption from Exchange Act Section 11(D)(1) and Exchange Act Rules 10B-10, 15C1-5, 15C1-6, and 14E-5 for Certain Exchange Traded Funds |
| Office: | Division of Trading and Markets; Division of Corporation Finance |
| Staff: | Brett Redfearn and Brandon Hill, Division of Trading and Markets; William Hinman, Daniel Duchovny, and Ted Yu, Division of Corporation Finance |
The Commission will consider whether to issue an order granting an exemption from compliance with certain provisions of the Securities Exchange Act of 1934 and the rules thereunder to broker-dealers and certain other persons engaging in certain transactions in securities of exchange-traded funds that can rely on Rule 6c-11 under the Investment Company Act of 1940.
For further information, please contact Darren Vieira, Brandon Hill, or Joanne Rutkowski in the Division of Trading and Markets at (202) 551-5550.