Open Meeting Agenda
|Item 1:||Exchange-Traded Funds|
Office: Division of Investment Management
Staff: Robert E. Plaze, Penelope W. Saltzman, Dalia Osman Blass, Adam Glazer
|Item 2:||"Naked" Short Selling Anti-Fraud Rule|
Office: Division of Trading and Markets
Staff: James Brigagliano, Josephine Tao, Victoria Crane, Joan Collopy, Christina Adams
|Item 3:||Regulation S-P: Privacy of Consumer Financial Information|
Office: Division of Trading and Markets / Division of Investment Management
Staff: Catherine McGuire, Paula Jenson, Brice D. Prince / Robert E. Plaze, Penelope W. Saltzman, Vincent M. Meehan
The Commission will consider whether to propose two new rules under the Investment Company Act concerning exchange-traded funds ("ETFs"). Proposed Rule 6c-11 would provide exemptions from restrictions of the Act, to permit ETFs to operate without the need to obtain individual exemptive orders from the Commission. The Commission also will consider related disclosure amendments, and rule revisions concerning fund of funds restrictions of that Act.
For further information, please contact Dalia Blass or Adam Glazer, Division of Investment Management, at (202) 551-6792.
The Commission will consider whether to propose a rule directed at misrepresentations in connection with a seller's ability or intent to deliver securities by settlement date.
For further information, please contact Josephine Tao or Victoria Crane, Division of Trading and Markets, at (202) 551-5720.
The Commission will consider a recommendation to propose amendments to Regulation S-P, which governs the privacy of consumer financial information. The amendments would address the Rule's provisions related to the safeguarding and disposal of financial information, and would specify information that may be transferred when employees of broker-dealers or investment advisers change firms.
For further information, please contact Brice D. Prince, Division of Trading and Markets, at (202) 551-5595 or Vincent M. Meehan, Division of Investment Management, at (202) 551-6744.
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