SEC Open Meeting Agenda
|Item 1:||Framework for Enhancing the Quality of Financial Information Through Improvement of Oversight of the Auditing Process|
Office: Office of the Chief Accountant
Staff: Samuel L. Burke, Bert Mehrer, Robert E. Burns
|Item 2:||Technical Amendments to Rules and Forms Under the Investment Company Act of 1940 and the Securities Exchange Act of 1934|
Office: Division of Investment Management
Staff: Robert E. Plaze, Martha B. Peterson, Hugh P. Lutz
|Item 3:||Guidance on the Application of Certain Provisions of the Securities Act of 1933, the Securities Exchange Act of 1934, and Rules Thereunder to Trading in Security Futures Products|
Office: Division of Corporation Finance; Division of Market Regulation
Staff: Martin Dunn, Elizabeth Murphy, Sean Harrison, Robert Colby, Larry Bergmann, Catherine McGuire, James Brigagliano, Christina McGlosson, Nancy Oremland, Kenneth Rosen
The Commission will consider whether to propose rule amendments and new rules designed to enhance the quality of financial information through improving oversight of the auditing process. The proposed rules would create the framework for a new private sector regulatory scheme for the accountants that audit or review financial statements filed with the Commission. The proposed rules also would reform oversight and improve the accountability of auditors of public companies, thereby enhancing the reliability and integrity of the financial reporting process. Under the proposed framework, a new organization, among other things, would (1) conduct reviews of accounting firms' quality controls, (2) discipline accountants for unethical or incompetent conduct, or other violations of professional standards, and (3) either set or rely on designated private sector bodies to set auditing, quality control and ethics standards.
For further information, please contact Samuel L. Burke or Robert E. Burns at (202) 942-4400.
The Commission will consider whether to adopt technical amendments to Rules 3a-1, 3a-2, 3a-3, 3a-5, 3a-6, 6c-6, 6e-2, 6e-3(T), 20b, and 30f-1 under the Investment Company Act of 1940 and Rules 16a-2 and 16a-3 under the Securities Exchange Act of 1934; as well as whether to adopt technical amendments to Forms 3, 4, and 5, and the references to these forms contained in the Code of Federal Regulations. The amendments will correct statutory references currently contained in the rules and the forms.
For further information, please contact Hugh P. Lutz at (202) 942-0695.
The Commission will consider whether to issue an interpretive release regarding the application of certain provisions of the federal securities laws to trading in security futures products. In light of the framework established by the Commodity Futures Modernization Act for the joint regulation of security futures products by the Securities and Exchange Commission and the Commodity Futures Trading Commission, the interpretive release is designed to provide guidance to securities industry and futures industry participants in applying certain provisions of the federal securities laws to trading in security futures products. This release responds to many of the interpretive issues identified by industry participants. Some questions pertain to the status and treatment of the instruments themselves under the Securities Act of 1933 and the Securities Exchange Act of 1934. Other questions pertain to the application of trading rules and other rules that apply to market intermediaries.
For further information:
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