SEC Open Meeting Agenda
|Item 1:||Amendments to Regulation M: Anti-manipulation Rules Concerning Securities Offerings|
Office: Division of Market Regulation
Staff: Larry Bergmann, James Brigagliano, Denise Landers, Joan Collopy, Elizabeth Sandoe, Elizabeth Marino
The Commission will consider whether to propose for public comment amendments to Regulation M (the anti-manipulation rule concerning securities offerings) under the Securities Exchange Act of 1934. The proposed amendments to Regulation M, among other things, would prohibit the acceptance of additional consideration beyond what is stated in the offering document in connection with a securities offering, extend the restricted period for IPOs, enhance the transparency of syndicate covering activity, adjust certain dollar value thresholds for inflation, and institute a recordkeeping requirement with respect to the de minimis exception.
For further information, please contact Denise Landers, Joan Collopy, Elizabeth Sandoe or Elizabeth Marino at (202) 942-0772.
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