SEC Open Meeting Agenda
|Item 1:||Purchases of Certain Equity Securities by the Issuer and Others|
Office: Division of Market Regulation
Staff: Larry Bergmann, James Brigagliano, Joan Collopy, Elizabeth Sandoe
|Item 2:||Status Under the Investment Company Act of 1940 of Certain Research and Development Companies|
Office: Division of Investment Management
Staff: David B. Smith, Nadya B. Roytblat, Janet M. Grossnickle, Karen L. Goldstein
The Commission will consider whether to issue a release proposing amendments to Rule 10b-18 (the safe harbor for issuer repurchases), and amendments to Regulations S-K and S-B under the Securities Exchange Act of 1934, Exchange Act Forms 10-Q, 10-QSB, 10-K, 10-KSB, and 20-F, and proposed Form N-CSR under the Exchange Act and the Investment Company Act of 1940, regarding disclosure of issuer repurchases.
For further information, please contact James Brigagliano, Joan Collopy, or Elizabeth Sandoe at (202) 942-0772.
The Commission will consider whether to propose new rule 3a-8 under the Investment Company Act of 1940 that would provide a nonexclusive safe harbor from the definition of investment company for certain bona fide research and development companies.
For further information, please contact Karen L. Goldstein at (202) 942-0646.
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