Commission Open Meetings

The Commission conducts open meetings under the provisions of the Government in the Sunshine Act. These meetings are scheduled as needed to consider various regulatory and administrative items. The meeting dates and topics are announced ahead of time on Upcoming Events. Please remember that the agenda for any meeting may change and may not be final until the day of the open meeting. The final agenda of the meeting will be posted to this page when it becomes available.

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Upcoming Open Meetings

Wednesday, August 3, 2016, 2:00 p.m.
Oral Argument in the Matter of Harding Advisory LLC and Wing F. Chau


2016 Meetings

Friday, July 22, 2016
Oral Argument in the Matter of Thomas C. Gonnella

Wednesday, July 13, 2016

Summary Agenda

Item 1: Amendments to the Commission's Rules of Practice

Discussion Agenda

Item 1: Regulation SBSR — Reporting and Dissemination of Security-Based Swap Information; Consideration of Amendments to Regulation SBSR
Item 2: Disclosure of Order Handling Information; Consideration of Amendments to Regulation NMS under the Securities Exchange Act of 1934
Item 3: Disclosure Update and Simplification

Tuesday, July 12, 2016
Oral Argument in the Matter of John J. Aesoph, CPA and Darren M. Bennett, CPA

Wednesday, April 27, 2016
Consolidated Audit Trail (Rule 613)

Wednesday, April 13, 2016

Item 1: Concept Release on Regulation S-K
Item 2: Business Conduct Standards for Security-Based Swap Dealers and MajorSecurity-Based Swap Participants

Monday, March 21, 2016
Oral Argument in the Matter of Edgar R. Page and PageOne Financial, Inc.

Wednesday, March 16, 2016
Oral Argument in the Matter of Mohammed Riad and Kevin Timothy Swanson

Monday, March 14, 2016, 10:00 a.m.
Public Company Accounting Oversight Board 2016 Budget and Accounting Support Fee

Monday, March 7, 2016
Oral Argument in the Matter of J.S. Oliver Capital Management, L.P., and Ian O. Mausner

Wednesday, February 10, 2016
Application of the Title VII Security-Based Swap Dealer De Minimis Counting Requirements to Activity in the United States

Monday, February 8, 2016
Oral Argument in the Matter of Bernie Young

Friday, January 15, 2016
Oral Argument in the Matter of OptionsXpress, INC., and Jonathan I. Feldman

2015 Meetings

Friday, December 11, 2015

Item 1: Use of Derivatives by Registered Investment Companies and Business Development Companies
Item 2: Disclosure of Payments by Resource Extraction Issuers

Wednesday, November 18, 2015
Regulation of NMS Stock Alternative Trading Systems

Friday, October 30, 2015
Item 1: Regulation Crowdfunding
Item 2: Amendments to Rule 147 and Rule 504

Monday, October 26, 2015
Oral Argument in the Matter of ZPR Investment Management, Inc. and Max E. Zavanelli

Tuesday, September 22, 2015
Open-End Fund Liquidity Risk Management Programs

Wednesday, August 5, 2015

Item 1: Registration of Security-Based Swap Dealers and Registered Security-Based Swap Participants
Item 2: Applications by Security-Based Swap Dealers or Major Security-Based Swap Participants for Statutorily Disqualified Associated Persons to Effect or Be Involved in Effecting Security-Based Swaps
Item 3: Pay Ratio Disclosure

Friday, July 31, 2015
Oral Argument in the Matter of Raymond J. Lucia Companies, Inc. and Raymond J. Lucia, Sr.

Wednesday, July 1, 2015
Listing Standards for Recovery of Erroneously Awarded Compensation

Monday, June 8, 2015
Oral Argument in the Matter of Timbervest, LLC, Joel Barth Shapiro, Walter William Anthony Boden, III, Donald David Zell, Jr., and Gordon Jones II

Wednesday, May 20, 2015

Item 1: Investment Company Reporting Modernization
Item 2: Proposed Amendments to Form ADV and Investment Advisers Act Rules Under

Wednesday, April 29, 2015

Item 1: Application of Certain Title VII Requirements to Security-Based Swap Transactions Connected with a Non-U.S. Person's Activity in the United States
Item 2: Pay Versus Performance

Monday, March 30, 2015
Oral Argument in the Matter of Francis V. Lorenzo

Wednesday, March 25, 2015

Item 1: Exemption for Certain Exchange Members
Item 2: Amendments to Regulation A

Wednesday, February 4, 2015
Public Company Accounting Oversight Board 2015 Budget and Accounting Support Fee

Wednesday, January 14, 2015

Item 1: Security-Based Swap Data Repository Registration, Duties, and Core Principles
Item 2: Regulation SBSR- Reporting and Dissemination of Security-Based Swap Information
Item 3: Regulation SBSR- Reporting and Dissemination of Security-Based Swap Information

2014 Meetings

Thursday, November 20, 2014
SEC Government-Business Forum on Small Business Capital Formation

Wednesday, November 19, 2014
Regulation SCI

Wednesday, October 22, 2014
Credit Risk Retention

Wednesday, August 27, 2014

Item 1: Asset-Backed Securities Disclosure and Registration
Item 2: Nationally Recognized Statistical Rating Organizations

Friday, July 25, 2014
Oral Argument in the Matter of John P. Flannery and James D. Hopkins

Wednesday, July 23, 2014

Item 1: Money Market Fund Reform; Amendments to Form PF
Item 2: Notice of Proposed Exemptive Relief
Item 3: Removal of Certain References to Credit Ratings and Amendment to the Issuer Diversification Requirement in the Money Market Fund Rule

Wednesday, June 25, 2014
Application of "Security-Based Swap Dealer" and "Major Security-Based Swap Participant" Definitions to Cross-Border Security-Based Swap Activities

Wednesday, March 12, 2014
Standards for Covered Clearing Agencies

Wednesday, February 5, 2014
Public Company Accounting Oversight Board 2014 Budget and Accounting Support Fee

CANCELLED: Wednesday, January 22, 2014
Public Company Accounting Oversight Board 2014 Budget and Accounting Support Fee

2013 Meetings

Wednesday, December 18, 2013
Proposed Rule Amendments for Small and Additional Issues Exemptions under Section 3(b) of the Securities Act of 1933

Monday, December 16, 2013
Oral Argument in the Matter of Absolute Potential, Inc., f/k/a Absolute Waste Services Inc.

Wednesday, October 23, 2013
Crowdfunding

Tuesday, October 8, 2013
Oral Argument in the Matter of China-Biotics, Inc.

Wednesday, September 18, 2013

Item 1: Registration of Municipal Advisors
Item 2: Pay Ratio Disclosure

Tuesday, September 17, 2013
Oral Argument in the Matter of Montford and Company, Inc., d/b/a Montford Associates, and Ernest V. Montford, Sr.

Wednesday, July 10, 2013

Item 1: Eliminating the Prohibition Against General Solicitation and General Advertising in Rule 506 and Rule 144a Offering
Item 2: Disqualification of Felons and Other "Bad Actors" from Rule 506 Offerings
Item 3: Amendments to Regulation D, Form D and Rule 156 Under The Securities Act

Wednesday, June 5, 2013
Money Market Fund Reform; Amendments to Form PF

Wednesday, May 1, 2013

Item 1: Cross-Border Security-Based Swap Activities; Re-Proposal of Regulation SBSR and Certain Rules and Forms Relating to the Registration of Security-Based Swap Dealers and Major Security Based Swap Participants
Item 2: Reopening of Comment Periods for Certain Rulemaking and Releases and Policy Statement Applicable to Security-Based Swaps Proposed Pursuant to the Securities Exchange Act of 1934 and the Dodd-Frank Wall Street Reform and Consumer Protection Act

Wednesday, April 10, 2013
Identify Theft Red Flags Rules

Thursday, March 7, 2013
Regulation Systems Compliance and Integrity

Wednesday, February 13, 2013
Public Company Accounting Oversight Board 2013 Budget and Accounting Support Fee

2012 Meetings

Wednesday, October 17, 2012
Swap Dealers and Major Security-Based Swap Participants and Capital Requirements for Broker-Dealers

Wednesday, August 29, 2012
Eliminating the Prohibition Against General Solicitation and General Advertising in Rule 506 and Rule 144A Offerings

Wednesday, August 22, 2012

Item 1: Conflict Minerals
Item 2: Disclosure of Payments by Resource Extraction Issuers

Wednesday, July 11, 2012
Consolidated Audit Trail

Wednesday, April 18, 2012
Further Definition of "Swap Dealer," "Security-Based Swap Dealer" "Major Swap Participant," "Major Security-Based Swap Participant" and "Eligible Contract Participant"

Wednesday, January 11, 2012
Public Company and Accounting Oversight Board 2012 Budget and Accounting Support Fee


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