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

To be announced.

2017 Meetings

Wednesday, August 15, 2017, 1:00 p.m., ET
Oral Argument in the Matter of Donald J. Anthony, Jr., Frank H. Chiappone, Richard D. Feldmann, William P. Gamello, Andrew G. Guzzetti, William F. Lex, Thomas E. Livingston, Brian T. Mayer, Philip S. Rabinovich, and Ryan C. Rogers

Wednesday, March 22, 2017, 10:00 a.m., ET

Item 1: Amendment to Rule 15c6-1

Wednesday, March 1, 2017

Item 1: Request for Comment on Possible Changes to Industry Guide 3 (Statistical Disclosure by Bank Holding Companies)
Item 2: Exhibit Hyperlinks and HTML Format
Item 3: Inline XBRL Filing of Tagged Data
Item 4: Proposed Amendments to Exchange Act Rule 15c2-12

2016 Meetings

Wednesday, December 14, 2016

Item: Public Company Accounting Oversight Board 2017 Budget and Accounting Support Fee

Tuesday, November 15, 2016

Item 1: The Consolidated Audit Trail National Market System Plan

Wednesday, October 26, 2016

Item 1: Universal Proxy
Item 2: Exemptions to Facilitate Intrastate and Regional Securities Offerings

Thursday, October 13, 2016
Item 1: Investment Company Reporting Modernization
Item 2: Investment Company Liquidity Risk Management Programs
Item 3: Investment Company Swing Pricing

Wednesday, September 28, 2016,
Item 1:Standards for Covered Clearing Agencies
Item 2: Amendment to Definition of "Covered Clearing Agency" in Rule 17Ad-22
Item 3: Amendment to Rule 15c6-1

Wednesday, August 17, 2016
Oral Argument in the Matter of Larry C. Grossman

Wednesday, August 3, 2016
Oral Argument in the Matter of Harding Advisory LLC and Wing F. Chau

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


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