Open Meeting Agenda
|Item 1:||Proxy Disclosure Enhancements|
Office: Division of Corporation Finance
Staff: Meredith Cross, Paula Dubberly, Felicia Kung, Sean Harrison, Anne Krauskopf
|Item 2:||Custody of Funds or Securities of Clients by Investment Advisers|
Office: Division of Investment Management
Staff: Robert E. Plaze, Sarah A. Bessin, Daniel S. Kahl, Vivien Liu, Melissa A. Roverts, Richard F. Sennett, Bryan J. Morris, Jaime L. Eichen
The Commission will consider whether to adopt amendments to rules and forms under the Securities Act of 1933, the Securities Exchange Act of 1934 and the Investment Company Act of 1940 to enhance the disclosures that registrants are required to make about compensation and other corporate governance matters.
For further information, please contact N. Sean Harrison at (202) 551-3430 in the Division of Corporation Finance, or with respect to questions regarding investment companies, Alberto Zapata at (202) 551-6784 in the Division of Investment Management.
The Commission will consider whether to adopt amendments to the investment adviser custody rule (rule 206(4)-2) under the Investment Advisers Act of 1940) and related forms and rules. The amendments would enhance the protections provided advisory clients when they entrust their funds and securities to an investment adviser.
For further information, please contact Vivien Liu at (202)551-6787 in the Division of Investment Management.
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