OPEN MEETING AGENDA
Wednesday, May 25, 2011

Item 1:	DISQUALIFICATION OF FELONS AND OTHER “BAD ACTORS” FROM RULE 506 OFFERINGS
Office:	Division of Corporation Finance
Staff:	Lona Nallengara, Mauri Osheroff, Gerry Laporte, Karen Wiedemann, Johanna Losert

The Commission will consider whether to propose amendments to Regulation D under the Securities Act of 1933 to disqualify securities offerings involving certain “felons and other ‘bad actors’” from reliance on the Rule 506 safe harbor exemption from Securities Act registration. These proposals are designed to implement Section 926 of the Dodd-Frank Wall Street Reform and Consumer Protection Act.

For further information, please contact Johanna V. Losert, Division of Corporation Finance, at (202) 551-3460.

Item 2:	FINAL RULES FOR IMPLEMENTING THE WHISTLEBLOWER PROVISIONS OF SECTION 21F OF THE SECURITIES EXCHANGE ACT OF 1934
Office:	Division of Enforcement and Office of the General Counsel
Staff:	Stephen Cohen, Sean McKessy, Thomas Sporkin, Samuel Waldon, Jordan Thomas, Sarit Klein Richard Levine, William Shirey, Brian Ochs, Stephen Jung, Thomas Karr, William Lenox

The Commission will consider whether to adopt rules and forms to implement Section 21F of the Securities Exchange Act of 1934 entitled “Securities Whistleblower Incentives and Protection.” Section 21F, as added by Section 922 of the Dodd-Frank Wall Street Reform and Consumer Protection Act, provides that the Commission shall pay awards, under regulations prescribed by the Commission and subject to certain limitations, to eligible whistleblowers who voluntarily provide the Commission with original information about a violation of the federal securities laws that leads to the successful enforcement of a covered judicial or administrative action, or a related action.

For further information, please contact Stephen Cohen, Division of Enforcement, at (202) 551-4472 or Sean McKessy, Division of Enforcement, at (202) 551-4786.

http://www.sec.gov/news/openmeetings/2011/agenda052511.htm