Open Meeting Agenda

Wednesday, April 13, 2016

Item 1: Concept Release on Regulation S-K
Office: Division of Corporation Finance
Staff: Karen Garnett, Angie Kim

The Commission will consider whether to issue a concept release seeking comment on modernizing certain business and financial disclosure requirements in Regulation S-K.

For further information, please contact Karen Garnett at 202-551-3032 or Angie Kim at 202-551-3430.

Item 2: Business Conduct Standards for Security-Based Swap Dealers and Major Security-Based Swap Participants
Office: Division of Trading and Markets
Staff: Stephen Luparello, Gary Goldsholle, Heather Seidel, Brian Bussey, Lourdes Gonzalez, Carol McGee, Joanne Rutkowski, Richard Gabbert, Josh Kans, Cindy Oh, Lindsay Kidwell, Stacy Puente, Devin Ryan, Margaret Rubin

The Commission will consider whether to adopt rules regarding business conduct standards and chief compliance officer requirements for security-based swap dealers and major security-based swap participants.

For further information, please contact Lourdes Gonzalez at 202-551-5580.