Open Meeting Agenda

Tuesday, November 5, 2019

The first two items of the Open Meeting will address the Commission’s continued efforts to facilitate constructive shareholder engagement and enhance transparency, improve disclosures, and increase confidence in the proxy process. The specific matters to be considered are:

Item 1: Amendments to Exemptions from the Proxy Rules for Proxy Voting Advice
Office: Division of Corporation Finance
Staff: William Hinman, Michele Anderson, Ted Yu, Luna Bloom, and Dan Greenspan

The Commission will consider whether to propose amendments to the proxy solicitation rules that would provide for disclosure of material conflicts of interest and set forth procedures to facilitate issuer and shareholder engagement, to provide clarity to market participants, and to improve the information provided to investors.

For further information, please contact Dan Greenspan in the Division of Corporation Finance at (202) 551-3430.

Item 2: Procedural Requirements and Resubmission Thresholds under Exchange Act Rule 14a-8
Office: Division of Corporation Finance
Staff: William Hinman, David Frederickson, Tamara Brightwell, Luna Bloom, and Matt McNair

The Commission will consider whether to propose amendments to the shareholder proposal rules to modernize the submission and resubmission requirements and to update procedural requirements.

For further information, please contact Matt McNair in the Division of Corporation Finance at (202) 551-3500.



The third item of the Open Meeting will address the Commission’s continued efforts to modernize the regulatory framework for investment advisers and enhance information to investors. The specific matter to be considered is:
Item 3: Investment Adviser Advertisements; Compensation for Solicitations
Office: Division of Investment Management
Staff: Dalia Blass, Sarah ten Siethoff, Melissa Gainor, Thoreau Bartmann, Melissa Roverts Harke, Matthew Cook, Emily Rowland, and James Maclean

The Commission will consider whether to propose amendments under the Advisers Act of 1940 to the rules that prohibit certain investment adviser advertisements and payments to solicitors.

For further information, please contact Thoreau Bartmann or Melissa Roverts Harke, Division of Investment Management, at (202) 551-6792.