SECURITIES AND EXCHANGE COMMISSION
Sunshine Act Meetings
Time and Date: Notice is hereby given, pursuant to the provisions of the Government in the Sunshine Act, Pub. L. 94-409, the Securities and Exchange Commission will hold an Open Meeting on Wednesday, June 5, 2019, at 10:00 a.m.
Place: The meeting will be held in Auditorium LL-002 at the Commission’s headquarters, 100 F Street, NE, Washington, DC 20549.
Status: This meeting will begin at 10:00 a.m. (ET) and will be open to the public. Seating will be on a first-come, first-served basis. Visitors will be subject to security checks. The meeting will be webcast on the Commission's website at www.sec.gov.
Matters To Be Considered: The subject matters of the Open Meeting will be the Commission’s consideration of:
- Whether to adopt a new rule to establish a standard of conduct for broker-dealers and natural persons who are associated persons of a broker-dealer when making a recommendation to a retail customer of any securities transaction or investment strategy involving securities.
- Whether to adopt new and amended rules and forms to require registered investment advisers and registered broker-dealers to provide a brief relationship summary to retail investors.
- Whether to publish a Commission interpretation of the standard of conduct for investment advisers.
- Whether to publish a Commission interpretation of the solely incidental prong of section 202(a)(11)(C) of the Investment Advisers Act of 1940.
At times, changes in Commission priorities require alterations in the scheduling of meeting items.
Contact Person for More Information: For further information, please contact Vanessa A. Countryman from the Office of the Secretary at (202) 551-5400.
Dated: May 23, 2019
Vanessa A. Countryman