|
SEC Open Meeting Agenda
|
Item 1: | Short Sales Office: Division of Market Regulation Staff: Larry Bergmann, James Brigagliano, Kevin Campion, Lillian Hagen, Alexandra Albright, Elizabeth Sandoe |
Item 2: | Disclosure Regarding Approval of Investment Advisory Contracts by Directors of Investment Companies Office: Division of Investment Management Staff: Susan Nash, Paul G. Cellupica, Deborah D. Skeens |
Item 3: | Investment Company Governance Office: Division of Investment Management Staff: Robert E. Plaze, Hunter Jones, Catherine Marshall |
The Commission will consider whether to adopt amendments to short sale regulation under new Regulation SHO, and revisions to Rule 105 of Regulation M (short selling in connection with a public offering), both under the Securities Exchange Act of 1934.
For further information, please contact Kevin Campion, Lillian Hagen, or Alexandra Albright at (202) 942-0772.
The Commission will consider whether to adopt amendments to Schedule 14A under the Securities Exchange Act of 1934, and to Forms N-1A, N-2, and N-3 under the Securities Act of 1933 and the Investment Company Act of 1940. The amendments would require a registered management investment company to provide disclosure in its reports to shareholders regarding the basis for the board of directors' approval of an investment advisory contract. They would also enhance existing disclosure requirements in proxy statements regarding the basis for the board's recommendation that shareholders approve an advisory contract.
For further information, please contact Deborah D. Skeens at (202) 942-0562.
The Commission will consider whether to adopt amendments to rules 0-1, 10f-3, 12b-1, 15a-4, 17a-7, 17a-8, 17d-1, 17e-1, 17g-1, 18f-3, and 23c-3 under the Investment Company Act of 1940, to require investment companies that rely on certain exemptive rules to adopt certain governance practices. The Commission also will consider whether to adopt an amendment to rule 31a-2, the investment company recordkeeping rule, to require that investment companies retain copies of written materials that the directors consider when approving investment advisory contracts.
For further information, please contact Catherine E. Marshall at (202) 942-0719.
http://www.sec.gov/news/openmeetings/agenda062304.htm
Home | Previous Page | Modified: 06/22/2004 |