SEC Open Meeting Agenda
|Item 1:||Publication of acknowledgement of receipt of Forms 1-N from One-Chicago, LLC, Nasdaq LIFFE Markets, LLC and the Chicago Mercantile Exchange Inc. to trade securities futures|
Delegation of Authority to the Director of the Division of Market Regulation
Office: Division of Market Regulation
Staff: T.R. Lazo, Jennifer Colihan, Mia Zur
|Item 2:||Disclosure Required by Sections 404, 406 and 407 of the Sarbanes-Oxley Act of 2002|
Office: Division of Corporation Finance
Staff: Elizabeth Murphy, N. Sean Harrison, Ray Be
|Item 3:||Improper Influence on the Conduct of Audits|
Office: Office of the Chief Accountant
Staff: Michael J. Kigin, Robert E. Burns
The Commission will consider publication of acknowledgements of receipt of Forms 1-N from the Chicago Mercantile Exchange Inc., OneChicago, LLC and Nasdaq LIFFE Markets, LLC to trade security futures.
The Commission will also consider whether to delegate authority to the Director of the Division of Market Regulation to publish in the Federal Register acknowledgements of receipt of Forms 1-N filed pursuant to Section 6(g) of the Securities Exchange Act of 1934.
For further information, please contact Jennifer Colihan at (202) 942-0735.
The Commission will consider whether to propose rules relating to Sections 404, 406 and 407 of the Sarbanes-Oxley Act of 2002. The proposed rules would require companies to include in their Exchange Act filings: (1) an annual internal control report, (2) disclosure regarding whether a company has adopted a code of ethics that applies to certain senior officers, and (3) disclosure regarding whether a company has a financial expert on its audit committee.
For further information, please contact Ray Be or Sean Harrison at (202) 942-2910. With respect to registered investment companies, please contact Katy Mobedshahi at (202) 942-0721.
The Commission will consider whether to propose amendments to implement Section 303 of the Sarbanes-Oxley Act of 2002. Section 303(a) prohibits an issuer's officers, directors, and persons acting under the direction of an officer or director, from taking any action to fraudulently influence, coerce, manipulate or mislead the auditor of the issuer's financial statements for the purpose of rendering those financial statements materially misleading.
For further information, please contact Michael J. Kigin or Robert E. Burns at (202) 942-4400.
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