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Open Meeting Agenda - March 22, 2023

March 21, 2023

ITEM 1: Electronic Submission of Certain Materials Under the Securities Exchange Act of 1934; Amendments Regarding the FOCUS Report

OFFICE: Division of Trading and Markets      

STAFF: Edward Cho, Valentina Minak Deng, David Dimitrious, Molly Kim, Matthew Lee, Katherine Lesker, Raymond Lombardo, Russell Mancuso, Cristie March, Carol McGee, David Michehl, Michou Nguyen, Claire Noakes, Susan Petersen, Justin Pica, David Remus, Kelly Shoop, and Rose Wells.

The Commission will consider whether to:

  1. Propose to require the electronic filing or submission on the Commission’s Electronic Data Gathering, Analysis, and Retrieval (“EDGAR”) system, using structured data where appropriate, of several forms, notices, and reports required under the Exchange Act;
  2. Propose to rescind Form 19b-4(e) and require the information currently contained in Form 19b-4(e) instead to be publicly posted on the listing self-regulatory organization’s website; and remove the requirement in Form 19b-4 for a manual signature and the related manual signature retention requirement;
  3. Propose to amend the Commission’s Informal and Other Procedures to reflect that Form 1 and Form 1-N would be submitted electronically and to make certain technical revisions;
  4. Propose to amend the requirement for supplemental materials for registered clearing agencies to require that a clearing agency post to its website the required supplemental information, rather than submit such material in paper copy to the Commission;
  5. Propose to allow electronic signatures in certain broker-dealer filings and propose amendments regarding the Financial and Operational Combined Uniform Single Report  (Form X-17A-5) to harmonize with other rules, make technical corrections, and provide clarifications; and
  6. Propose to require that notices made pursuant to Rule 3a71-3(d)(1)(vi) be withdrawn in specified circumstances.

For further information, please contact Raymond A. Lombardo in the Division of Trading and Markets at (202) 551-5500. 

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