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U.S. Securities and Exchange Commission

Open Meeting Agenda
Wednesday, June 13, 2007

Agenda as of June 11, 2007. Note that Open Meeting agendas are subject to last-minute changes.

Item 1: Amendments to Regulation SHO

Division:  Division of Market Regulation

Staff:  James Brigagliano, Josephine Tao, Joan Collopy, Lillian Hagen, Victoria Crane, Elizabeth Sandoe
 
Item 2: Re-proposed Amendments to Regulation SHO

Division:  Division of Market Regulation

Staff:  James Brigagliano, Josephine Tao, Joan Collopy, Lillian Hagen, Victoria Crane, Elizabeth Sandoe
 
Item 3: Short Selling in Connection with a Public Offering

Division:  Division of Market Regulation

Staff:  James Brigagliano, Josephine Tao, Joan Collopy, Elizabeth Sandoe, Victoria Crane
 
Item 4: Regulation SHO and Rule 10a-1

Division:  Division of Market Regulation

Staff:  James Brigagliano, Josephine Tao, Victoria Crane
 

Item 1: Amendments to Regulation SHO

The Commission will consider whether to adopt amendments to the grandfather provision of Rule 203 of Regulation SHO and the market decline limitation of Rule 200(e)(3).

For further information, please contact James Brigagliano, Josephine Tao, Joan Collopy, Lillian Hagen, Elizabeth Sandoe, or Victoria Crane at (202) 551-5720.

Item 2: Re-proposed Amendments to Regulation SHO

The Commission will consider whether to re-propose amendments to the options market maker exception to the close-out requirement of Regulation SHO and the marking requirements of Rule 200(g) of Regulation SHO.

For further information, please contact James Brigagliano, Josephine Tao, Joan Collopy, Lillian Hagen, Elizabeth Sandoe, or Victoria Crane at (202) 551-5720.

Item 3: Short Selling in Connection with a Public Offering

The Commission will consider whether to adopt amendments to Rule 105 of Regulation M that would further safeguard the integrity of the capital raising process and protect issuers from manipulative activity that can reduce issuers' offering proceeds and dilute security holder value.

For further information, please contact James Brigagliano, Josephine Tao, Joan Collopy, Elizabeth Sandoe, or Victoria Crane at (202) 551-5720.

Item 4: Regulation SHO and Rule 10a-1

The Commission will consider whether to adopt amendments to the short sale price test of Rule 10a-1. In addition, the Commission will consider whether to adopt an amendment to the "short exempt" marking requirement of Regulation SHO.

For further information, please contact James Brigagliano, Josephine Tao, or Victoria Crane at (202) 551-5720.

 

http://www.sec.gov/news/openmeetings/2007/agenda061307.htm

Modified: 06/11/2007