Open Meeting Agenda
Friday, November 19, 2010

Agenda as of November 18, 2010. Note that Open Meeting agendas are subject to last-minute changes.

Item 1: Rules Implementing Amendments to the Investment Advisers Act of 1940

The Commission will consider whether to propose new rules and rule amendments under the Investment Advisers Act of 1940 to implement provisions of the Dodd-Frank Wall Street Reform and Consumer Protection Act. These rules and rule amendments are designed to give effect to provisions of Title IV of the Dodd-Frank Act that, among other things, increase the statutory threshold for registration by investment advisers with the Commission, require advisers to hedge funds and other private funds to register with the Commission, and address reporting by certain investment advisers that are exempt from registration.

For further information, please contact Jennifer Porter at (202) 551-6739, Daniele Marchesani at (202) 551-6747, Melissa Roverts at (202) 551-6722, or Devin Sullivan at (202) 551-6768.

Item 2: Exemptions for Advisers to Venture Capital Funds, Private Fund Advisers With Less Than $150 Million in Assets Under Management, and Foreign Private Advisers

The Commission will consider whether to propose rules that would implement new exemptions from the registration requirements of the Investment Advisers Act of 1940 for advisers to venture capital funds and advisers with less than $150 million in private fund assets under management in the United States. These exemptions were enacted as part of the Dodd-Frank Wall Street Reform and Consumer Protection Act. The proposed rules also would clarify the meaning of certain terms included in a new exemption for foreign private advisers.

For further information, please contact Tram Nguyen or Daniele Marchesani at (202) 551-6792.

Item 3: Security-Based Swap Data Repository Registration, Duties, and Core Principles

The Commission will consider whether to propose new rules under Section 763(i) of the Dodd-Frank Wall Street Reform and Consumer Protection Act governing the security-based swap data repository registration process, the duties of such repositories, and the core principles applicable to such repositories.

For further information, please contact Jo Anne Swindler at (202) 551-5777.

Item 4: Reporting and Dissemination of Security-Based Swap Information

The Commission will consider whether to propose Regulation SBSR under Title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act to provide for the reporting of security-based swap information to registered security-based swap data repositories or the Commission and the public dissemination of security-based swap transaction, volume, and pricing information.

For further information, please contact Michael Gaw at (202) 551-5602.