U.S. Securities & Exchange Commission
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U.S. Securities and Exchange Commission

OPEN MEETING AGENDA
Wednesday, June 22, 2011

Item 1:

RULES IMPLEMENTING AMENDMENTS TO THE INVESTMENT ADVISERS ACT OF 1940

Office:

Division of Investment Management

Staff:

Robert E. Plaze, Daniel S. Kahl, Matthew N. Goldin, Melissa A. Roverts, Devin F. Sullivan, Jennifer R. Porter, Michael J. Spratt, David P. Bartels

The Commission will consider whether to adopt 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 of 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 Melissa Roverts, Division of Investment Management, at (202) 551-6787.

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

Office:

Division of Investment Management

Staff:

Robert E. Plaze, David A. Vaughan, Penelope W. Saltzman, Tram N. Nguyen, Brian McLaughlin Johnson

The Commission will consider whether to adopt 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 new rules also would clarify the meaning of certain terms included in a new exemption for foreign private advisers.

For further information, please contact Brian McLaughlin Johnson, Division of Investment Management, at (202) 551-6787.

Item 3:

FAMILY OFFICES

Office:

Division of Investment Management

Staff:

Robert E. Plaze, Sarah G. ten Siethoff, Vivien Liu

The Commission will consider whether to adopt a rule defining "family offices" that will be excluded from the definition of an investment adviser under the Investment Advisers Act of 1940.

For further information, please contact Vivien Liu, Division of Investment Management, at (202) 551-6787.

 

http://www.sec.gov/news/openmeetings/2011/agenda062211.htm


Modified: 06/22/2011