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Open Meeting Agenda
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Item 1: |
Prohibitions and Restrictions on Proprietary Trading and Certain Interests In, and Relationships With, Hedge Funds and Private Equity Funds |
Office: |
Division of Trading and Markets and Division of Investment Management |
Staff: |
David Blass, Josephine Tao, Caite McGuire, Gregg Berman, Elizabeth Sandoe, David Bloom, Angela Moudy, Daniel Staroselsky, Robert E. Plaze, Daniel S. Kahl, Tram N. Nguyen, Michael J. Spratt, Parisa Haghshenas |
The Commission will consider whether to propose a new rule under Section 619 of the Dodd-Frank Wall Street Reform and Consumer Protection Act, Pub. L. No. 111-203, that would generally prohibit any banking entity from engaging in proprietary trading or from acquiring or retaining an ownership interest in, sponsoring, or having certain relationships with a hedge fund or private equity fund subject to certain exemptions.
For further information, please contact Josephine Tao, Elizabeth Sandoe, David Bloom, Angela Moudy or Daniel Staroselsky, Division of Trading and Markets, at (202) 551-5720, or Tram Nguyen or Michael Spratt, Division of Investment Management, at (202) 551-6787.
Item 2: |
Registration of Security-Based Swap Dealers and Major Security-Based Swap Participants |
Office: |
Division of Trading and Markets |
Staff: |
David Blass, Joseph Furey, Bonnie Gauch |
The Commission will consider whether to propose new rules under Section 764(a) of the Dodd-Frank Wall Street Reform and Consumer Protection Act to provide for the registration of security-based swap dealers and major security-based swap participants.
For further information, please contact Joseph Furey, or Bonnie Gauch, Division of Trading and Markets, at (202) 551-5550.
http://www.sec.gov/news/openmeetings/2011/agenda101211.htm
| Home | Previous Page | Modified: 10/11/2011 |