Open Meeting Agenda
Wednesday, December 19, 2018
| Item 1: | Public Company Accounting Oversight Board
2019 Budget and Accounting Support Fee |
| Office: | Office of the Chief Accountant Office of Financial Management |
| Staff: | Wesley R. Bricker, Marc A. Panucci, Jeffrey J. Minton, Giles T. Cohen, Mark J. Jacoby, Godfrey K. Murangi, Matthew G. Hodder, Caryn Kauffman, Richard M. Taylor, Nicole Puccio, Crystal Willis |
The Commission will consider whether to approve the 2019 budget of the Public Company Accounting Oversight Board and the related annual accounting support fee for the Board under Section 109 of the Sarbanes-Oxley Act of 2002.
For further information, please contact Godfrey Murangi, Office of the Chief Accountant, at (202) 551-6147.
| Item 2: | Request for Comment on Earnings Releases and Quarterly Reports |
| Office: | Division of Corporation Finance |
| Staff: | Elizabeth Murphy, Courtney Lindsay |
The Commission will consider whether to issue a Request for Comment on the nature and content of quarterly reports and earnings releases issued by reporting companies.
For further information, please contact Elizabeth Murphy or Courtney Lindsay in the Division of Corporation Finance at 202-551-3430.
| Item 3: | Applications by Security-Based Swap Dealers or Major Security-Based Swap Participants for Statutorily Disqualified Associated Persons to Effect or be Involved in Effecting Security-Based Swaps (“Rule of Practice 194”) |
| Office: | Division of Trading and Markets |
| Staff: | Natasha Vij Greiner, Devin Ryan and Edward Schellhorn |
The Commission will consider whether to adopt Rule of Practice 194 pursuant to Section 15F(b)(6) of the Securities Exchange Act of 1934.
For further information, please contact Natasha Vij Greiner, Devin Ryan and Edward Schellhorn in the Division of Trading and Markets at 202-551-5550.
| Item 4: | Risk Mitigation Techniques for Uncleared Security-Based Swaps |
| Office: | Division of Trading and Markets |
| Staff: | Mark Wolfe, Carol McGee and Andrew Bernstein |
The Commission will consider whether to propose rules under Section 15F(i)(2) of the Securities Exchange Act of 1934 that would require security-based swap dealers and major security-based swap participants to comply with certain risk mitigation techniques with respect to portfolios of security-based swaps not submitted for clearing to a central counterparty.
For further information, please contact Mark Wolfe, Carol McGee or Andrew Bernstein in the Division of Trading and Markets at 202-551-5870.
| Item 5: | Disclosure of Hedging by Employees or Directors |
| Office: | Division of Corporation Finance |
| Staff: | David Fredrickson, Tamara Brightwell, Anne Krauskopf, Carolyn Sherman |
The Commission will consider whether to adopt rules to implement Section 955 of the Dodd-Frank Wall Street Reform and Consumer Protection Act by requiring disclosure about the ability of a company’s employees or directors to hedge or offset any decrease in the market value of equity securities granted as compensation to, or held directly or indirectly by, an employee or director.
For further information, please contact Anne Krauskopf or Carolyn Sherman in the Division of Corporation Finance at 202-551-3500.
| Item 6: | Rule and Amendments to Allow Fund of Funds Arrangements |
| Office: | Division of Investment Management |
| Staff: | Dalia Blass, Sarah ten Siethoff, Brian McLaughlin Johnson, Melissa Gainor, Jay Krawitz, John Foley, Joel Cavanaugh |
The Commission will consider whether to propose a new rule and rule amendments to allow funds to acquire shares of other funds (i.e., "fund of funds" arrangements), including arrangements involving exchange-traded funds, without first obtaining exemptive orders from the Commission.
For further information, please contact Melissa Gainor or Jay Krawitz in the Division of Investment Management at 202-551-6792.