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

SEC Open Meeting Agenda
Tuesday, November 26, 2002, 10:00 a.m.

Agenda as of the afternoon of November 25, 2002. Note that Open Meeting agendas are subject to last-minute changes.

Item 1: Purchases of Certain Equity Securities by the Issuer and Others
Office:  Division of Market Regulation
Staff:  Larry Bergmann, James Brigagliano, Joan Collopy, Elizabeth Sandoe
 
Item 2: Status Under the Investment Company Act of 1940 of Certain Research and Development Companies
Office:  Division of Investment Management
Staff:  David B. Smith, Nadya B. Roytblat, Janet M. Grossnickle, Karen L. Goldstein
 


Item 1: Purchases of Certain Equity Securities by the Issuer and Others

The Commission will consider whether to issue a release proposing amendments to Rule 10b-18 (the safe harbor for issuer repurchases), and amendments to Regulations S-K and S-B under the Securities Exchange Act of 1934, Exchange Act Forms 10-Q, 10-QSB, 10-K, 10-KSB, and 20-F, and proposed Form N-CSR under the Exchange Act and the Investment Company Act of 1940, regarding disclosure of issuer repurchases.

For further information, please contact James Brigagliano, Joan Collopy, or Elizabeth Sandoe at (202) 942-0772.

Item 2: Status Under the Investment Company Act of 1940 of Certain Research and Development Companies

The Commission will consider whether to propose new rule 3a-8 under the Investment Company Act of 1940 that would provide a nonexclusive safe harbor from the definition of investment company for certain bona fide research and development companies.

For further information, please contact Karen L. Goldstein at (202) 942-0646.

 

http://www.sec.gov/news/openmeetings/agenda112602.htm

Modified: 11/25/2002