Breadcrumb

Open Meeting Agenda - Wednesday, July 26, 2023

July 19, 2023

ITEM 1: Cybersecurity Risk Management, Strategy, Governance, and Incident Disclosure

OFFICE: Division of Corporation Finance

STAFF: Erik Gerding, Mellissa Duru, Elizabeth Murphy, Luna Bloom, Nabeel Cheema

The Commission will consider whether to adopt rules to enhance and standardize disclosures regarding cybersecurity risk management, strategy, governance, and incidents by public companies that are subject to the reporting requirements of the Securities Exchange Act of 1934.

For further information, please contact Nabeel Cheema in the Division of Corporation Finance at (202) 551-3430.

ITEM 2: Conflicts of Interest Associated with the Use of Predictive Data Analytics by Broker-Dealers and Investment Advisers

OFFICE: Division of Investment Management; Division of Trading and Markets

STAFF: William A. Birdthistle, Sarah ten Siethoff, Melissa Roverts Harke, Sirimal R. Mukerjee, Blair Burnett, and Michael Schrader of the Division of Investment Management, and Haoxiang Zhu, Andrea Orr, David Saltiel, Emily Westerberg Russell, John Fahey, Devin Ryan, Anand Das, Kelly Shoop, Kyra Grundeman, and James Wintering of the Division of Trading and Markets.

The Commission will consider whether to propose new and amended rules under the Securities Exchange Act of 1934 and the Investment Advisers Act of 1940 relating to conflicts of interest associated with broker-dealers’ and investment advisers’ use of predictive data analytics in connection with certain investor interactions.

For further information, please contact Melissa Roverts Harke or Sirimal R. Mukerjee, Division of Investment Management, at (202) 551-6787 or Devin Ryan or Anand Das, Division of Trading and Markets, at (202)-551-5550.

ITEM 3: Exemption for Certain Investment Advisers Operating Through the Internet  

OFFICE: Division of Investment Management

STAFF: William A. Birdthistle, Sarah ten Siethoff, Melissa Roverts Harke, Sirimal R. Mukerjee, Blair Burnett, and Michael Schrader of the Division of Investment Management.

The Commission will consider whether to propose amendments to the exemption for internet advisers from the prohibition against registration under the Investment Advisers Act of 1940.

For further information, please contact Melissa Roverts Harke or Sirimal R. Mukerjee, Division of Investment Management, at (202) 551-6787.

Last Reviewed or Updated: July 19, 2023