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October 15, 2014
TO: SEC RULES COMMITTEE No. 38-14 RE: PRELIMINARY AGENDA FOR SEC RULES COMMITTEE MEETING ON OCTOBER 30, 2014
As you know, the next meeting of the SEC Rules Committee will take place on Thursday, October 30th. This is an in-person meeting to be held at the offices of the Investment Company Institute, 1401 H St., N.W., 12th Floor, Washington, D.C., in the David Silver Conference Room. Please note that ICI has instituted office security measures that restrict elevator access to the 12th floor. An ICI staff person will meet you in the lobby to provide you access to the meeting.
Preliminary Agenda
As with past October meetings, we are planning a full-day program beginning at 9:00 a.m. and ending by 3:30 p.m. A preliminary agenda for the meeting is attached.
We are pleased that Drew Bowden, Director of the SEC’s Office of Compliance Inspections and Examinations, and Diane Blizzard, Associate Director for the Rulemaking Office in the SEC’s Division of Investment Management, are our featured guest speakers for the meeting.
Meeting Registration
If you have not done so, please register by October 23, 2014 for the meeting at www.ici.org/reg/sec. In completing the online registration, please provide any suggested additional topics for discussion at the meeting. If you have questions about meeting logistics, please contact Helenia Walker at (202) 326-5823 or helenia.walker@ici.org.
Committee Dinner
A cocktail reception and dinner will be held the evening of Wednesday, October 29th at Woodward Table, 1426 H Street NW, Washington D.C. The reception will begin at 6:30 p.m., followed by dinner at 7:15 p.m.
Based on registrations to date, we have reached capacity for the dinner. If your plans to attend have changed, please let us know as soon as possible.
Robert C. Grohowski
Senior Counsel
Securities Regulation - Investment Companies