Draft Agenda for January 28th SEC Rules Committee Meeting

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January 13, 2015

TO: SEC RULES COMMITTEE No. 1-15 RE: DRAFT AGENDA FOR JANUARY 28TH SEC RULES COMMITTEE MEETING

 

As you know, the next meeting of the SEC Rules Committee has been scheduled for Wednesday, January 28th.  We are pleased to announce that we have two guest speakers from the Securities and Exchange Commission’s Division of Investment Management (IM) for this meeting.  We will be joined by Sarah ten Siethoff, Assistant Director in IM’s Rulemaking Office, who will discuss IM’s liquidity management and stress testing rulemakings. We also will be joined by Sarah Cortes, Senior Special Counsel in IM, who will discuss IM’s enhanced fund reporting rulemaking.

The meeting will take place at the Investment Company Institute, 1401 H Street, N.W., Washington, D.C., in the David Silver Conference Room on the 12th Floor, 12:00 noon – 3:30 pm Eastern time.  Lunch will be available at 11:30 am.  In addition, participation by videoconference will be available from two off-site locations:

Capital Research & Management UBS
333 South Hope Street
Los Angeles, CA UBS Tower
1 North Wacker Drive, 38th Floor
Chicago, IL 60606 11:00 am – 2:30 pm (Central)

Lunch will be served following the meeting in Los Angeles, and during the meeting in Chicago.

Attached is a draft agenda for the meeting.  A .pdf version of materials related to the agenda topics will be sent to those who have registered for the meeting and others upon request.  If you plan to attend the meeting but have not registered yet, please visit our registration site at www.ici.org/reg/sec.  If you are not attending the meeting and would like to receive the materials please contact Helenia Walker at helenia.walker@ici.org.

Security Precautions

An ICI staff member will be stationed in the lobby to escort you to the 12th floor for the meeting. If you do not see an ICI staff member, please have the security guard call 202-326-5800. 

Please allow a few extra minutes to get through our security protocols so that the meeting can start on time.

We look forward to seeing you on January 28th.

 

Robert C. Grohowski
Senior Counsel
Securities Regulation - Investment Companies

John M. Zerr
Chair

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