Company Filings

Skip to Main Content
              -  About                  - Careers
                - Commissioners
                - Contact
                - Reports and Publications
                - Securities Laws
                - Mission 
              -  Divisions & Offices                  - Corporation Finance
                - Enforcement
                - Investment Management
                - Economic and Risk Analysis
                - Trading and Markets
                - Examinations
                - Office of Administrative Law Judges
                - Regional Offices
                - All Divisions and Offices 
              -  Enforcement                  - Litigation Releases
                - Administrative Proceedings
                - Opinions and Adjudicatory Orders
                - Accounting and Auditing
                - Trading Suspensions
                - How Investigations Work
                - Receiverships
                - Information for Harmed Investors 
              -  Regulation                  - Rulemaking Index
                - Proposed Rules
                - Final Rules
                - Interim Final Rules
                - Other Orders and Notices
                - Self-Regulatory Organizations
                - Staff Interpretations 
              -  Education                  - Investor.gov
                - Five Questions to Ask Before You Invest
                - About Investment Professionals
                - Check Your Investment Professional
                - Investing Tools and Calculators
                - Investment Products
                - Understanding Fees
                - Investor Alerts and Bulletins
                - Glossary 
              -  Filings                  - EDGAR Search & Access
                - Company Filing Search
                - How to Search EDGAR
                - Requesting Public Documents
                - Forms List
                - Information for Filers
                - About EDGAR 
              -  News                  - Press Releases
                - Speeches and Statements
                - Spotlight Topics
                - Upcoming Events
                - Webcasts
                - SEC in the News
                - SEC Videos
                - Media Gallery 

# 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:** | **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 3:** | **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 4:** | **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 5:** | **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.

            - Newsroom                - Press Releases
              - Public Statements
              - Speeches
              - Testimony
              - Spotlight Topics
              - Media Gallery
              - Upcoming Events
              - Webcasts
              - What's New
              - SEC Videos
              - Reports and Publications
              - RSS Feeds
              - Social Media 

Modified: December 18, 2018

            - Accessibility
            - Budget & Performance
            - Careers
            - Contact
            - Contracts
            - Data
            - FOIA
            - Inspector General
            - Investor.gov
            - No FEAR Act & EEO Data
            - Ombuds
            - Plain Writing
            - Privacy & Security
            - Related Sites
            - Site Map
            - USA.gov
            - Votes
            - Whistleblower Protection