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, July 13, 2016

### SUMMARY AGENDA

| **Item 1:** | **Amendments to the Commission's Rules of Practice**                                                                                 |
|-------------|--------------------------------------------------------------------------------------------------------------------------------------|
| Office:     | Office of the General Counsel                                                                                                        |
| Staff:      | Anne Small, Sanket Bulsara, Laura Jarsulic, Josephine Morse, William Shirey, Brian Ochs, Daniel Staroselsky, Adela Choi, Sarit Klein |

The Commission will vote on amendments to its Rules of Practice regarding administrative proceedings.

For further information, please contact Sarit Klein at 202-551-5037.

### DISCUSSION AGENDA

| **Item 1:** | **Regulation SBSR — Reporting and Dissemination of Security-Based Swap Information; Consideration of Amendments to Regulation SBSR**    |
|-------------|-----------------------------------------------------------------------------------------------------------------------------------------------|
| Office:     | Division of Trading and Markets                                                                                                               |
| Staff:      | Stephen Luparello, Gary Goldsholle, John Roeser, Michael Gaw, Sarah Albertson, Yvonne Fraticelli, Kathleen Gross, David Michehl, Geoff Pemble |

The Commission will consider whether to adopt amendments and guidance relating to Regulation SBSR, which governs regulatory reporting and public dissemination of security-based swap transactions, and consider whether to establish a compliance schedule for the portions of Regulation SBSR for which the Commission has not previously established compliance dates.

For further information, please contact John Roeser at (202) 551-5630.
| **Item 2:** | **Disclosure of Order Handling Information; Consideration of Amendments to Regulation NMS under the Securities Exchange Act of 1934**  |
|-------------|----------------------------------------------------------------------------------------------------------------------------------------|
| Office:     | Division of Trading and Markets                                                                                                        |
| Staff:      | Stephen Luparello, Gary Goldsholle, David Shillman, Theodore Venuti, Arisa Kettig, Steve Kuan, Amir Katz, Chris Grobbel, Andrew Sioson |

The Commission will consider whether to propose amendments to Rules 600 and 606 of Regulation NMS to require new disclosures by broker-dealers to institutional customers about the routing and execution of their orders, and consider whether to propose targeted enhancements to current order routing disclosures for retail customers.  The proposed rules would also require changes to Rules 605 and 607 of Regulation NMS and certain other rules under the Exchange Act.

For further information, please contact David Shillman at (202) 551-5668.
| **Item 3:** | **Disclosure Update and Simplification** |
|-------------|------------------------------------------|
| Office:     | Division of Corporation Finance          |
| Staff:      | Nili Shah                                |

The Commission will consider whether to propose amendments to certain redundant, duplicative, overlapping, outdated, or superseded disclosure requirements.

For further information, please contact Nili Shah at 202-551-3255.

            - 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: July 12, 2016

            - 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