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The Commission will consider whether to propose amendments to certain redundant, duplicative, overlapping, outdated, or superseded disclosure requirements.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