U.S. Securities & Exchange Commission
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U.S. Securities and Exchange Commission

SEC Open Meeting Agenda
Thursday, September 19, 2002, 3:30 p.m.

Agenda as of the afternoon of September 18, 2002. Note that Open Meeting agendas are subject to last-minute changes.

Item 1: Disclosure of Proxy Voting Policies and Proxy Voting Records by Registered Management Investment Companies
 
Office:  Division of Investment Management
Staff:  Susan Nash, Paul G. Cellupica, Christian L. Broadbent, Nicholas C. Milano
 
Proxy Voting by Investment Advisers
 
Staff:  Robert E. Plaze, Jamey L. Basham, Daniel S. Kahl
 

Item 1: Disclosure of Proxy Voting Policies and Proxy Voting Records by Registered Management Investment Companies

The Commission will consider whether to propose amendments to Forms N-1A, N-2, and N-3, and proposed Form N-CSR, that would require mutual funds and other registered management investment companies to disclose the policies and procedures that they use to determine how to vote proxies relating to portfolio securities. The proposed amendments would also require registered management investment companies to file with the Commission, and make available to shareholders, their proxy voting records.

For further information, please contact Christian L. Broadbent at (202) 942-7972 or Nicholas C. Milano at (202) 942-0548.

Proxy Voting by Investment Advisers

The Commission will also consider whether to propose new rule 206(4)-6 under the Investment Advisers Act of 1940 that would require registered investment advisers to adopt proxy voting policies and procedures, and to disclose to clients those policies and procedures and how clients can obtain information about how the adviser has voted their proxies. In addition, the Commission will consider an amendment to rule 204-2 under the Investment Advisers Act of 1940 that would require advisers to keep records of how they vote client proxies.

For further information, please contact Jamey L. Basham at (202) 942-7971 or Daniel S. Kahl at (202) 942-0665.

 

http://www.sec.gov/news/openmeetings/agenda091902.htm
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Modified: 09/18/2002