ITEM 1: Enhanced Reporting of Proxy Votes by Registered Management Investment Companies; Reporting of Executive Compensation Votes by Institutional Investment Managers

OFFICE: Division of Investment Management

STAFF: William A. Birdthistle, Sarah ten Siethoff, Brian M. Johnson, Bradley Gude, Christian Corkery, David Driscoll, and Nathan Schuur

The Commission will consider whether to adopt form amendments to enhance the information registered management investment companies report about their proxy votes. The Commission will also consider whether to adopt a new rule and form amendments to require institutional investment managers subject to section 13(f) of the Securities Exchange Act of 1934 to report proxy votes relating to certain executive compensation matters, as required by section 14A of the Exchange Act.

For further information, please contact Bradley Gude, Division of Investment Management, at (202) 551-5590.

ITEM 2: Open-End Fund Liquidity Risk Management Programs and Swing Pricing; Form N-PORT

OFFICE: Division of Investment Management

STAFF: William A. Birdthistle, Sarah ten Siethoff, Brian M. Johnson, Angela Mokodean, Mykaila DeLesDernier, Rachel Kuo, and Nathan Schuur

The Commission will consider whether to propose amendments to rules and forms for open-end management investment companies related to liquidity risk management programs, swing pricing, and other pricing requirements. The amendments the Commission will consider also include reporting and disclosure requirements for certain registered investment companies, including open-end funds (other than money market funds), registered closed-end funds, and unit investment trusts.

For further information, please contact Brian M. Johnson or Angela Mokodean, Division of Investment Management, at (202) 551-6792.