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Univ. of Toledo College of Law

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Tuesday, January 12, 2010

SEC Open Meeting Agenda Jan. 13, 2010

SEC Open Meeting Agenda, Wednesday, January 13, 2010

Item 1: Risk Management Controls for Brokers or Dealers with Market Access
Office:  Division of Trading and Markets
Staff:  James A. Brigagliano, David S. Shillman, John C. Roeser, Marc F. McKayle, Theodore S. Venuti, Daniel T. Gien

The Commission will consider whether to propose a new rule regarding risk management controls and supervisory procedures to manage financial, regulatory and other risks for brokers or dealers that provide market access.


Item 2: Concept Release on Equity Market Structure
Office:  Division of Trading and Markets
Staff:  James A. Brigagliano, David S. Shillman, Daniel M. Gray, Arisa Tinaves, Gary M. Rubin

The Commission will consider whether to publish a concept release on equity market structure. The concept release would invite public comment on a wide range of issues, including the performance of equity market structure in recent years, high frequency trading, and undisplayed, or "dark," liquidity.

http://lawprofessors.typepad.com/securities/2010/01/sec-open-meeting-agenda-jan-13-2010.html

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