Securities Law Prof Blog

Editor: Eric C. Chaffee
Univ. of Toledo College of Law

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Thursday, November 18, 2010

SEC Takes Up Investment Advisers, Security-Based Swaps at Nov. 19 Meeting

SEC Open Meeting Agenda for November 19, 2010
Item 1: Rules Implementing Amendments to the Investment Advisers Act of 1940
Item 2: Exemptions for Advisers to Venture Capital Funds, Private Fund Advisers With Less Than $150 Million in Assets Under Management, and Foreign Private Advisers

Item 3: Security-Based Swap Data Repository Registration, Duties, and Core Principles
Item 4: Regulation SBSR — Reporting and Dissemination of Security-Based Swap Information

http://lawprofessors.typepad.com/securities/2010/11/sec-takes-up-investment-advisers-security-based-swaps-at-nov-19-meeting.html

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