Securities Law Prof Blog

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

Wednesday, December 9, 2009

SEC Open Meeting Dec. 16

The SEC announced an Open Meeting - Wednesday, December 16, 2009 - 10:00 a.m.  The subject matter of the Open Meeting will be:

Item 1: The Commission will consider whether to adopt amendments to rules and forms under the Securities Act of 1933, the Securities Exchange Act of 1934 and the Investment Company Act of 1940 to enhance the disclosures that registrants are required to make about compensation and other corporate governance matters.

Item 2: The Commission will consider whether to adopt amendments to the investment adviser custody rule (rule 206(4)-2) under the Investment Advisers Act of 1940) and related forms and rules. The amendments would enhance the protections provided advisory clients when they entrust their funds and securities to an investment adviser.

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Great article and comments. Hope you keep on keeping on. It was a joy to read.

Posted by: Manny Negron | Mar 23, 2010 10:51:43 PM

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