Open Meeting Agenda
Tuesday, June 5, 2018
| Item 1: | Optional Internet Availability of Investment Company Shareholder Reports |
| Office: | Division of Investment Management |
| Staff: | Dalia Blass, Michael C. Pawluk, J. Matthew DeLesDernier, John Lee |
The Commission will consider whether to adopt a new rule as well as amendments to rules and forms to provide certain registered investment companies ("funds") with an optional method to transmit shareholder reports.
For further information, please contact Michael C. Pawluk in the Division of Investment Management at 202 551-6792.
| Item 2: | Request for Comments on the Processing Fees Charged by Intermediaries for Distributing Materials Other than Proxy Materials to Fund Investors |
| Office: | Division of Investment Management |
| Staff: | Dalia Blass, Michael C. Pawluk, J. Matthew DeLesDernier, John Lee |
The Commission will consider whether to issue a release requesting comment about processing fees for delivering shareholder reports and other materials to fund investors.
For further information, please contact Michael C. Pawluk in the Division of Investment Management at 202 551-6792.
| Item 3: | Fund Retail Investor Experience and Disclosure Request for Comment |
| Office: | Division of Investment Management |
| Staff: | Dalia Blass, Barry Miller, Michael Spratt, Michael Kosoff, Jennifer McHugh, Angela Mokodean |
The Commission will consider whether to issue a release requesting comment from individual investors and other interested parties on how to enhance the delivery, design, and content of fund disclosures, including shareholder reports and prospectuses.
For further information, please contact Michael Kosoff in the Division of Investment Management at 202 551 6921.
| Item 4: | Prohibitions and Restrictions on Proprietary Trading and Certain Interests in, and Relationships with, Hedge Funds and Private Equity Funds |
| Office: | Divisions of Trading and Markets and Investment Management |
| Staff: | Brett Redfearn, Heather Seidel, Carol McGee, Andrew Bernstein, Sophia Colas, Sam Litz – Trading and Markets Dalia Blass, Paul Cellupica, Brian McLaughlin Johnson, Sara Cortes, Aaron Gilbride, Matthew Cook, Nicholas Cordell – Investment Management |
The Commission will consider whether to propose amendments to rules adopted under section 13 of the Bank Holding Company Act related to prohibitions and restrictions on proprietary trading and certain interests in, and relationships with, hedge funds and private equity funds (commonly known as the "Volcker rule").
For further information, please contact Andrew Bernstein in the Division of Trading and Markets at 202-551-5777 or Brian McLaughlin Johnson in the Division of Investment Management at 202 551-6792.