Revised Open Meeting Agenda

Wednesday, December 18, 2019

The Commission will consider whether to adopt rules under Section 15F(i)(2) of the Securities Exchange Act of 1934 that would require security-based swap dealers and major security-based swap participants to comply with certain risk mitigation techniques with respect to portfolios of uncleared security-based swaps.

For further information, please contact Mark Wolfe, Carol McGee or Andrew Bernstein in the Division of Trading and Markets at 202-551-5870.

The Commission will consider whether to adopt a number of actions to address the cross-border application of certain security-based swap requirements under the Securities Exchange Act of 1934 that were added by Title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act.

For further information, please contact Carol McGee in the Office of Derivatives Policy for the Division of Trading and Markets at 202-551-5870 or Emily Westerberg Russell, Chief Counsel in the Division of Trading and Markets, at 202-551-5550.

The Commission will consider whether to adopt an order designating certain jurisdictions as “listed jurisdictions” for purposes of one of the rule amendments noted in Item 2 above.

For further information, please contact Carol McGee in the Office of Derivatives Policy for the Division of Trading and Markets at 202-551-5870.

The Commission will consider whether to propose Rule 13q-1 and an amendment to Form SD under the Securities Exchange Act of 1934 to implement Section 1504 of the Dodd-Frank Wall Street Reform and Consumer Protection Act relating to disclosure of payments by resource extraction issuers.

For further information, please contact Barry Summer or Elliot Staffin in the Division of Corporation Finance at 202-551-3430.

The Commission will consider whether to propose rule amendments to the definition of “accredited investor” in the Commission’s rules that are intended to update and improve the definition in order to identify more effectively institutional and individual investors that have the knowledge and expertise to participate in our private capital markets and therefore do not need the additional protections of registration under the Securities Act of 1933. The Commission will also consider whether to propose rule amendments to the qualified institutional buyer definition in Rule 144A under the Securities Act that would expand the list of eligible entities under the definition.

For further information, please contact Charles Kwon or Charles Guidry in the Division of Corporation Finance at 202-551-3460.

The Commission will consider whether to approve the 2020 budget of the Public Company Accounting Oversight Board and the related annual accounting support fee for the Board under Section 109 of the Sarbanes-Oxley Act of 2002.

For further information, please contact Marc Panucci, Office of the Chief Accountant, at (202) 551-5300.