SEC staff will hold an open meeting via webcast on sec.gov on Wednesday, August 23, 2023, at 10:00 a.m. EDT. The meeting will focus on private fund and investment advisor compliance, is free, and open for the public to attend. {expires: 2023-08-24}
During the meeting, the Division of Investment Management will discuss Private Fund Advisers as well as Documentation of Registered Investment Adviser Compliance Reviews, particularly:
- whether to adopt rules and amendments under the Investment Advisers Act of 1940 (Advisers Act) for private fund advisers
- whether to adopt amendments to the compliance rule under the Advisers Act
The Division of Trading and Markets will consider matters related to Exemption for Certain Exchange Members, including:
- whether to adopt rule amendments to narrow an exemption from the requirement under the Securities Exchange Act of 1934 that any SEC-registered broker-dealer become a member of a national securities association if it affects securities transactions elsewhere than an exchange where it is a member
For further information, contact the Office of the Secretary at (202) 551-5400.
Sources:
Open Meeting (sec.gov)
Agenda (sec.gov)
