The SEC has announced the following open meetings and public roundtable discussions:  

  • On June 15, 2011 the SEC will consider whether to propose amendments to Rule 17a-5, the broker-dealer reporting rule, under the Securities Exchange Act of 1934.
  • On June 22, 2011 the SEC will consider: (1) whether to adopt new rules and rule amendments under the Investment Advisers Act of 1940 to implement provisions of the Dodd-Frank Act requiring the increase in the statutory threshold for registration of investment advisers with the SEC, requiring advisers to hedge funds and other private funds to register with the SEC, and addressing reporting by certain investment advisers that are exempt from registration; (2) whether to adopt rules that would implement new exemptions from the registration requirements of the Investment Advisers Act of 1940 for advisers to venture capital funds and advisers with less than $150 million in private fund assets under management in the United States; and (3) whether to adopt a rule defining "family offices" that will be excluded from the definition of an investment adviser under the Investment Advisers Act of 1940.
  • On June 16, 2011 the SEC and CFTC will host a public roundtable discussion concerning the definitions of "swap dealer", "security-based swap dealer", "major swap participant", and "major security-based swap participants."