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)