SEC Issues Agendas for October 28 and November 3 Meetings of the Asset Management Advisory Committee

Washington D.C., Oct. 26, 2021 —

The Securities and Exchange Commission today released the agendas for the Oct. 28 and Nov. 3 meetings of the Asset Management Advisory Committee (AMAC).

The two meetings will include a discussion of matters in the asset management industry relating to the Evolution of Advice and the Small Advisers and Small Funds Subcommittees, including panel discussions and potential recommendations.

The meetings will be held remotely via webcast, are open to the public, and will be available live at www.sec.gov and archived on the website. Members of the public who wish to provide their views on the matters to be considered by AMAC may submit comments either electronically or on paper, as described below. Please submit comments using one method only.  At this time, electronic submissions are preferred. Information that is submitted will become part of the public record of the meetings. All submissions should refer to File Number 265-33, and the file number should be included on the subject line if e-mail is used.

Electronic submissions:

Paper submissions:

Send paper submissions to Secretary, Securities and Exchange Commission, 100 F Street NE, Washington, D.C. 20549-1090.

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Asset Management Advisory Committee – Agenda for Oct. 28, 2021, Meeting

10:00 a.m.

Welcome and Opening Remarks

Commissioner Crenshaw; Sarah ten Siethoff, Acting Director of the Division of Investment Management; and Ed Bernard, Committee Chairman

10:30 a.m.

Update from Evolution of Advice Subcommittee and Panel Discussion

AMAC Panel Moderator: Jeffrey Ptak, Morningstar Research Services

12:00 p.m.

Break

12:30 p.m.

Update from the Small Advisers and Small Funds Subcommittee

1:30 p.m.

Summary and Discussion

2:00 p.m.

Adjournment

Asset Management Advisory Committee – Agenda for Nov. 3, 2021, Meeting

10:00 a.m.

Welcome and Opening Remarks

Chair Gensler; Commissioners Peirce, Roisman, Lee, and Crenshaw; Sarah ten Siethoff, Acting Director of the Division of Investment Management; and Ed Bernard, Committee Chairman

10:30 a.m.

Recommendations of the Evolution of Advice Subcommittee

11:00 a.m.

Recommendations of the Small Advisers and Small Funds Subcommittee

11:30 a.m.

Summary and Discussion

12:15 p.m.

Adjournment

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