Securities and Exchange Commission November 13, 2020 – Federal Register Recent Federal Regulation Documents

The Securities and Exchange Commission (``Commission'' or ``SEC'') is soliciting public comment on an application by the Bundesanstalt f[uuml]r Finanzdienstleistungsaufsicht (``BaFin'') requesting that, pursuant to rule 3a71-6 under the Securities Exchange Act of 1934 (``Exchange Act''), the Commission determine that registered security-based swap dealers and registered major security- based swap participants (``SBS Entities'') that are not U.S. persons and that are subject to certain regulation in the Federal Republic of Germany (``Germany'') may comply with certain requirements under the Exchange Act via compliance with corresponding requirements of Germany and the European Union. The Commission also is soliciting comment on a proposed Order providing for the conditional availability of substituted compliance in connection with the application.

Notice is being provided that the Securities and Exchange Commission Asset Management Advisory Committee (``AMAC'') will hold a public meeting on December 1, 2020, by remote means. The meeting will begin at 9:00 a.m. (ET) and will be open to the public via webcast on the Commission's website at www.sec.gov. Persons needing special accommodations to take part because of a disability should notify the contact person listed below. The public is invited to submit written statements to the Committee. The meeting will include a discussion of matters in the asset management industry relating to the Private Investments Subcommittee; the ESG Subcommittee, including potential recommendations from that Subcommittee; and the Diversity & Inclusion Subcommittee, including a panel discussion on improving diversity and inclusion. The meeting will also include a discussion of AMAC's administrative matters during a portion of the meeting that will not be open to the public.