SEC Open Meeting Agenda
Wednesday, February 6, 2003, 10:00 a.m.

Agenda as of the afternoon of February 5, 2003. Note that Open Meeting agendas are subject to last-minute changes.

Item 1:	Definition of Terms in and Specific Exemptions for Banks, Savings Associations, and Savings Banks Under Sections 3(a)(4) and 3(a)(5) of the Securities Exchange Act of 1934 Office:  Division of Market Regulation Staff:  Robert L.D. Colby, Catherine McGuire, Lourdes Gonzalez, Linda Sundberg
Item 2:	Regulation Analyst Certification Office:  Division of Market Regulation Staff:  Robert L.D. Colby, Larry E. Bergmann, James A. Brigagliano, Thomas D. Eidt, Racquel L. Russell

Item 1: Definition of Terms in and Specific Exemptions for Banks, Savings Associations, and Savings Banks Under Sections 3(a)(4) and 3(a)(5) of the Securities Exchange Act of 1934

The Commission will consider whether to adopt amendments to the definition of terms used in the exception from the definition of dealer for banks under Section 3(a)(5) of the Securities Exchange Act of 1934. The Commission will consider whether to adopt amendments to the related exemptions for banks, savings associations, and savings banks as well as adopt a new exemption concerning securities lending. These proposals primarily relate to the implementation the specific exceptions for banks from the definition of "dealer" that were amended by the Gramm-Leach-Bliley Act.

For further information, please contact Linda Sundberg at (202) 942-0187.

Item 2: Regulation Analyst Certification

The Commission will consider whether to adopt Regulation Analyst Certification, a new rule that would require analysts to provide certifications regarding the views they express in research reports and public appearances and to provide disclosures regarding any compensation they may have received related to those views and recommendations.

For further information, please contact James A. Brigagliano, Thomas D. Eidt, or Racquel L. Russell at (202) 942-0772.