Loading Events

« All Events

  • This event has passed.

SEC Request for Comments: Amendment to Single Issuer Exemption for Broker-Dealers

October 29, 2018

The SEC (Commission) is proposing an amendment to the exemption provisions in the

broker-dealer annual reporting rule under the Securities Exchange Act of 1934 (“Exchange

Act”). The amendment would provide that a broker-dealer is not required to engage an

independent public accountant to certify the broker-dealer’s annual reports if, among other

things, the securities business of the broker-dealer has been limited to acting as broker (agent) for

a single issuer in soliciting subscriptions for securities of that issuer.

DATES: Comments should be received on or before October 29, 2018.



October 29, 2018
Event Category:
Event Tags:


View Organizer Website
Copyright© 2024 The LeGaye Law Firm P.C.