federal_register: 2018-20880

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2018-20880 Amendment to Single Issuer Exemption for Broker-Dealers Proposed Rule The 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. 2018-09-27 2018 9 https://www.federalregister.gov/documents/2018/09/27/2018-20880/amendment-to-single-issuer-exemption-for-broker-dealers https://www.govinfo.gov/content/pkg/FR-2018-09-27/pdf/2018-20880.pdf Securities and Exchange Commission 466 The 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...  

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