federal_register: 2019-12563

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document_number title type abstract publication_date pub_year pub_month html_url pdf_url agency_names agency_ids excerpts regulation_id_numbers
2019-12563 Amendment to Single Issuer Exemption for Broker-Dealers Rule The Commission is adopting an amendment to an exemptive provision in the broker-dealer annual reporting rule under the Securities Exchange Act of 1934 ("Exchange Act"). The exemption provides that a broker-dealer is not required to engage an independent public accountant to certify the broker-dealer's annual reports filed with the Commission 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. 2019-06-14 2019 6 https://www.federalregister.gov/documents/2019/06/14/2019-12563/amendment-to-single-issuer-exemption-for-broker-dealers https://www.govinfo.gov/content/pkg/FR-2019-06-14/pdf/2019-12563.pdf Securities and Exchange Commission 466 The Commission is adopting an amendment to an exemptive provision in the broker-dealer annual reporting rule under the Securities Exchange Act of 1934 ("Exchange Act"). The exemption provides that a broker-dealer is not required to engage an... 3235-AM47

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