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View EO 12866 Meetings Printer-Friendly Version     Download RIN Data in XML

SEC RIN: 3235-AK56 Publication ID: Spring 2013 
Title: Broker-Dealer Reports 
Abstract: The Commission proposed amendments to Rule 17a-5 dealing with, among other things, broker-dealer custody of assets. 
Agency: Securities and Exchange Commission(SEC)  Priority: Substantive, Nonsignificant 
RIN Status: Previously published in the Unified Agenda Agenda Stage of Rulemaking: Final Rule Stage 
Major: Undetermined  Unfunded Mandates: No 
CFR Citation: 17 CFR 240.17a-5 
Legal Authority: 15 USC 78q 
Legal Deadline:  None
Timetable:
Action Date FR Cite
NPRM  06/27/2011  76 FR 37572 
NPRM Comment Period End  08/26/2011   
Final Action  07/00/2013   
Regulatory Flexibility Analysis Required: Yes  Government Levels Affected: Undetermined 
Small Entities Affected: Businesses  Federalism: Undetermined 
Included in the Regulatory Plan: No 
RIN Information URL: www.sec.gov/rules/proposed/2011/34-64676.pdf  
RIN Data Printed in the FR: Yes 
Agency Contact:
Kimberly Chehardy
Division of Trading and Markets
Securities and Exchange Commission
10 F Street NE,
Washington, DC 20549
Phone:202 551-5791
Email: chehardyk@sec.gov

 
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