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| View EO 12866 Meetings | Printer-Friendly Version Download RIN Data in XML |
| SEC | RIN: 3235-AL85 | Publication ID: Fall 2016 |
| Title: Electronic Filing of Broker-Dealer Reports | |
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Abstract:
The Division is considering recommending that the Commission propose rule amendments that would require the electronic filing with the Commission of broker-dealer annual reports, financial information sent to customers, and risk-assessment reports. Most of these reports are currently filed with the Commission in paper form. |
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| Agency: Securities and Exchange Commission(SEC) | Priority: Substantive, Nonsignificant |
| RIN Status: Previously published in the Unified Agenda | Agenda Stage of Rulemaking: Proposed Rule Stage |
| Major: Undetermined | Unfunded Mandates: No |
| CFR Citation: Not Yet Determined (To search for a specific CFR, visit the Code of Federal Regulations.) | |
| Legal Authority: Not Yet Determined | |
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Legal Deadline:
None |
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Timetable:
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| Regulatory Flexibility Analysis Required: Undetermined | Government Levels Affected: Undetermined |
| Federalism: Undetermined | |
| Included in the Regulatory Plan: No | |
| RIN Data Printed in the FR: No | |
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Agency Contact: Timothy Fox Division of Trading and Markets Securities and Exchange Commission 100 F Street NE, Washington, DC 20549 Phone:202 551-5687 Email: foxt@sec.gov |
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