3235-AL97 201804 Unified Agenda of Federal Regulatory and Deregulatory Actions 3235 Securities and Exchange Commission SEC Amendments to Municipal Securities Disclosure

The Commission proposed amendments to Exchange Act Rule 15c2-12 to amend the list of event notices that a broker, dealer, or municipal securities dealer acting as an underwriter in a primary offering of municipal securities, must reasonably determine that an issuer or an obligated person has undertaken, in a written agreement or contract for the benefit of holders of the municipal securities, to provide to the Municipal Securities Rulemaking Board. The amendments would add two event notices relating to certain financial obligations incurred by issuers and obligated persons.

]]> Substantive, Nonsignificant Previously Published in The Unified Agenda Final Rule Stage Undetermined No Independent agency 17 CFR 240.15c2-12 Not Yet Determined No NPRM 03/15/2017 82 FR 13928 NPRM Comment Period End 05/15/2017 Final Action 10/00/2018 Undetermined Undetermined Undetermined No No Rebecca Olsen Office of Municipal Securities 3235 Securities and Exchange Commission SEC 202 551-5680 olsenr@sec.gov 100 F Street NE, Washington DC 20549