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SEC RIN: 3235-AN05 Publication ID: Spring 2023 
Title: Revisions to the Definition of Securities Held of Record 
Abstract:

The Division is considering recommending that the Commission propose amendments to the "held of record" definition for purposes of section 12(g) of the Exchange Act. 

 
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: 17 CFR 240.12g5-1   
Legal Authority: 15 U.S.C. 78o(d)   
Legal Deadline:  None
Timetable:
Action Date FR Cite
NPRM  10/00/2023 
Regulatory Flexibility Analysis Required: Undetermined  Government Levels Affected: None 
Federalism: No 
Included in the Regulatory Plan: No 
RIN Data Printed in the FR: No 
Agency Contact:
Liz Walsh
Division of Corporation Finance
Securities and Exchange Commission
100 F Street NE,
Washington, DC 20549
Phone:202 551-3460