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| View EO 12866 Meetings | Printer-Friendly Version Download RIN Data in XML |
| SEC | RIN: 3235-AH06 | Publication ID: Fall 2010 |
| Title: Risk Assessment Recordkeeping and Reporting Requirement | |
| Abstract: The Risk Assessment Recordkeeping and Reporting Requirements, which became effective September 30, 1992, following notice and comment, were adopted as temporary rules pursuant to the Market Reform Act of 1990. These rules contain recordkeeping and reporting requirements with regard to "material associated persons" of broker-dealers in order to evaluate the potential risks affiliates may pose to the registered broker-dealer. The Division is considering recommending that the Commission propose amendments to update rule requirements and replace the temporary rules. | |
| 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 240.17h-1T 17 CFR 240.17h-2T | |
| Legal Authority: 15 USC 78a(h) | |
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Legal Deadline:
None |
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Timetable:
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| Regulatory Flexibility Analysis Required: Undetermined | Government Levels Affected: None |
| Federalism: No | |
| Included in the Regulatory Plan: No | |
| RIN Data Printed in the FR: No | |
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Agency Contact: Michael Coe Assistant Director, Division of Trading and Markets Securities and Exchange Commission 100 F Street NE, Washington, DC 20549 Phone:202 551-4875 Email: coem@sec.gov |
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