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SEC RIN: 3235-AL97 Publication ID: Fall 2017 
Title: Amendments to Municipal Securities Rules 

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.

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 
EO 13771 Designation: Independent agency 
CFR Citation: 17 CFR 240.15c2-12   
Legal Authority: Not Yet Determined   
Legal Deadline:  None
Action Date FR Cite
NPRM  03/15/2017  82 FR 13928   
NPRM Comment Period End  05/15/2017 
Final Action  10/00/2018 
Regulatory Flexibility Analysis Required: No  Government Levels Affected: Undetermined 
Federalism: Undetermined 
Included in the Regulatory Plan: No 
RIN Data Printed in the FR: No 
Agency Contact:
Jessica Kane
Office of Municipal Securities
Securities and Exchange Commission
100 F Street NE,
Washington, DC 20549
Phone:202 551-5680