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SEC | RIN: 3235-AL97 | Publication ID: Fall 2017 |
Title: Amendments to Municipal Securities Rules | |
Abstract:
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. |
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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: 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 |
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Timetable:
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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: Rebecca Olsen Office of Municipal Securities Securities and Exchange Commission 100 F Street NE, Washington, DC 20549 Phone:202 551-5680 Email: olsenr@sec.gov |