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SEC RIN: 3235-AM44 Publication ID: Fall 2018 
Title: ●Amendment to Single Issuer Exemption in Exchange Act Rule 17a-5 
Abstract:

The Division is considering recommending that the Commission propose an amendment to the single issuer exemption in Exchange Act Rule 17a-5.

 
Agency: Securities and Exchange Commission(SEC)  Priority: Substantive, Nonsignificant 
RIN Status: First time published in the Unified Agenda Agenda Stage of Rulemaking: Long-Term Actions 
Major: Undetermined  Unfunded Mandates: No 
EO 13771 Designation: Independent agency 
CFR Citation: 17 CFR 240.17a-5(e)(1)(i)(A)   
Legal Authority: 15 U.S.C. 78q(e)(1)(C)   
Legal Deadline:  None
Timetable:
Action Date FR Cite
Next Action Undetermined  To Be Determined 
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:
Randall Roy
Division of Trading and Markets
Securities and Exchange Commission
100 F Street NE,
Washington, DC 20549
Phone:202 551-5522
Email: royr@sec.gov