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SEC | RIN: 3235-AM46 | Publication ID: Fall 2018 |
Title: ●Broker-Dealer Reporting, Audit, and Notification Requirements | |
Abstract:
The Office of the Chief Accountant and the Division of Trading and Markets are considering recommending amendments to certain broker-dealer annual reporting, audit and notification requirements that could differentiate the requriements according to different classes of broker-dealers. |
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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 (To search for a specific CFR, visit the Code of Federal Regulations.) | |
Legal Authority: 15 U.S.C. 77s 15 U.S.C. 78c 15 U.S.C. 78o 15 U.S.C. 78w 15 U.S.C. 78jj |
Legal Deadline:
None |
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Timetable:
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Regulatory Flexibility Analysis Required: No | Government Levels Affected: None |
Federalism: No | |
Included in the Regulatory Plan: No | |
RIN Data Printed in the FR: No | |
Agency Contact: Giles Taffle Cohen Office of Chief Accountant Securities and Exchange Commission 100 F Street NE, Washington, DC 20549 Phone:202 551-2512 Email: coheng@sec.gov |