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SEC RIN: 3235-AM47 Publication ID: Spring 2019 
Title: ●Amendment to Single Issuer Exemption for Broker-Dealers 
Abstract:

The Division is considering recommending that the Commission adopt 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: Final Rule Stage 
Major: Undetermined  Unfunded Mandates: No 
EO 13771 Designation: Independent agency 
CFR Citation: 17 CFR 240.17a-5   
Legal Authority: 15 U.S.C. 78q(e)(1)(A)    15 U.S.C. 78q(e)(1)(C)    15 U.S.C. 78mm   
Legal Deadline:  None
Timetable:
Action Date FR Cite
NPRM  09/27/2018  83 FR 48733   
NPRM Comment Period End  10/29/2018 
Final Action  04/00/2020 
Regulatory Flexibility Analysis Required: No  Government Levels Affected: Federal 
Federalism: No 
Included in the Regulatory Plan: No 
RIN Data Printed in the FR: No 
Agency Contact:
Rose Wells
Division of Trading and Markets
Securities and Exchange Commission
100 F Street NE,
Washington, DC 20549
Phone:202 551-5527
Email: wells@sec.gov