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SEC RIN: 3235-AM63 Publication ID: Spring 2020 
Title: Amendments to Certain Provisions of the Auditor Independence Rules 
Abstract:

The Office of the Chief Accountant is considering recommending that the Commission adopt amendments to update certain auditor independence rules to facilitate capital formation, in a manner consistent with investor protection.

 
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 210.201   
Legal Authority: 15 U.S.C. 77(f)    15 U.S.C. 77(g)    15 U.S.C. 77(h)    15 U.S.C. 77(j)    15 U.S.C. 77(s)    15 U.S.C. 77(z-2)    15 U.S.C. 77(z-3)    15 U.S.C. 77(aa(25))    15 U.S.C. 77(aa(26))    15 U.S.C. 77(nn(25))    15 U.S.C. 77(nn(26))    15 U.S.C. 78(c)    15 U.S.C. 78(j-1)    15 U.S.C. 78(l)    15 U.S.C. 78(m)    15 U.S.C. 78(n)    15 U.S.C. 78(o(d))    15 U.S.C. 78(q)    15 U.S.C. 78(u-5)    15 U.S.C. 78(w)    15 U.S.C. 78(ll)    15 U.S.C. 78(mm)    15 U.S.C. 80(a-8)    15 U.S.C. 80(a-20)    15 U.S.C. 80(a-29)    15 U.S.C. 80(a-30)    15 U.S.C. 80(a-31)    15 U.S.C. 80(a-37(a))    15 U.S.C. 80(b-3)    15 U.S.C. 80(b-11)    15 U.S.C. 7202    15 U.S.C. 7262    Pub. L. 112-106, sec. 102(c)    126 Stat. 310 (2012)   
Legal Deadline:  None
Timetable:
Action Date FR Cite
NPRM  01/15/2020  85 FR 2332   
NPRM Comment Period End  03/16/2020 
Final Action  10/00/2020 
Regulatory Flexibility Analysis Required: Yes  Government Levels Affected: None 
Small Entities Affected: Businesses  Federalism: No 
Included in the Regulatory Plan: No 
RIN Data Printed in the FR: Yes 
Agency Contact:
Duc Dang
Attorney, Office of Chief Accountant
Securities and Exchange Commission
100 F Street NE,
Washington, DC 20549
Phone:202 551-3386
Email: dangd@sec.gov