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SEC RIN: 3235-AM46 Publication ID: Fall 2020 
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 the Commission propose amendments to certain broker-dealer annual reporting, audit, and notification requirements that could differentiate the requirements according to different classes of broker-dealers.

 
Agency: Securities and Exchange Commission(SEC)  Priority: Substantive, Nonsignificant 
RIN Status: Previously published in the Unified Agenda Agenda Stage of Rulemaking: Proposed Rule Stage 
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
Timetable:
Action Date FR Cite
NPRM  10/00/2021 
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