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SEC | RIN: 3235-AM81 | Publication ID: Spring 2021 |
Title: Trading Prohibitions Under the Holding Foreign Companies Accountable Act and Enhanced Listing Standards | |
Abstract:
The Division of Trading and Markets is considering recommending rule amendments that would have the Commission implement and remove trading prohibitions, as required by the Holding Foreign Companies Accountable Act, for the securities of an issuer that files a report with financials statement audited by a registered public accounting firm located in a foreign jurisdiction that the PCAOB is unable to inspect or investigate completely because of a position taken by an authority in the foreign jurisdiction. In conjunction, the Division of Trading and Markets is also considering recommending rule amendments to enhance listing standards of U.S. national securities exchanges to prohibit the initial and continued listing of issuers that are subject to such trading prohibitions. |
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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 |
CFR Citation: Not Yet Determined (To search for a specific CFR, visit the Code of Federal Regulations.) | |
Legal Authority: 15 U.S.C. 78f(b)(5) |
Legal Deadline:
None |
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Timetable:
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Regulatory Flexibility Analysis Required: Undetermined | Government Levels Affected: Undetermined |
Federalism: No | |
Included in the Regulatory Plan: No | |
International Impacts: This regulatory action will be likely to have international trade and investment effects, or otherwise be of international interest. | |
RIN Data Printed in the FR: No | |
Agency Contact: Sarah Schandler Special Counsel Securities and Exchange Commission 100 F Street NE, Washington, DC 20549 Phone:202 551-7145 Email: schandlers@sec.gov |