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| SEC | RIN: 3235-AM82 | Publication ID: Spring 2021 |
| Title: Amendments to Municipal Securities Examination Reports | |
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Abstract:
The Office of Municipal Securities is considering recommending that the Commission propose amendments to Rule 15Bc7-1 under the Exchange Act relating to reports of examinations of municipal securities dealers. The proposal would (a) permit the electronic submission of documents required to be furnished to the Commission under the rule; (b) require any designee of the Commission for the conduct of periodic examinations of municipal advisors to furnish to the Commission reports of examinations of registered municipal advisors or, in lieu of such individual reports, composite semiannual reports of such examinations; and (c) make conforming amendments to promote regulatory clarity. |
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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: Long-Term Actions |
| Major: Undetermined | Unfunded Mandates: No |
| CFR Citation: 17 CFR 240.15Bc7-1 | |
| Legal Authority: 15 U.S.C. 78o-4 15 U.S.C. 78q 15 U.S.C. 78w | |
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Legal Deadline:
None |
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Timetable:
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| Regulatory Flexibility Analysis Required: No | Government Levels Affected: None |
| Small Entities Affected: No | Federalism: No |
| Included in the Regulatory Plan: No | |
| RIN Data Printed in the FR: No | |
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Agency Contact: Rebecca Olsen Office of Municipal Securities Securities and Exchange Commission 100 F Street NE, Washington, DC 20549 Phone:202 551-5680 Email: olsenr@sec.gov |
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