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SEC RIN: 3235-AM82 Publication ID: Spring 2021 
Title: Amendments to Municipal Securities Examination Reports 

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.

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   
Legal Deadline:  None
Action Date FR Cite
Next Action Undetermined  To Be Determined 
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 
Agency Contact:
Rebecca Olsen
Office of Municipal Securities
Securities and Exchange Commission
100 F Street NE,
Washington, DC 20549
Phone:202 551-5680