Securities and Exchange Commission March 15, 2017 – Federal Register Recent Federal Regulation Documents

Proposed Amendments to Municipal Securities Disclosure
Document Number: 2017-04323
Type: Proposed Rule
Date: 2017-03-15
Agency: Securities and Exchange Commission, Agencies and Commissions
The Securities and Exchange Commission (``Commission'' or ``SEC'') is publishing for comment proposed amendments to the Municipal Securities Disclosure Rule (Rule 15c2-12) under the Securities Exchange Act of 1934 (``Exchange Act'') that would amend the list of event notices that a broker, dealer, or municipal securities dealer (collectively, ``dealers'') acting as an underwriter in a primary offering of municipal securities must reasonably determine that an issuer or an obligated person has undertaken, in a written agreement or contract for the benefit of holders of the municipal securities, to provide to the Municipal Securities Rulemaking Board (``MSRB'').