Securities and Exchange Commission June 14, 2019 – Federal Register Recent Federal Regulation Documents

Sunshine Act Meeting; Cancellation
Document Number: 2019-12775
Type: Notice
Date: 2019-06-14
Agency: Securities and Exchange Commission, Agencies and Commissions
Amendment to Single Issuer Exemption for Broker-Dealers
Document Number: 2019-12563
Type: Rule
Date: 2019-06-14
Agency: Securities and Exchange Commission, Agencies and Commissions
The Commission is adopting an amendment to an exemptive provision in the broker-dealer annual reporting rule under the Securities Exchange Act of 1934 (``Exchange Act''). The exemption provides that a broker-dealer is not required to engage an independent public accountant to certify the broker-dealer's annual reports filed with the Commission if, among other things, the securities business of the broker-dealer has been limited to acting as broker (agent) for a single issuer in soliciting subscriptions for securities of that issuer.