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The SEC (Commission) is proposing an amendment to the exemption provisions in the
broker-dealer annual reporting rule under the Securities Exchange Act of 1934 (“Exchange
Act”). The amendment would provide that a broker-dealer is not required to engage an
independent public accountant to certify the broker-dealer’s annual reports 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.
DATES: Comments should be received on or before October 29, 2018.
The SEC (Commission) is proposing an amendment to the exemption provisions in the
broker-dealer annual reporting rule under the Securities Exchange Act of 1934 (“Exchange
Act”). The amendment would provide that a broker-dealer is not required to engage an
independent public accountant to certify the broker-dealer’s annual reports 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.
DATES: Comments should be received on or before October 29, 2018.
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