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 … Continue reading SEC Request for Comments: Amendment to Single Issuer Exemption for Broker-Dealers →

The Securities and Exchange Commission ("Commission") is proposing amendments to rules for nationally recognized statistical rating organizations ("NRSROs") under the Securities Exchange Act of 1934 ("Exchange Act"). The amendments would provide an exemption from a rule for NRSROs with respect to credit ratings if the issuer of the security or money market instrument referred to … Continue reading SEC Request for Comments: Amendments to Rules for Nationally Recognized Statistical Rating Organizations →