29 May 2025
📄SEC Proposed Collection
Proposed Collection; Comment Request; Extension: Rule 19d-1
Summary
The SEC is seeking comments on information collection related to Rule 19d-1, which requires SROs to report certain actions, including disciplinary measures and delistings. The rule aims to ensure proper oversight and compliance within the financial sector, anticipating around 850 submissions annually from approximately 17 respondents.
Agencies
- Securities and Exchange Commission
Business Impact
$$ - Med
The content details compliance requirements under Rule 19d-1, which affects self-regulatory organizations (SROs) and their obligations to report disciplinary actions and membership denials. This impacts business operations, compliance costs, and regulatory oversight in the financial sector.